Basic, Applied, and Advanced Research in Science and Engineering

Published on AidPage by IDILOGIC on Jun 24, 2005

Purpose of this program:

To: (1) Discover new knowledge and gain better understanding in mathematical, physical, engineering, environmental, and life sciences, and other fields with good, long-term potential for contributing to technology for Department of Defense missions; (2) facilitate transition of research results to practical application for defense needs; (3) improve linkages between defense research and the civilian technology and industrial bases, to promote commercial application of the results of defense research and commercial availability of technology for defense needs; (4) foster education of future scientists and engineers in disciplines critical to defense; and (5) strengthen the infrastructure for research and related science and engineering education in those disciplines.

Possible uses and use restrictions...

Uses and restrictions are specified in individual program announcements (Broad Agency Announcements, or BAAs) and award documents issued by and codified regulations applicable to awards. These are submitted at the time of proposal or prior to award, as specified by executive agents.

Who is eligible to apply...

As stated in individual BAAs (generally, competitions are open to private and public educational institutions that carry out science and engineering research and/or related science and engineering education on a nonprofit basis). Awards are not made to individuals.

Eligible Applicant Categories:
Eligible Functional Categories:
Credentials/Documentation

Recipient eligibility is contingent upon submission of certifications and representations that are required by Federal statutes, executive orders, Times Vary, but award decisions are typically made within 90 to 120 days of receipt of the proposal.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

Institutions eligible to compete may submit proposals in response to Broad Agency Announcements (BAAs) that executive agents publish in Federal Business Opportunities (www.fedbizopps.gov) and circulate broadly to eligible proposers' sponsored-programs offices. Each BAA tells potential proposers what activities will be supported, in which science and engineering areas they will be supported, and how to apply.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

Award decisions are based on a competitive selection of proposals, using a technical merit review. Evaluation criteria are specified in the relevant Broad Agency Announcement. If selected for award, the proposal is the basis for the award document and the applicant agrees to perform the research or research-related activities (e.g., science or engineering education or research infrastructure-building activities) described therein.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...

Deadlines

Deadlines for submitting proposals are specified in the individual relevant Broad Agency Announcements.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

Times vary, but award decisions are typically made within 90 to 120 days of receipt of the proposal.

Preapplication Coordination

This program is excluded from coverage under E. O. 12372.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.

Appeals

Appeal procedures are specified by the executive agents.

Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).

Renewals

Application for a competitive new award is permitted.

Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

Beneficiaries may include individual graduate and undergraduate students (e.g., recipients of fellowships or research traineeships) in science and engineering disciplines important to defense, as well as institutions described under "Applicant Eligibility."

Beneficiaries
About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

Project Grants

The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.

How much financial aid...

Range and Average of Financial Assistance

$1,000 to $3,000,000. Average: $120,000.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.

Obligations

(Cooperative Agreements) FY 02 $224,196,000; FY 03 est $220,000,000; and FY 04 est $215,000,000.

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification

97-0400-0-1-051.

Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...

1. University research grants in areas such as: Materials degradation and fatigue; hypervelocity flow; organic superconductors; high-frequency microelectronics; biodegradation of military toxic wastes; blue-green optoelectronic emitters; robust geometric calculations; 3-D visualizations and design of large, manufactured objects; 2. augmentation grants, in conjunction with DoD contracts or grants for research performance, to provide additional research assistantships and increase the number of graduate students receiving research training through defense research; and 3. instrumentation grants, to allow the purchase of more costly items of research equipment ($50,000 and up) that can usually be funded within single-investigator research awards.

About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

Numerous research accomplishments and research training for more than 1,000 graduate students in science and engineering areas with a high potential for long-term benefit to defense needs (areas such as electronics and electro-optics; materials science; fluid dynamics; biotechnology; manufacturing-related research; mathematics and computer sciences; and environmental science).

Criteria for selecting proposals...

Generally, the principal evaluation and selection criteria are the technical merits of the proposed research (or research-related activity) and its potential relationship in the long term to missions of the Department of Defense. Other selection criteria vary with the nature of the specific research or research-related activity. Typical examples include: Qualifications of the principal investigator and other key personnel to perform the proposed activity; adequacy of current or planned facilities and equipment to do so; and realism and reasonableness of proposed costs.

Assistance considerations...

Length and Time Phasing of Assistance

Funding reflects period of performance and may be awarded incrementally.

Formula and Matching Requirements

There are no statutory formulas. Cost-sharing or matching, if required, would be specified in the individual Broad Agency Announcement.

Note:
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...

Reports

Technical and financial reporting requirements are in accordance with terms and conditions of award documents and with Department of Defense implementation of applicable OMB Circular Nos. A- 110 and A-102.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.

Audits

In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Non-Profit Organizations," non federal entities that expend financial assistance of $300,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).

Records

Recordkeeping requirements are in accordance with Department of Defense implementation of 12.300; the air force office of Scientific Research (listing 12.800).

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.

Regulations...

Authorization

10 U.S.C. 2358, as amended; 10 U.S.C. 2323; 10 U.S.C. 2391 et seq.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

See program announcements (Broad Agency Announcements) issued by executive agents.

Contact information...

Web Sites
Regional Or Local Office

Not applicable.

Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

For information about open competitions or future opportunities, prospective proposers should contact the agents that execute the program. The executive agents are the Army Research Office (see information contacts in listing 12.431 in FMR); the Office of Naval Research (listing 12.300); the Air Force Office of Scientific Research (listing 12.800); and the Advanced Research Projects Agency (listing 12.910).

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: