Air Force Basic Research Sciences Conference and Workshop Support.pdf

AIR FORCE OFFICE OF SCIENTIFIC RESEARCH

BROAD AGENCY ANNOUNCEMENT

For

CONFERENCE AND WORKSHOP SUPPORT

I. OVERVIEW INFORMATION

The Air Force Office of Scientific Research (AFOSR), hereafter generally referred to as “we”, “us”, “our”, or “AFOSR,” manages the basic research investment for the Department of the Air Force (DAF). Conferences and workshops constitute key forums for research and technology interchange. We provide partial support for conferences and workshops as defined in the Department of War (DoW) Joint Travel Regulations in special areas of science that bring experts together to discuss recent research or educational findings, or to expose other researchers or advanced graduate students to new research and educational techniques in our areas of research interest. Our research interests are described in the most recent version of our general Broad Agency Announcement titled, “Research Interests of the Air Force Office of Scientific Research” posted on Grants.gov.

AFOSR support for a workshop or conference is not an endorsement of any organization.

AFOSR financial support through grants for conferences and workshops is dependent on the availability of funds, Program Officer’s discretion, and certain other restrictions as described in the full announcement.

II. BASIC INFORMATION

1. FEDERAL AWARDING AGENCY NAME

Air Force Office of Scientific Research 875 North Randolph Street, STE 325, Room 3112 Arlington, VA 22203

2. FUNDING OPPORTUNITY TITLE

Air Force Basic Research Sciences Conference and Workshop Support

3. ANNOUNCEMENT TYPE

Initial Announcement

4. ANNOUNCEMENT NUMBER

FA955026S0002

5. CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER

12.800 Air Force Defense Research Sciences Program

6. FUNDING

Approximately $2 million per year is anticipated to be available for support of actions awarded under this announcement, subject to availability of funds. Research proposals funded between $5,000 and $100,000 are encouraged. Most conference and workshop awards are limited to a maximum one year duration. AFOSR funding of a conference or workshop is limited to 50% of the total cost estimate of the event. AFOSR anticipates that the applicants will have other funding sources, including but not limited to University co-funding, funding from other US government science and engineering grant agencies (e.g., National Science Foundation, Office of Naval Research or similar) or private foundations. AFOSR will not consider any request for exception above $500,000.

7. KEY DATES

Proposals must be submitted at least six (6) months prior to the conference or workshop start date to be considered. This announcement remains open until superseded or closed. We review and evaluate proposals as they are received. You may submit proposals at any time.

TABLE OF CONTENTS

A. PROGRAM DESCRIPTION

B. FEDERAL AWARD INFORMATION

C. ELIGIBILITY

C.1. ELIGIBLE APPLICANTS

C.2. COST SHARING

C.3. GOLD STANDARD SCIENCE AND OVERSIGHT OF FEDERAL GRANT MAKING

C.3.a. Definition of Gold Standard Science C.3.b. Expectation of Adherence to Gold Standard Science and EO 14332

C.4. OTHER

C.4.a. Acknowledgement of Support and Disclaimer Requirements C.4.b. Expectation of Public Dissemination of Research Results C.4.c. Disclosure of Conflict of Commitment and Conflict of Interest

C.5. AFOSR-SPECIFIC FUNDAMENTAL RESEARCH SECURITY REVIEW(FRSR) INFORMATION

C.5.a. Actions Required by Applicants/Recipients at Proposal Submission C.5.b. Actions Required by Covered Individuals

(2) Collaborators and Other Affiliations

D. APPLICATION CONTENTS AND FORMAT

D.1. ADDRESS TO REQUEST APPLICATION PACKAGE

D.2. APPLICATION CONTENTS

D.2.a. Pre-proposal Inquiries and Questions D.2.b. The Application as a Whole D.2.c. Proposal Format D.2.d. Proposal Length D.2.e. No Confidential or Proprietary Allowed D.2.f. Electronic Form and Proposal Attachments D.2.g. Use of Generative Artificial Intelligence (GenAI) Tools

