Homeland Security: Federal Assistance Funding and Business Opportunities

Order Code RL32036 CRS Report for Congress Received through the CRS Web Homeland Security: Federal Assistance Funding and Business Opportunities Updated December 23, 2004 James R. Riehl, Coordinator Information Research Specialist Information Research Division Congressional Research Service ˜ The Library of Congress Homeland Security: Federal Assistance Funding and Business Opportunities Summary With the creation of the Department of Homeland Security (DHS) and increased federal spending on homeland security products and services, comes increased interest in doing business with the federal government and obtaining federal funds. Small and large businesses, universities, and research organizations throughout the country want to provide the needed products and services. State and local governments desire federal funds to assist with their homeland security needs. Generally, the larger companies or organizations and state and local governments that have regularly done business with the federal government in the past are familiar with the often complex process of selling to the government or obtaining federal funds through grants. However, smaller companies and government officials who are new to the process may have a difficult time quickly identifying the resources and information needed to pursue grant or contract monies. This report provides a selection of information gateways for businesses, state and local governments, research organizations, and others that wish to pursue homeland security related business opportunities or grants from the federal government. A selection of websites is provided for the Department of Homeland Security, the Department of Defense (DOD), and other federal departments and agencies. The information will assist interested persons in locating information on available grants, contracts, or research and development opportunities with a homeland security focus. The first section of this report presents an overview of the market for homeland security products and services, lists and defines the various types of federal assistance or opportunities in homeland security, and provides some definitions relevant to the subject. The second section of the report identifies specific federal Web “gateways,” which provide access to detailed information on funding and business opportunities. This report will be updated on a regular basis. Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 What Is “Homeland Security”? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Homeland Security vs. the Department of Homeland Security . . . . . . . . . . . 2 Non-DHS Homeland Security Programs/Initiatives . . . . . . . . . . . . . . . . . . . 2 Homeland Security vs. Antiterrorism Funding . . . . . . . . . . . . . . . . . . . . . . . 2 What Is Not Included in This Report? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Market for Homeland Security Products and Services . . . . . . . . . . . . . . 3 Service and Product Opportunity Areas . . . . . . . . . . . . . . . . . . . . . . . . . 3 Private Sector/Government Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Other Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Types of Funding and Business Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Federal Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Defining a Contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Awards Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Getting Started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Federal Grants and Other Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . 7 Types of Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Nonfinancial Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Pass-Through Funds/Subcontracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Research and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Identifying Recipients of Federal Grant/Contract/R&D Funds . . . . . . . . . . 12 Federal Procurement Data Center (FPDC) . . . . . . . . . . . . . . . . . . . . . 12 Federal Assistance Awards Data System (FAADS) . . . . . . . . . . . . . . 13 RaDiUS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Getting Started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Department of Homeland Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Department of Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Department of Defense Homeland Security R&D . . . . . . . . . . . . . . . . . . . . 18 Other Federal Agency Homeland Security R&D Programs . . . . . . . . . . . . . 19 Other Federal Departments and Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . 21 The Catalog of Federal Domestic Assistance . . . . . . . . . . . . . . . . . . . . . . . 22 Other Relevant CRS Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 List of Tables Table 1. DHS Homeland Security Federal Assistance Programs . . . . . . . . . . . . 14 Table 2. DHS R&D Opportunities and Resources . . . . . . . . . . . . . . . . . . . . . . . 15 Table 3. DHS Homeland Security Business Opportunities and Resources . . . . 16 Table 4. DOD Homeland Security Federal Assistance Programs . . . . . . . . . . . . 17 Table 5. DOD R&D Contracts and Contracting Information . . . . . . . . . . . . . . . 18 Table 6. Other Federal Agency Homeland Security R&D Programs, Opportunities, and Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Table 7. Non-DHS Homeland Security Federal Assistance Programs . . . . . . . . 21 Homeland Security: Federal Assistance Funding and Business Opportunities Introduction With the creation of the Department of Homeland Security (DHS) and increased federal spending on homeland security products and services, comes increased interest in doing business with the federal government and obtaining federal funds. Small and large businesses, universities, and research organizations throughout the country want to provide the needed products and services. State and local governments desire federal funds to assist with their homeland security needs. Generally, the larger companies or organizations and state and local governments that have regularly done business with the federal government in the past are familiar with the often complex process of selling to the government or obtaining federal funds through grants. However, smaller companies and government officials who are new to the process may have a difficult time quickly identifying the resources and information needed to pursue grant or contract monies. This report provides a selection of information gateways for businesses, state and local governments, research organizations, and others that wish to pursue homeland security related business opportunities or grants from the federal government. A selection of websites is provided for the Department of Homeland Security, the Department of Defense (DOD), and other federal departments and agencies. The information will assist interested persons in locating information on available grants, contracts, and research and development opportunities with a homeland security focus.1 What Is “Homeland Security”? The National Strategy of Homeland Security (the Strategy) issued by the White House [http://www.whitehouse.gov/homeland/book/nat_strat_hls.pdf] in July 2002 defined “homeland security” as “a concerted national effort to prevent terrorist attacks within the United States, reduce America’s vulnerability to terrorism, and minimize the damage and recover from attacks that do occur.” The Strategy envisions a shared responsibility of federal, state, and local governments, the private sector, and the American people for homeland security. Homeland security involves (1) efforts to prevent terrorist attacks by reducing the nation’s vulnerability to terrorist attacks, (2) efforts to minimize the damage of any terrorist attacks that occur 1 Contributors to this report included Jesús Campos (INF), Linwood Carter (INF), Eric Fischer (DSP), Merete Gerli (INF), Jean Knezo (RSI), Gary Reynolds (INF), James R. Riehl (INF), Carolyn Smith (INF), and Angeles Villarreal (RSI). CRS-2 despite efforts to prevent them, and (3) efforts to recover from any terrorist attacks that may occur. Homeland Security vs. the Department of Homeland Security The Department of Homeland Security has primary responsibility for maintaining homeland security. Section 101(b)(1) of the Homeland Security Act of 2002 (P.L. 107-296) states that the primary mission of the DHS is to “(A) prevent terrorist attacks within the United States; (B) reduce the vulnerability of the United States to terrorism; and (C) minimize the damage, and assist in the recovery, from terrorist attacks that do occur within the United States.” Those wishing to do business with the federal government in areas pertaining to homeland security or seeking federal assistance relating to homeland security should keep in mind that homeland security activities are broader than the activities of DHS because, notwithstanding the lead responsibility of DHS for maintaining homeland security, several other government agencies play important roles in homeland security. Non-DHS Homeland Security Programs/Initiatives Examples of non-DHS homeland security programs include initiatives by the Defense Advanced Research Projects Agency (DARPA), biodefense initiatives by the Department of Health and Human Services (DHHS), and interagency working groups such as the Technical Support Working Group (TSWG). Homeland Security vs. Antiterrorism Funding Homeland security funding is largely an extension of antiterrorism funding, with an important distinction. Unlike antiterrorism funding, which includes monies devoted to agencies that operate on foreign fronts such as the Department of State and Central Intelligence Agency, homeland security funding focuses on those aspects of government spending devoted to the prevention and response to terrorism on American soil. What Is Not Included in This Report? This report is not an exhaustive listing of every possible Web access point for information on federal grant and contract opportunities related to homeland security. Certain opportunities may change due to congressional or regulatory activity. Others may be one-time events that appear for only a single round of funding. Websites and programs may appear and disappear depending upon a department or agency’s funding or needs, and some contract awards may be awarded directly to qualified companies without a competitive bidding process. In addition, this report makes no effort to list individual grant, contract, or research and development opportunities. Such information must be obtained through one or more of the Web resources provided. CRS-3 The Market for Homeland Security Products and Services DHS spending on homeland security covers a wide range of products and services in such areas as airport security systems, biological and chemical agent detection, and prevention of attacks on information systems. Industries in which companies could potentially benefit include detection equipment technology, biotechnology, computer and software services, and telecommunications. The market for homeland security products and services has increased steadily since September 11, 2001, and it is expected to continue to grow substantially in coming years. The creation of DHS and the need for new technologies and tools to fight terrorism has resulted in security improvements and upgrades throughout the government sector and a need for new defense technologies. A report by a market research consulting firm, Frost and Sullivan, estimates that government spending in homeland security products and services totaled $7.5 billion in 2002, and that is expected to double to $16 billion by 2009. The report states that a major area of opportunity for vendors will be the integration of stand-alone security systems throughout government agencies which would incorporate security, time and attendance, and building controls.2 Other major areas of opportunities may include technological capabilities or tools to detect and deter attacks using weapons of mass destruction; software technology to protect information systems; technology to prevent disruption of telecommunications critical infrastructure; and tools and technology to support the defense of national waterways and oceans. Service and Product Opportunity Areas. Private companies are a key source of new ideas and innovative technologies that would be valuable in combating the threat of terrorism activities. DHS has various programs that provide opportunities for the private sector in developing technologies and systems needed for homeland security. DHS also has partnerships with agencies across the federal government that may provide companies with opportunities to sell their services and products. DHS has a partnership with the Technical Support Working Group (TSWG), a stand-alone interagency working group whose mission is to conduct the national interagency research and development program for combating terrorism requirements; see [http://www.tswg.gov]. The TSWG website provides information about technology and commercial opportunities, provides information about product availability for federal, state, and local user communities, and provides project information to technical team members. This information is useful for companies looking for contracting opportunities related to homeland security because it identifies the projects federal agencies are focusing on. Among others, the TSWG currently outlines the following as areas of interest: ! 2 Chemical, biological, radiological, and nuclear countermeasures: products and services may include medication and vaccines to treat outbreaks of diseases such as smallpox, anthrax, or botulism; Security System News, “Government to Double Its Security Spending,” January 2004. See [http://www.securitysystemsnews.com/2004.01/downloads/ss.pdf]. CRS-4 development of antidotes for possible disease outbreaks; development of new technologies for detecting hazardous biological and chemical agents. ! Explosive detection: products and services may include developing or purchasing new detection and diagnostic devices such as handheld detectors, personnel screening portals, checked baggage and parcel screening; more effective canine/handler teams through improved training programs and canine selection and breeding; and new technologies for marking plastic explosives to make them easier to detect. ! Infrastructure protection technology: products and services may include developing technologies and methodologies for detection, response, and alert capabilities to counter cyberterrorism; developing standardized methodology and decision aid tools for vulnerability analysis and enhanced protection of the nation’s critical infrastructure. ! Physical security technology: products and services may include the development of new techniques for building