D.3. GRANTS.GOV APPLICATION SUBMISSION

D.3.a. Electronic Delivery D.3.b. How to Register to Apply through Grants.gov D.3.c. How to Submit an Application to AFOSR via Grants.gov

D.4. COMPONENT PIECES OF THE APPLICATION

D.4.a. SF 424 (R&R) Application for Federal Assistance Form D.4.b. R&R Other Project Information Form D.4.c. Publicly Releasable Project Summary / Abstract D.4.d. Project Narrative D.4.e. Bibliography and References Cited D.4.f. R&R Senior/Key Person Profile (Expanded) Form D.4.g. R&R Budget Form D.4.h. Budget Justification D.4.i. R&R Personal Data Form (Optional) D.4.j. Data Management Plan

D.5. INFORMATION YOU MUST SUBMIT IF SELECTED FOR POSSIBLE AWARD

D.6. UNIQUE ENTITY IDENTIFIER (UEI), CAGE, AND SYSTEM FOR AWARD MANAGEMENT (SAM)

D.6.a. SAM Registration Required D.6.b. SAM Exemption or Exceptions Not Available Under This Announcement D.6.c.. Consequences of Non-Compliance with SAM Registration Requirements

E. SUBMISSION DATES AND TIMES

E.1. PROPOSAL SUBMISSION

E.1.a. How Proposal Submission Time is Determined E.1.b. Grants.gov Tracking Number is Application Receipt E.1.c. Effect of Superseding Announcement

E.1.d. INTERGOVERNMENTAL REVIEW

E.2. FUNDING RESTRICTION

E.2.a. Proposal Preparation Costs E.2.b. Pre-Award Costs for Grants E.2.c. Pre-Contract Costs under FAR Cost-Reimbursement Contract Awards Not Available E.2.d. Air Force Office of Scientific Research No-Cost Extension (NCE) Guidance E.2.e. Equipment Vesting

E.3. OTHER SUBMISSION REQUIREMENTS

F. PROPOSAL REVIEW INFORMATION

F.1. CRITERIA

F.2. REVIEW AND SELECTION PROCESS

F.2.a. Merit-based, Competitive Procedures F.2.a.1 Programmatic Review F.2.a.2 Peer Review F.2.b. Principal Evaluation and Selection Criteria F.2.b.1 Programmatic Requirements Review Criteria (Initial Screening – Go/No-Go Criteria) F.2.b.2 Full Evaluation F.2.c. Cost Analysis for Reasonableness and Realism F.2.d. Risk Assessment

F.3. DISCLOSURE OF ADMINISTRATIVE PROCESSING BY CONTRACTOR PERSONNEL

F.4. NO GUARANTEED AWARD

G. AWARD NOTICES

G.1. SELECTION NOTICES

G.1.a. Electronic Notification G.1.b. Selection for Possible Award Does Not Authorize Work G.1.c. Federal Award Document G.1.d. Electronic Federal Award Distribution

G.2. ADMINISTRATION AND NATIONAL POLICY REQUIREMENT

G.2.a. Certification to Lobbying Activity G.2.b. Unpaid Delinquent Tax Liability or a Felony Conviction under Any Federal Law – DoW Appropriations G.2.c. Certification Regarding Disclosure of Funding Sources G.2.e. Reporting of Matters Related to Recipient Integrity and Performance G.2.f. Agency Review of Risk Posed by Applicants G.2.g. Cross-Cutting National Policy Requirements G.2.h. Acknowledgement of Research Support G.2.i. Disclaimer Language for Research Materials and Publications G.2.j. Grants and Cooperative Agreements - Uniform Administrative Requirements, Cost Principles, and Audit

Requirements G.2.k. Domestic Grants and Cooperative Agreements - DoW Research and Development General Terms and

Conditions G.2.l. Foreign Grants and Cooperative Agreements – Terms and Conditions G.2.m. Contract Award Terms and Conditions G.2.n. Conditions of Award for Recipients Other Than Individuals G.2.o. Contract Solicitation Provisions and Clauses Incorporated by Reference G.2.p. Minimum Record Retention Requirements

H. POST-AWARD REQUIREMNTS AND ADMINISTRATION

H.1. MONITORING AND REPORTING PROGRAM PERFORMANCE

H.2. REPORTS

H.2.a. Technical Performance Report Format H.2.b. Standard Form (SF) 425 Federal Financial Report H.2.c. Electronic Payment Requests and Electronic Payment H.2.d. Other Reports H.2.e. Electronic Submission of Reports

I. OTHER INFORMATION

I.2. GENERAL INQUIRIES AND QUESTIONS

I.3. OMBUDSMAN

I.4. GRANTS AND CONTRACTING OFFICERS AUTHORITY

I.5. FUNDING OPPORTUNITIES

A. PROGRAM DESCRIPTION

IAW Executive Order 14332 (EO 14332), all program descriptions contained in this BAA reflect the basic research priorities for the Department of the Air Force and are defined to advance the administration and agency priorities (c.f., OMB memo M-25-34 “Fiscal Year 2027 Administration Research and Development Budget Priorities and Cross-Cutting Actions”).

More information about the Department of the Air Force priorities can be found at www.af.mil.

The Air Force Office of Scientific Research manages the basic research investment for the Department of the Air Force. Conferences and workshops constitute key forums for research and technology interchange. We provide partial support for conferences and workshops as defined in the DoW Joint Travel Regulations in special areas of science that bring experts together to discuss recent research or educational findings, or to expose other researchers or advanced graduate students to new research and educational techniques in our areas of research interest. Our research interests are described in the most recent version of our general Broad Agency Announcement titled, “Research Interests of the Air Force Office of Scientific Research” posted on Grants.gov.

We can only consider funding requests from U.S. institutions of higher education (IHE) or nonprofit organizations as described in 2 CFR 200.1, including foreign public entities and foreign organizations operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest. We do not award grants to organizations with a for-profit organization type.

Our support for a workshop or conference is not an endorsement of any organization.

Our financial support through grants for conferences and workshops is dependent on the availability of funds, Program Officer’s discretion, and certain other restrictions including:

Conference or workshop subject matter must be scientific, technical, or involve professional issues that are relevant to our mission of managing the Department of the Air Force basic research program.

Dissemination of research results from work we fund to relevant scientific and technical audiences.

Transfer of Federally-developed technology or technology developed using Federal funding to the private sector or to stimulate wider interest and inquiry into the relevant scientific, technical, or professional issues relevant to our mission.

Conference or workshop support is limited to a maximum 50% of the total budget for the event.

Proposals for conference or workshop support should be submitted a minimum of six (6) months prior to the date of the conference or workshop. We cannot make an award after the conference start date, even if you submitted your proposal earlier.

B. FEDERAL AWARD INFORMATION

All applications received under this announcement will be considered applications for new awards, including any application marked renewal. Awards may start any time during the year, and most awards have a maximum performance duration of one (1) year. The actual start date is determined at the time of award and may be different than the date you propose. We cannot award a grant for conference or workshop support after the event has started. We may not be able to consider an application submitted less than six months prior to the start date of the conference or workshop.

Awards are made under the authority of 10 U.S.C. 4001 in the form of grants, cooperative http://www.ecfr.gov/cgi-bin/text-idx?SID=de4cb739ce90fc71f364a622e495a608&amp%3Bamp%3Bmc=true&amp%3Bamp%3Bnode=se2.1.200_138&amp%3Bamp%3Brgn=div8 agreements, or contracts. We rely on discretionary appropriated funds for this program. We can only make awards if enough funds are made available. We select what kind of award instrument we can use based on requirements in the Federal Grant and Cooperative Agreement Act 31 U.S.C.