construction that will result in better protection of people and facilities from terrorist bomb attacks; improvement in explosive detection technology; advanced sensor technologies to provide improved perimeter and interior intrusion detection capabilities. ! Personnel protection: products and services may include vehicles with improved safety and performance; improved transparent armor with lower weight and greater reliability against threats; improved protective measures against sniper attacks. Private Sector/Government Initiatives. DHS has emphasized the importance of the role of technology in homeland security and the need to create close partnerships with the private sector to develop and implement technologies. The Private Sector Office of DHS is the primary contact for the business community. The Office helps to foster communications with the private sector and to promote public-private partnerships and best practices. Two examples of DHS initiatives in which the private sector has an important role are described below. The Container Security Initiative (CSI), overseen by U.S. Customs and Border Protection (CBP), has the goal of protecting the global trading system and the trade lanes between CSI ports and the United States. Under the CSI program, a team of U.S. officers is deployed to work with host nation counterparts to target all containers that pose a potential threat. It involves the use of pioneering nonintrusive container screening technology to label containers entering the country as “high-risk” or “lowrisk” at their port of origin. The initiative was announced in January 2002 and was first implemented in the ports shipping the greatest volume of containers to the United States. At this time, 20 countries with a total of 37 ports in various stages of implementation have committed to participation in the CSI. CSI is expanding to additional ports that ship substantial amounts of cargo to the United States, but these CRS-5 ports must have the infrastructure and technology in place, such as non-intrusive inspectional equipment and radiation detection equipment, to participate in the program. Countries participating in the CSI are responsible for purchasing the necessary x-ray systems and other detection technology, which may provide opportunities for U.S. businesses. The CBP can provide the names of manufacturers for the CSI country to pursue in procuring equipment. Another program is the Customs-Trade Partnership Against Terrorism (C-TPAT). C-TPAT is a joint initiative between the CBP and the business community to build cooperative relationships that strengthen border security while improving the flow of trade. Participating businesses are required to conduct a comprehensive selfassessment of supply chain security using the C-TPAT security guidelines jointly developed by the CBP and the trade community. The guidelines encompass the following areas: procedural security, physical security, personnel security, education and training, access controls, manifest procedures, and conveyance security. For companies that have useful products or services for this process, there may be available business opportunities. Other Opportunities. Other agencies or departments at the federal, state, and local levels of government may have opportunities for companies that produce or provide goods or services related to homeland security. For example, local communities may be interested in procuring protective gear and communication devices in the event of an emergency. There may be opportunities for industry groups to partner with federal agencies to develop strategies or new technologies. In 2002, the U.S. Department of the Treasury worked collaboratively with financial services industry groups to develop a sector strategy, called National Strategy for Critical Infrastructure Assurance, that discusses additional efforts necessary to identify, assess, and respond to sector threats. The strategy presents a framework for planning and implementing private sector action. This kind of private sector cooperative effort with the government may lead to future business contracting activities. Some federal agencies that may have contracting opportunities for companies include, but are not limited to, the following: the Department of Defense, the Department of Health and Human Services, the Treasury Department, and the Department of Energy. Business and marketing opportunities with DOD, however, are determined by DOD’s national security mission and it should be noted that contract processes may not be comparable with those of other federal entities. The Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics recommends the following preparatory advice to companies who want to take advantage of the DOD contracting or acquisition process: ! Identify the product, service, or concept you are attempting to sell to DOD by perusing the Federal Supply Class or Service (FSC/SVC) codes at [http://www.dlis.dla.mil/h2/] and North American Industry Classification System (NAICS) Code at [http://www.census.gov/ epcd/www/naics.html]. ! Businesses should obtain a Dun and Bradstreet or DUNS number at [http://www.dnb.com/US/duns_update/index.html]. Also, it is CRS-6 mandatory that any DOD contractor be registered in the Centralized Contractor Registration (CCR) System, a database designed to collect and maintain relevant procurement and financial transaction information at [http://www.ccr.gov]. ! Become familiar with DOD contracting procedures by examining the Defense Federal Acquisition Supplement (DFARS) at [http://www.acq.osd.mil/dpap/dars/index.htm], and the Federal Acquisitions Regulations (FARS) at [http://www.arnet.gov/far]. Types of Funding and Business Opportunities Federal Contracts Businesses and producers may bid for contracts to supply specific goods and services to the federal government. These may include furnishing the government with actual products such as office supplies or furniture, the construction of federal, buildings, providing services such as staffing and operating cafeterias, and enhancing equipment and training for emergency first-responders. Defining a Contract. The General Services Administration (GSA) defines a “contract” as a mutually binding legal relationship, obligating the seller to furnish the supplies or services and the buyer to pay for them. It includes all types of commitments that obligate the government to an expenditure of appropriated funds. The commitments are written, unless otherwise authorized. Contracts may include, but are not limited to the following instruments: awards, job orders or task letters, letter contracts, orders (such as purchase orders, under which the contract becomes effective by written acceptance or performance), and bilateral contract modifications (FAR 2.101). This definition, along with extensive regulations concerning federal acquisitions of supplies and services, is found in the Federal Acquisition Regulation (FAR), issued by the GSA. The text of the FAR documents is available on the Web at [http://www.arnet.gov/far/], or from the Code of Federal Regulations, 48 CFR 2, also available on the Web. Contracts do not include grants and cooperative agreements covered by the U.S. Code, at 31 USC 6301. The GSA provides general information on the process of doing business with the government at its website at [http://www.gsa.gov/], under the “Selling to the Government”section. More specific information on assistance to small and disadvantaged