6301 – 31 U.S.C. 6308. Awards may take the form of contracts, grants, cooperative agreements, technology investment agreements and other transaction agreements as appropriate.

A grant or cooperative agreement award may be made to U.S. institutions of higher education (IHE) or nonprofit organizations as described in 2 CFR 200.1, including foreign public entities and foreign organizations operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest.

We will only consider providing support for conferences or workshops in our areas of research interest. We reserve the right to select and fund for award all, some, part, or none of the proposals received in response to this announcement. AFOSR will prioritize institutions that have demonstrated success in implementing Gold Standard Science, IAW Executive Orders 14303 and 14332. There is no guarantee of an award. NOTE: AFOSR will not consider any request for exception above $500,000. Any proposal over $500,000 will not be considered.

C. ELIGIBILITY

C.1. ELIGIBLE APPLICANTS

C.1.a. General Only some organizations are eligible to submit proposals for conference or workshop support. We can consider conference or workshop funding requests from U.S. institutions of higher education (IHE) or nonprofit organizations, including foreign public entities and foreign organizations operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest. However, no funds under this announcement are reserved or otherwise set-aside for any specific entity type.

C.1.b. HBCU/MSI and Tribal College and University, Applicants Encouraged

Historically Black Colleges and Universities and Minority-serving Institutions (HBCU/MSI), Tribal Colleges and Universities (TCU), and HBCU/MSI/TCU-affiliated research entities are encouraged to submit conference or workshop proposals and join others in submitting proposals.

C.1.c. Eligibility Notice for All Applicants

We review your application, proposal, and Office of Management and Budget (OMB) designated repositories of government-wide public and non-public data, including comments you have made, as required by 31 U.S.C. 3321 and 41 U.S.C. 2313 and described in 2 CFR 200.205 and 32 CFR 22.410 to assess risk posed by applicants, and confirm applicants are qualified, responsible, and eligible to receive an award. If we cannot determine you or your organization are qualified and responsible, you are not eligible to receive an award.

C.1.d. Ineligible Entities

None of the following entity types are eligible to submit proposals as primary award recipients under this announcement.

• Federally Funded Research and Development Centers (FFRDCs)

• Individual persons or people https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleV-chap63.htm https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleV-chap63.htm https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleV-chap63.htm

• Federal agencies

• For-profit organization

C.2. COST SHARING

We do not require mandatory or committed cost sharing for proposals under this announcement. Cost sharing is not an evaluation or selection criterion. However, our funding is limited to partial support only. You must document estimates of sources of voluntary uncommitted cost share for conference or workshop costs as described further in section Project Narrative.

C.3. GOLD STANDARD SCIENCE AND OVERSIGHT OF FEDERAL GRANT MAKING

C.3.a. Definition of Gold Standard Science

IAW Executive Order 14303, Gold Standard Science (GSS) is science conducted in a manner that is:

(1) reproducible;

(2) transparent;

(3) communicative of error and uncertainty;

(4) collaborative and interdisciplinary;

(5) skeptical of its findings and assumptions;

(6) structured for falsifiability of hypotheses;

(7) subject to unbiased peer review;

(8) accepting of negative results as positive outcomes; and

(9) without conflicts of interest.

C.3.b. Expectation of Adherence to Gold Standard Science and EO 14332

AFOSR expects the highest standards of scientific rigor, integrity and adherence to appropriate tenets of Gold Standard Science (GSS). For more on these standards and DoW expectations, see https://www.cto.mil/gold-standard-science-implementation-plan/. AFOSR will prioritize institutions that have demonstrated success in implementing GSS, IAW EO 14303 and EO 14332.

To meet EO 14332,applications/proposals shall:

1) Include clear benchmarks for measuring success and progress towards relevant goals;

2) Include a commitment to achieving GSS and complying with administration policies, procedures, and guidance respecting GSS.

By responding to this BAA, you explicitly agree to the following statements:

1) Your institution understands the definition of Gold Standard Science as outlined in

Executive Order 14303.

2) Your institution and all personnel involved in the proposed project will adhere to all administration policies, procedures, and guidance respecting Gold Standard Science in the execution of this project, if funded.

C.4. OTHER

C.4.a. Acknowledgement of Support and Disclaimer Requirements

You must include the G.2.h. Acknowledgement of Research Support on all materials https://www.cto.mil/gold-standard-science-implementation-plan/ created or produced under our awards.

You must include the G.2.i. Disclaimer Language on materials as required.

Our award document may provide additional instructions about specific distribution statements to use when you provide research materials to us.

You must not use our agency logo without our advance permission. If you would like to use our logo, the Grants Officer can forward your request to our public affairs department.

If use is approved, you will receive additional instructions and image files as necessary.

You are not eligible to submit a proposal if you cannot accept these terms.

C.4.b. Expectation of Public Dissemination of Research Results

We expect research-related activities funded by this announcement will be fundamental. If our funding contributes to the generation of research-related products through the proposed conference or workshop activity, we expect public dissemination of research results if you receive an award. This is a basic requirement for unclassified research results.

We intend, to the fullest extent possible, to make available to the public all unclassified, unlimited peer-reviewed scholarly publications and digitally formatted scientific data arising from research and programs funded wholly or in part by the DoW as described in the OUSD AT&L Memorandum, “Public Access to Department of Defense-Funded Research” dated 09 Jul 2014 as well as in Executive Order 14303 and relevant DoW policies implementing GSS requirements .

We follow DoD Instruction 5230.24 and DoD Instruction 5230.27 policies and procedures to ensure broad dissemination of unclassified research results to the public and within the Government. The DoD Instruction 5230.27 policy and procedures allowing publication and public presentation of unclassified fundamental research results will apply to all research proposed under this competition unless the Program Officer gives you an explicit, written exclusion to these policies with the Grants or Contracting Officer’s advice and consent. All exclusions must be authorized or required by law and must cite a valid legal authority.

You must provide a copy of all peer-reviewed publications developed or produced from research conducted with Air Force and Space Force funds to our Program Officer.

You are not eligible to submit a proposal if you cannot accept these terms, and by your submission, you agree to the terms set forth herein.

C.4.c. Disclosure of Conflict of Commitment and Conflict of Interest

This announcement requires that all current and pending research support, as defined by 42 U.S.C. 6605 must be disclosed at the time of proposal, for all covered individuals. Covered Individuals are those who are listed as key personnel on proposals including but not restricted to the principal investigator or co-principal investigator.

Any decision to accept a proposal for funding under this announcement will include full reliance on the applicant’s statements. Failure to report fully and completely all sources of project support and outside positions and affiliations may be considered a materials statement within the meaning of the federal False Claims Act, and constitute a violation of law.

https://discover.dtic.mil/wp-content/uploads/2018/06/memo_public_access_kendall_20140709.pdf https://discover.dtic.mil/wp-content/uploads/2018/06/memo_public_access_kendall_20140709.pdf https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523024p.pdf?ver=2020-06-12-112557-280 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523027p.pdf?ver=2019-04-04-095230-883

The funding agency may conduct a pre-award conflict of interest/conflict of commitment review of any proposal selected for funding, as defined in the National Security Strategy for United States Government-Supported Research and Development (NSPM-33). Offerors are advised that any significant conflict of interest/conflict of commitment identified may be a basis for the rejection of an otherwise awardable proposal.

(1) General Requirement for Disclosure You and your organization must disclose any potential or actual scientific or non-scientific Conflict of Interest(s) to us. You must also disclose any potential or actual conflict(s) of interest for any subrecipient you include in your proposal.

You must provide enough information for us to evaluate your disclosure. We may have to ask you more questions if we need more information.

At our discretion, we may ask you for a conflict-of-interest mitigation plan after you submit your proposal. Your plan is subject to our approval.