businesses can be found at [http://www.gsa.gov/Portal/gsa/ep/program View.do?programId=9601&programPage=%252Fep%252Fprogram%252FgsaOv erview.jsp&P=&pageTypeId=8199&ooid=10382&channelId=-13325]. This site provides links to information on obtaining a GSA schedule contract and lists of contacts for small business support. Awards Process. Federal contracts may be awarded in many ways, including agency solicitations and acceptance of unsolicited proposals. Businesses may register to participate in the GSA’s Schedules, also known as Multiple Award Schedules (MAS). More information is available for vendors at CRS-7 [http://www.gsa.gov/Portal/gsa/ep/channelView.do?pageTypeId=8199& channelPage=%2Fep%2Fchannel%2FgsaOverview.jsp&channelId=-13464]. Getting Started. The Federal Business Opportunities website [http://www.fedbizopps.gov] provides a single site for federal procurement opportunities over $25,000. Via this Internet portal, government buyers can post business opportunities and commercial vendors seeking federal markets for their products and services can search, monitor, and retrieve opportunities solicited by the entire federal contracting community. Federal Grants and Other Federal Assistance Hundreds of grants, loans, and other domestic assistance programs for various purposes are available from federal departments and agencies, including new programs and federal funding to enhance homeland security. In November 2003, DHS initiated a subpage on its website for Homeland Security Grants and Training at [http://www.dhs.gov/dhspublic/interapp/editorial/ editorial_0355.xml]. This site provides information on homeland security and public safety grant opportunities offered by agencies across the federal government. It is intended to simplify access to these grants by placing information in a single easily accessible site. It includes grants offered by the DHS as well as other federal departments and agencies. Critical state and local missions supported through these grants include the preparedness of first responders and citizens, public health, infrastructure security, and other public safety activities. These programs vary considerably in their size and scope and are intended to contribute to securing the United States against the threat of terrorism, as well as other natural and man-made hazards. DHS grants listed at this site include those administered by the Office of Domestic Preparedness (ODP), the Federal Emergency Management Agency (FEMA), and the Transportation Security Administration (TSA). Other Federal agency programs include the Department of Health and Human Services public health preparedness grants, Department of Justice grants for counter-terrorism and general-purpose law enforcement activities, and Environmental Protection Agency grants for enhancing the security of our Nation’s water supplies. Many of the grants listed are based on FY2003 programs whose application deadlines have passed, but the programs are expected to continue. The FY2004 grant programs are being developed at this time, and the DHS page will be updated with information on FY2004 application availability and deadlines as it becomes available. The DHS page is intended to provide an overview of relevant programs for potential applicants. When available, links are provided for the individual grant programs, which will lead to more information on their specific requirements and procedures. Other websites for grants information are available at [http://www.FedGrants.gov] and [http://www.Grants.gov]. Federal grants as well as loan and nonfinancial assistance programs are also described in the Catalog of Federal Domestic Assistance (CFDA) at its website, at [http://www.cfda.gov]. CRS-8 Types of Federal Assistance Grants. Grants are generally considered desirable by applicants since they are an outright award of funds. Federal grants fall under the following categories: ! ! Formula Grants: allocations of money to states or their subdivisions for activities of a continuing nature not confined to a specific project. They include block grants to states and local governments. Project Grants: funding, for fixed or known periods, of specific projects or the delivery of specific services or products, including fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, construction grants, and unsolicited contractual agreements. They can also be referred to as discretionary or categorical grants or funding. ! Direct Payments for Specified Use: financial assistance provided directly to individuals, private firms, and other private institutions to encourage or subsidize a particular activity. ! Direct Payments with Unrestricted Use: financial assistance provided directly to beneficiaries who satisfy federal eligibility requirements with no restrictions as to how the money is spent. Loans. Since loans must be repaid, they are often viewed by applicants as less desirable than grants. However, with the reduction of federal funds available for grants and the increasing level of competition for such funds, loans are often the only form of assistance available. Federal loans consist of two types: ! Direct Loans: lending of federal funds for a specific period of times, with a reasonable expectation of repayment; may or may not require the payment of interest. ! Guaranteed/Insured Loans: programs in which the federal government makes an arrangement to indemnify a lender against part or all of any defaults by those responsible for repayment of loans. Insurance. Some federal programs provide financial assistance to assure reimbursement for losses sustained under specified conditions. Coverage may be provided directly by the federal government or through private carriers and may or may not require the payment of premiums. Nonfinancial Assistance. Several types of federal programs offer assistance to qualifying entities that does not involve the transfer of funds. These programs fall into the following categories: ! Sale, Exchange, or Donation of Property and Goods: programs which provide for the sale, exchange, or donation of federal real CRS-9 property, personal property, commodities, and other goods including land, buildings, equipment, food, and drugs. ! Use of Property, Facilities, and Equipment: programs which provide for the loan of, use of, or access to federal facilities or property wherein the federally-owned facilities or property do not remain in the possession of the recipient of the assistance. ! Provision of Specialized Services: programs which provide federal personnel to directly perform certain tasks for the benefit of communities or individuals. ! Advisory Services and Counseling: programs which provide federal specialists to consult, advise, or counsel communities or individuals, to include conferences, workshops, or personal contacts. ! Dissemination of Technical Information: programs which provide for the publication and distribution of information or data of a specialized technical nature frequently through clearinghouses or libraries. ! Training: programs which provide instructional activities conducted directly by a federal agency for individuals not employed by the federal government. ! Investigation of Complaints: federal administrative agency activities that are initiated in response to requests, either formal or informal, to examine or investigate claims of violations of federal statutes, policy, or procedure. ! Federal Employment: programs which reflect the government-wide responsibilities