(2) Scientific Conflict of Interest Scientific collaborations on research and development projects and their related conferences and workshops are generally the result of close collaboration prior to the submission of applications for support. Accordingly, virtually all of these collaborations might be considered to include a potential conflict of interest. The potential conflict is mitigated by the disclosure of these collaborations, and the list of current and pending support you provide for senior and key researchers.

C.5. AFOSR-SPECIFIC FUNDAMENTAL RESEARCH SECURITY REVIEW(FRSR)

INFORMATION

(1) Security Risk Review. Each proposal submission will be subject to a risk-based Security Review (FRSR) prior to selection for award. The FRSR is applied to federally funded research designed to help protect Department of the Air Force Science and Technology (S&T) by identifying possible vectors of undue foreign influence. AFRL, including AFOSR, will follow all policies and procedures outlined in Air Force Research Laboratory (AFRL) Instruction AFRLI 61-113, Science and Technology Protection for the Air Force Research Laboratory and Department of the Air Force Instruction DAFI 63-101/20-101, Integrated Lifecycle Management. The FRSR will be conducted in accordance with OUSD(R&E)’s Policy for Risk Based Security Reviews of Fundamental Research, dated 8 June 2023, and OUSD(R&E)’s Fundamental Research Security Initiatives and Implementation, dated 7 January 2026.

(2) Covered Individual. An individual who contributes to a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a federal research agency; and is designated as a covered individual by the federal research agency concerned. AFOSR further defines that all positions identified in the proposal are Covered Individuals and thereby subject to disclosure requirements and should have a corresponding Research and Related Senior and Key Person Profile Senior/Biosketch and Current and Pending (Other) Support, and Collaborators and Other Affiliations. See 42 U.S.C.§ 6605, Definitions. (Note: For purposes of a https://trumpwhitehouse.archives.gov/presidential-actions/presidential-memorandum-united-states-government-supported-research-development-national-security-policy/ https://trumpwhitehouse.archives.gov/presidential-actions/presidential-memorandum-united-states-government-supported-research-development-national-security-policy/ https://trumpwhitehouse.archives.gov/presidential-actions/presidential-memorandum-united-states-government-supported-research-development-national-security-policy/ https://www.whitehouse.gov/wp-content/uploads/2022/01/010422-NSPM-33-Implementation-Guidance.pdf

Notice of Funding Opportunity (NOFO) solicitation, “covered individuals” are all Senior/Key Personnel.)

(3) Security risk review for these subject proposals will be developed for all proposed “Covered Individuals.” These risk reviews will be based on information disclosed in a Research and Related Senior and Key Person Profile and Security Questionnaire. In addition, any accompanying or referenced documents, and publicly available information, will be utilized in risk reviews. Nationality or citizenship is not a factor in the security risk reviews.

(4) External Engagements. When considering all external engagements, AFRL incorporates a holistic decision-making process that encompasses technical and security factors. The security review method implemented by AFRL measures risk factors to identify the appropriate Risk Acceptance Authority (RAA) within the organization. The objective analysis of the security risk factors is conducted to empower AFRL’s S&T leaders to make risk-informed decisions. The review process looks at the risk factors indicated in the most up to date DoW Decision Matrix.

C.5.a. Actions Required by Applicants/Recipients at Proposal Submission

In accordance with AFRLI 61-113, S&T Protection, Applicants/Recipients are required to submit the following documentation with their proposal:

(1) Standard Form 424, “Research and Related Senior and Key Person Profile (Expanded) (Included in Application Package for all Covered Individuals);

(2) Common Disclosure Forms: Biosketch, Current and Pending (Other) Support, and Collaborators and Other Affiliations (to be submitted with SF-424);

(3) Security Program Questionnaire (See Appendix 1);

(4) “Privacy Act Statement” consent form for each Covered Individual that is also signed by the Applicants/Recipients as the Individual’s Sponsors (See “Covered Individual” section below and Appendix 2);

(5) Certification(s) of Covered Individual’s Research Security Training. AFOSR accepts and recommends the Research Security Training module on National Science Foundation (NSF) SECURE website; however, Universities may submit certifications from substantially similar training(s). AFOSR requires all Covered Individuals listed on the application for a research and development award to take the training in the 12 months prior to proposal submission. Upon acceptance of proposal, Covered Individuals must submit and maintain annual certifications showing this course was taken yearly.