of the Office of Personnel Management in the recruitment and hiring of federal civilian agency personnel. Pass-Through Funds/Subcontracting In many cases, a grant or contract is not awarded directly to the final recipient of the funds. The money may be “passed through” from the primary recipient of the funds to the entity that actually provides the product or service or administers the program. For instance, a federal grant may be awarded to a state government, which then spends the money, within the parameters of the particular program, by distributing the funds to other levels of governments (county, city, township, etc.) in the state. Block grants are federal funds that are provided to states, and then passed through to local agencies, for a wide variety of purposes, such as community development or law enforcement. Recipients have discretion in identifying problems in the functional area and in using federal funds to address those problems. For most block grants, Congress prescribes formulas in the authorizing legislation for distributing the funds. For a few grants, Congress gives authority for the method for distribution of funds to federal executive agencies, such as with the discretionary CRS-10 portion of the Byrne law enforcement grant program. Through formula or block grants, the federal government allocates funds to states or their subdivisions, which are competitively awarded and administered by them for projects and needs in local jurisdictions. To obtain these funds, local grantseekers must become familiar with state and local agencies that receive such federal awards, and learn how to apply for them. The Catalog of Federal Domestic Assistance program descriptions under “Information Contacts” indicate whether state and regional contacts for the program are available. These appear in a CFDA Appendix available via the CFDA website at [http://12.46.245.173/CFDA/pdf/appx4.pdf]. CFDA also lists state contacts for many states under the State Single Point of Contact (SPOCs) section available at [http://www.whitehouse.gov/omb/grants/spoc.html]. A similar situation exists with contracts. A federal homeland security contract may be so large that a smaller business would have great difficulty in providing the products or services required to meet the terms of the contract. However, the larger company that received the contract may be using subcontractors to provide some of the products and services that it needs to fulfill the contract. In these cases, the primary contractor must be contacted to determine the availability of subcontracting opportunities. There is no centralized federal system that tracks the availability of subcontracting opportunities. However, notices of business opportunities and of contract awards are posted on the Federal Business Opportunities website, at [http://www.fedbizopps.gov]. A businessperson can search for opportunities by agency name, such as Department of Homeland Security. The results of a search yield postings of solicitations or contracts, with summary and contact information. In the vendors’ section, businesspersons may register at this website to receive automatic notices of business opportunities with federal agencies. Research and Development Federal government funding for research supports “systematic study directed toward fuller scientific knowledge or understanding of the subject studied.”3 This work may be basic research, which is intended to produce “knowledge or understanding ... of fundamental aspects of phenomena and of observable facts without specific applications ... in mind.” Applied research is intended to produce “knowledge or understanding necessary to determine means by which a recognized and specific need may be met.” Funding for development supports systematic use of the knowledge gained from research to produce “useful materials, devices, systems, or methods, including design and development of prototypes and processes.” Test and Evaluation (T&E) may be supported as part of development. Federally-funded demonstration is “intended to prove or to test whether a technology 3 Definitions in this paragraph are based on National Science Foundation, Federal Funds for Research and Development: Fiscal Years 2000, 2001, and 2002, NSF 02-321, Definitions section. NSF’s definitions are derived from OMB Circular A-11. The latest version is from 2002. See section 84 — 8. CRS-11 or method does in fact work” and may include validation, engineering and manufacturing development, management and support, and operational system development. Federally-funded research and development (R&D) funding excludes quality control, routine product testing, and production; collection of general-purpose statistics, mapping; experimental production, routine monitoring and evaluation of an operational program, and training of personnel. Funding. R&D may be conducted intramurally (by federal government personnel and agencies) or extramurally (by nonfederal personnel at industrial firms, universities and colleges, other nonprofit institutions, or in federally funded R&D centers) with funds awarded by grant, cooperative agreement, or contract. Grants are used to fund R&D when ! federal resources are transferred to a performer [typically, a state or local government, academic institution, or other nonprofit performer] to conduct work that serves a “public purpose of support or stimulation authorized by law” [including production of knowledge], instead of providing direct benefit, in terms of property and knowledge, only for the U.S. government; and ! substantial involvement is not expected between the federal agency and the recipient when carrying out the activity contemplated in the grant agreement.4 Cooperative agreements are like grants except that substantial involvement is expected between the federal agency and the recipient when carrying out the contemplated activity (31 U.S.C. 6305). A Cooperative Research and Development Agreement (CRADA) is an agreement between one or more federal laboratories and one or more nonfederal entities (including for profit), when the federal laboratory intends to provide personnel, services, facilities, equipment, intellectual property, or other resources with or without reimbursement (but not funds) to nonfederal entities, and the nonfederal entities provide funds, personnel, services, facilities, equipment, intellectual property, or other resources toward the conduct of specified R&D efforts which are consistent with the missions of the laboratory. The agreement does not involve a procurement contract or cooperative agreement as those terms are used in sections 6303, 6304, and 6305 of Title 31 (15 U.S.C. 3710a). A contract is used if ! 4 the funding agency seeks to fund R&D [that is, to purchase a specific R&D-related item, property or service] for the direct benefit or use of a U.S. government agency, or Based on 31 U.S.C. 6304. CRS-12 ! the agency decides that using a procurement contract is appropriate for the project.5 Federal specifications may be rigorous and detailed, and the contractor may need to satisfy specific agency specifications and requirements. Universities and colleges are the single largest performer of federally funded research, which is supported largely by grants, and about 52% of federally funded basic research is conducted in universities and colleges. Seventy percent of federally funded development is conducted by industry and is funded largely by contracts and other funding instruments (NSF 02-321). Identifying Recipients of Federal Grant/Contract/R&D Funds Those seeking federal funds via grant, contract, or research and development opportunities may have some interest in identifying recipients of previously awarded actions. While local media sources may report information on companies that have been awarded a particular federal contract or a state/local government entity that received a large federal grant, such reporting is usually limited. Some federal systems exist that can assist with identifying the recipient(s) of federal grant, contract, and research and development funds. While none of these resources provides information on an up-to-the-minute basis, they may be useful in providing a picture of the types of recipients that received funding in the past. Some departments and agencies provide information on the recipients of grant funds at their websites. Federal Procurement Data Center (FPDC). The Federal Procurement Data System (FPDS) was established by the Office of Federal Procurement Policy Act (P.L. 93-400). Until September 30, 2004, it was an automated system operated by the General Services Administration that contained detailed information on federal procurement activity. Collection of data began on October 1, 1978. FPDS was required to collect and compile data only on individual contracts exceeding $25,000. FPDS searching was done by several different data elements, including agency, date, contractor name and address, city, state, county, kind of contract action, method of solicitation, type of business, etc. Searching by congressional district was not available, and the system did not include any information on subcontracting actions. Searches could be tailored to specific fields and were available to the public for a fee. Beginning on October 1, 2004, through a contract from GSA, operation and maintenance of the current and historical FPDS system was awarded to Global Computer Enterprises, Inc. (GCE). Data for FY2004 and later fiscal years will be contained within a new FPDS system named FPDS-NG (Federal Procurement Data System — Next Generation). As with the previous FPDS system, basic procurement data will be published electronically each fiscal year and special reports will be available. For further information on FPDS-NG, see [https://www.fpds.gov]. Additional details on FPDS-NG will be announced at a later date. Inquiries concerning content of and access to FPDS-NG may be directed to: 5 Based on 31 U.S.C. 6303. CRS-13 U.S. General Services Administration Federal Procurement Data Center Eighteenth and F Streets, N.W., Room 4020 Washington, D.C. 20405 For additional information, call (202) 501-2647. Congressional offices should identify themselves as such. The FPDS published an annual summary report titled the FPDS Federal Procurement Report. Copies of the report are available via the FPDS-NG website. The FY2000 edition was the first one available in full text via the Web. This report presents overviews of the procurement activity of the federal government as a whole, federal procurement activity in each state, and procurement activity of each federal department and agency for a particular fiscal year. Federal Assistance Awards Data System (FAADS). The Federal Assistance Awards Data System (FAADS) is an automated system established by the Federal Program Information Act (P.L. 95-220) and is administered by the Bureau of the Census. It contains detailed information on federal monies awarded through the domestic assistance programs listed in the Catalog of Federal Domestic Assistance, a listing of federal programs which provide financial and nonfinancial assistance or benefits to the public. The FAADS system records contain agency name, CFDA program number, fiscal year, state, county, city or town, zip code, program recipient, etc. Data are available starting with FY1981. Data by congressional district, with limitations, is available through the FAADS system. However, FAADS is not a searchable database that can be directly queried. Although large amounts of data may be downloaded to a computer from the Census website, a search of the contents may not be conducted at the site. While some data is viewable at the website, the data files must be downloaded, and users must make use of their own software to manipulate or search the files. The Bureau of the Census has developed a Web page at [http://www.census.gov/govs/www/faads.html] for distribution of FAADS data via the Internet, starting with FY1996. RaDiUS. RaDiUS (Research and Development in the United States) is a comprehensive database on R&D activities and resources of the federal government. The database was developed by the Rand Corporation in cooperation with the National Science Foundation (NSF). The system does not include classified information. Licenses (some of which involve a fee) to use the database are available to employees and contractors of the federal government, employees and students at U.S. educational institutions, and other eligible members of the general public. Background information on the RaDiUS system may be obtained at Rand’s website at [http://www.rand.org/scitech/radius/]. Information on obtaining licenses to use the system may be found at [https://radius.rand.org/radius/getting_started.html]. CRS-14 Getting Started Department of Homeland Security DHS agencies administer several federal assistance programs. These programs include block grants to state administering agencies, discretionary grant programs administered by DHS agencies, and funding programs established by legislative action. Table 1 lists several of these programs and Web addresses for program information from the pertinent DHS agencies. The current availability of funding for each of these programs varies, so those interested should contact the respective DHS agency for details. For additional information on DHS federal funding, see the section below entitled “Other Relevant CRS Products.” Table 1. DHS Homeland Security Federal Assistance Programs Agency Program Program Information on the Web Office for Domestic Preparedness (ODP) State Homeland Security Grant Program [http://www.dhs.gov/dhspublic/interapp/ editorial/editorial_0356.xml] Office for Domestic Preparedness (ODP) Urban Areas Security Initiative [http://www.dhs.gov/dhspublic/interapp/ editorial/editorial_0356.xml] United States Fire Administration Assistance to Firefighters (FIRE Act) Grant Program [http://www.usfa.fema.gov/grants/afgp/] Federal Emergency Management Agency Emergency Management Performance Grants [http://www.fema.gov/preparedness/ empg.shtm] Transportation Security Administration (TSA) Port Security Grants [https://www.portsecuritygrants.dottsa.net/] In addition, DHS administers a number of research and development opportunities and resources. Table 2 presents a selection of websites that will provide information on these opportunities and resources. For additional information on DHS R&D opportunities, see CRS Report RS21617, Homeland Security Extramural R&D Funding Opportunities in Federal Agencies. CRS-15 Table 2. DHS R&D Opportunities and Resources Agency/Organization Program Program Information on the Web Homeland Security Advanced Research Projects Agency (HSARPA) HSARPA will be the primary source of extramural R&D funding in the Science and Technology Directorate. [http://www.dhs.gov/dhspublic/ display?theme=27&content=47] Office of University Programs Homeland Security Centers of Excellence. DHS plans to establish several university centers by the end of 2004 through a competitive process. [http://www.dhs.gov/dhspublic/ interapp/press_release/press_relea se_0220.xml] Technical Support Working Group (TSWG) Broad Agency Announcements. DHS is using TSWG to assist in identifying technologies for rapid prototyping under periodic broad area announcements (BAA). [http://www.tswg.gov/tswg/ home/home.htm] Science and Technology Directorate Unsolicited R&D Proposals. These proposals are handled by TSWG. See link for specific information. [http://www.dhs.gov/interweb/ass etlibrary/dhs_website_unsolprop. doc] U.S. Coast Guard Research and Development Center Various RDT&E activities in support of Coast Guard homeland security and other missions. [http://www.rdc.uscg.gov/] Transportation Security Administration R&D activities to improve current security technologies. [http://www.tsa.gov/public/ index.jsp] The DHS website provides information for businesses wishing to get involved with the department in several different ways, including general information on acquisition policy and regulations, and rules for unsolicited proposals. The website states that some of the procedures of doing business with DHS agencies are still being developed. CRS-16 Table 3. DHS Homeland Security Business Opportunities and Resources Agency Business Information Website or E-mail Address Department of Homeland Security (DHS) Provides link to “Business” information, DHS acquisition offices, federal policies and regulations. [http://www.dhs.gov/ dhspublic/display?theme=37] Federal Business Opportunities, GSA Serves as the single point of entry for federal procurement opportunities over $25,000. [http://www.fedbizopps.gov] Small Business Procurment Assistance, DHS Provides contact addresses and phone numbers of small business specialists in DHS. Answers frequently asked questions on contracting. [http://www.dhs.gov/ dhspublic/display?theme=37 &content=3406] Central Contractor Registration (CCR) Vendors are required to register in this database, prior to the award of any contract or basic ordering agreement. [http://www.ccr.gov] Department of Defense The vast majority of DOD contracts are awarded by DOD field organizations, or specific mission-oriented agencies within the department. Businesses seeking homeland security contracts should be aware that the DOD contracting process is very tightly controlled and regimented, often requiring prospective contractors to be precertified or obligated to apply for security clearances with the Defense Security Service (DSS), National Industrial Security Program (NISP) at its website, at [http://www.dss.mil/isec/index.htm]. Because the limited number of available DOD homeland security contracts may initially be awarded to large or traditional prime contractors, small businesses may expand their access by investigating potential procurement opportunities available within the secondary market of subcontracting with DOD prime contractors. A list of all major DOD prime contractors arranged by state and including a point of contact for the Small Business Liaison Officer in each company is located at [http://www.acq.osd.mil/sadbu/publications/subdir/index.html]. Specific agencies or organizations within the DOD that may be able to assist businesses seeking homeland security contracts are listed in Table 4. CRS-17 Table 4. DOD Homeland Security Federal Assistance Programs Program Information on the Web Agency Program Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics USD (AT&L) via the General Services Administration FedBizOpps.gov has replaced DODBusOpps.com as the single government point-of-entry (GPE) for DOD procurement opportunities over $25,000. Government buyers are able to publicize their business opportunities by posting information directly to FedBizOpps via the Internet. [http://www.fedbizopps. gov/index.html] Technical Support Working Group (TSWG) The TSWG uses the Broad Agency Announcement Information delivery system (B.I.D.S.) as a tool for dissemination and receipt of data related to active contract solicitations. [http://www.tswg.gov/] Office of Small and Disadvantaged Business Utilization (SADBU) The SADBU operates programs and creates and disseminates information that will provide small and disadvantaged or minority businesses with opportunities to compete for DOD contracts. [http://www.acq.osd.mil/ sadbu/] Deputy Under Secretary of Defense for Advanced Systems & Concepts DUSD (AS&C) Advanced Concept Technology Demonstration (ACTD). DOD created the ACTD program in 1994 to assist the acquisition process by expediting the transition of maturing technologies from private sector developers to potential military customers. [http://www.acq.osd.mil/ asc/] Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics USD(AT&L) Defense Electronic Business Program Office facilitates the acquisition process by expediting electronic business-to-business transactions using established commercial standards and best practices. [http://www.acq.osd.mil/ dpap/ebiz/] [https://www.bids.tswg.gov/ tswg/bids.nsf/Main? OpenFrameset&5RVGUK] CRS-18 Agency Defense Logistics Agency (DLA) Program Information on the Web Program Procurement Technical Assistance Centers Program (PTAP) are located in most states as a local resource available to provide assistance to small business firms in marketing products to the DOD. [http://www.dla.mil/db/ procurem.htm] Department of Defense Homeland Security R&D At this juncture the vast majority of research and development money for homeland security will be coming from DHS, and only a small amount of funding for homeland defense will be coming from DOD. Potential contractors need to know that contracting with DOD requires knowledge of and adherence to a number of complex procedures, forms, and standards, as mentioned above. As yet there is no one place where homeland security/defense R&D contracting opportunities are listed centrally. Potential contractors have to search for homeland security/defense oriented R&D opportunities by going to more general R&D sites and scanning the listings. Places to look for potential DOD R&D contracts and contracting information on the Internet are given in Table 5. Table 5. DOD R&D Contracts and Contracting Information Agency/Organization Program Program Information on the Web Office of the Secretary of Defense Handbook on Selling to the Military [http://www.acq.osd.mil/sadbu/ publications/selling/main.htm] Defense Advanced Research Projects Agency (DARPA) High technology R&D projects [http://www.darpa.mil/body/ dobdar.html] DOD Small Business Innovation Research (SBIR) program Focus on small businesses [http://www.acq.osd.mil/sadbu/ sbir/] CRS-19 Agency/Organization Program Program Information on the Web Defense Electronic Business Program Office FedBizOpps.gov has replaced DODBusOpps.com as the single government point-of-entry (GPE) for DOD procurement opportunities over $25,000. Government buyers are able to publicize their business opportunities by posting information directly to FedBizOpps via the Internet. [http://www.fedbizopps.gov/ index.html] Center for Commercialization of Advanced Technology (CCAT) Public-private R&D partnership funded by DOD, which had been soliciting innovative technologies related to defense and homeland security [http://www.ccatsandiego.org] Other Federal Agency Homeland Security R&D Programs Homeland security-related research and development programs are conducted and supported by federal agencies other than DHS. Some of these programs are managed by offices dedicated specifically to supporting homeland security R&D. Others are funded through regular R&D support procedures. The programs listed in Table 6 support R&D funding for governmental, academic, and industrial performers and use contracts or grants, as appropriate. Several agencies have more than one relevant program. For additional information on other R&D opportunities at federal agencies, see CRS Report RS21617, Homeland Security Extramural R&D Funding Opportunities in Federal Agencies. CRS-20 Table 6. Other Federal Agency Homeland Security R&D Programs, Opportunities, and Resources Agency U.S. Dept. of Agriculture (USDA) Program The Homeland Security Council’s R&D focuses on food supply and agricultural production Program Information on the Web [http://www.usda.gov/ homelandsecurity/ homeland.html] [http://www.ars.usda.gov/Busi ness/Business.htm] Department of Commerce, National Institute of Standards and Technology (NIST) Fire safety standards, materials, cybersecurity, threat detection and protection, tools for law enforcement, and emergency response [http://www.nist.gov/ public_affairs/factsheet/ homeland.htm#tools] Dept. of Energy, Office of Science Various programs dealing with counter terrorism. See separate laboratories’ websites for their opportunities [http://www.sc.doe.gov/ grants/grants.html] Dept. of Health and Human Services (DHHS), National Institutes of Health (NIH) Biodefense Research at the National Institute of Allergy and Infectious Diseases (NIAID) on agents of bioterrorism and basic biology, immunology, vaccines, drugs, and diagnostics [http://www2.niaid.nih.gov/ biodefense/about/niaids_ role.htm] Dept. of Justice, National Institute of Justice (NIJ) Technology Program Public safety improvement programs include homeland security [http://www.ojp.gov/nij/ sciencetech/highlights.htm] [http://www.ojp.usdoj.gov/ nij/funding.htm] Dept. of Transportation (DOT) Research and Special Programs agency R&D on pipeline safety and homeland security [http://www.rspa.dot.gov/contr acts.html] Procurement information for the Volpe Center Additional securityrelated R&D procurement information For NIST grants programs, Joyce Brigham, (301) 975-6329 [http://www2.niaid.nih.gov/biod efense/research/default.htm] [http://www.volpe.dot.gov/ procure/current.html#rfp] [http://www.dot.gov/ DOTagencies.htm] [http://www.dot.gov/ PerfPlan2004/ homelandperf.html] CRS-21 Agency Environmental Protection Agency (EPA), Homeland Security Research Center National Science Foundation (NSF) Homeland Security Page Program Program Information on the Web Buildings, water, and rapid risk assessment in partnership with other EPA and other government laboratories, and other performers [http://www.epa.gov/ ordnhsrc/] Data mining, national hazards, ecology of infectious diseases, microbial genome sequencing, critical infrastructure, computer security, programs with the intelligence community, and small business innovation [http://www.nsf.gov/od/ lpa/news/media/01/ nsf_response.htm#grants] avel.andy@epa.gov Schultz.Patricia@epa.gov [http://www.nsf.gov/pubs/ 2003/nsf03569/ nsf03569.htm] [http://www.eng.nsf.gov/ sbir/homeland.htm] Other Federal Departments and Agencies Federal assistance for homeland security is also available through federal government agencies other than DHS and DOD. The table below lists agencies other than DHS that provide federal assistance, which can be used to fund homeland security activities, the relevant programs they administer, and Web addresses for program information from the pertinent agencies. The current availability of funding for each of these programs varies, so those interested should contact the respective agency for details. Table 7. Non-DHS Homeland Security Federal Assistance Programs Agency Program Program Information on the Web [http://www.bfrl.nist.gov/866/ extramuralprogram.htm] Department of Commerce, Fire Research Division Extramural Fire Research Grants Program Department of Justice, Bureau of Justice Assistance Edward Byrne Memorial [http://www.ojp.usdoj.gov/ State and Local Law BJA/grant/byrne.html] Enforcement Assistance (Byrne Formula Grant Program) Department of Justice, Bureau of Justice Assistance Local Law Enforcement Block Grant (LLEBG) [http://www.ojp.usdoj.gov/ BJA/grant/llebg_app.html] CRS-22 Agency Program Program Information on the Web Department of Justice, Bureau of Justice Assistance State and Local AntiTerrorism Training [http://www.ojp.usdoj.gov/ training.htm] Department of Justice, Office for Victims of Crime Antiterrorism and Emergency Assistance Program for Terrorism and Mass Violence Crimes [http://www.ojp.usdoj.gov/ fundopps.htm] Environmental Protection Agency Clean Water State Revolving Fund (CWSRF) [http://www.epa.gov/ OW-OWM.html/ cwfinance/cwsrf/index.htm] National Science Foundation (NSF) Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs [http://www.eng.nsf.gov/ sbirspecs/Program/program.htm ] The Catalog of Federal Domestic Assistance The Catalog of Federal Domestic Assistance, which describes some 1,500 grants, loans, and nonfinancial assistance programs of the federal government, lists most homeland security programs under the Department of Homeland Security [http://12.46.245.173/pls/portal30/CATALOG.BROWSE_AGENCY_PROGRAM _RPT.SHOW?p_arg_names=agency_id&p_arg_values=3489206]. For information on additional federal first-responder and terrorism preparedness programs still administered by other federal departments and agencies, the CFDA Web page Assistance Programs Relating to Recovery [http://www.cfda.gov/911.htm] may help. Other Relevant CRS Products CRS Report RS21617. Homeland Security Extramural R&D Funding Opportunities in Federal Agencies, by Genevieve J. Knezo. CRS Report RL31227. Terrorism Preparedness: Catalog of Selected Federal Assistance Programs, coordinated by Ben Canada. CRS Report RS21302. Assistance to Fire Fighters Program, by Lennard G. Kruger. CRS Report RL31465. Protecting Critical Infrastructure from Terrorist Attack: A Catalog of Selected Federal Assistance Programs, by John Moteff. CRS Report RL31615. Homeland Security: The Department of Defense’s Role, by Steve Bowman. CRS-23 CRS Report RL31802. Appropriations for FY2004: Department of Homeland Security, coordinated by Paul M. Irwin and Dennis W. Snook. CRS Report RL32242. Emergency Management Funding for the Department of Homeland Security: Information and Issues for FY2005, by Keith Bea, Shawn Reese, Wayne Morrissey, and C. Stephen Redhead. CRS Report RS21650. FY2004 Appropriations for First Responder Preparedness: Fact Sheet, by Shawn Reese. CRS Report RL32348. Selected Federal Homeland Security Assistance Programs: A Summary, by Shawn Reese. Conclusion The process of identifying and pursuing a federal grant, contract, or research and development opportunity in the area of homeland security can be very difficult. Although no single resource will necessarily get every business, university, research organization, or state or local government interested in pursuing homeland security funds to exactly the information or program listing that they require, the gateways provided in this report provide the starting points for their search. Once the gateways are entered, the process has only just begun. There are things that must be done: write program listings, prepare grant applications, write contract proposals, and meet certain requirements.