(6) Compliance Attestation. You must certify your institution’s compliance with OUSW’s Research Protection policies as articulated in the most up to date OUSW DoD Component Decision Matrix to Inform Research Proposal Mitigation Decisions on official university letterhead, and attest for the duration of the grant that the recipient confirms that the Covered Individuals participating in the grant are:

(1) not actively participating in a malign foreign talent recruitment program (MFTRP); and, https://www.secure-center.org/training https://www.secure-center.org/training

(2) not involved in active collaboration on fundamental research with a Section 1286 Prohibited Entity or employee of a Prohibited Entity.

For example: [The University] certifies that the information provided is current, accurate, and complete. This includes, but is not limited to, information related to current, pending, and other support (both foreign and domestic) as defined in 42 U.S.C. §6605.

[The University] also certifies that, at the time of submission, no Covered Individual listed is a party in a malign foreign talent recruitment program.

[The University] understands that misrepresentations and/or omissions may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C.

§§287, 1001, 1031 and 31 U.S.C. §§3729-3733 and 3802.

Signature3: [Business Office, Provost, Dean, or someone with the authority to legally obligate the University]

Date:

In the event a security risk is identified, and the Government has determined the security risk exceeds the acceptable threshold and cannot be mitigated, the Applicant/Recipient will be notified and informed of the decision to decline to award. The Government will provide an unclassified rationale for any rejection of a proposal due to security risks.

By submission of the required forms, the Applicant/Recipient agrees to comply with the following: To certify that each Covered Individual who is listed on the application has been made aware: 1) of all relevant disclosure requirements, including the requirements of 42 U.S.C. § 6605; and, 2) that false representations may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. §§287, 1001, 1031 and 31 U.S.C.

§§ 3729-3733 and 3802. See National Science and Technology Council Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development (January 2022)

C.5.b. Actions Required by Covered Individuals. Federal law requires that all current and pending research support, as defined by 42 U.S.C. § 6605, must be disclosed at the time of proposal submission, for all covered individuals.

(1) Research and Related Senior/Key Personnel Profile (Expanded) to include:

• Biosketch Form; and,

• Current and Pending (Other) Support. AFOSR requires information on all current and pending support for ongoing projects and proposals, including other current and pending support for the proposed conference or workshop. AFOSR accepts NSF’s Current and Pending (Other) Support, https://www.nsf.gov/policies/nspm- 33/common-form-cps. This document contains a list of an https://www.nsf.gov/policies/nspm-33/definitions#malign-program https://www.nsf.gov/policies/nspm-33/common-form-cps https://www.nsf.gov/policies/nspm-33/common-form-cps individual's proposed and active projects and sources of support. It is used by AFOSR to assess:

• The capacity of the individual to carry out the proposed activity;

• Any potential scientific and budgetary overlap or duplication across projects; and

• The potential the individual is overcommitting themselves with the proposed activity.

What to include in your Current and Pending (Other) Support document: A brief outline of the information you will need to include is provided below.

• Identifying information.

• Organization and location.

• Projects/proposals, including the following:

• Project/proposal title.

• Status of support.

• Source of support.

• Primary place of performance.

• Start date.

• End date.

• Total award amount.

• Person-months (or partial person-months) per year committed to the project/proposed project.

• Overall objectives.

• Statement of potential overlap.

• In-kind contributions.

• Certification that the information you've provided is current, accurate and complete.

• Senior/key personnel are required to certify that the information is current, accurate and complete. This includes, but is not limited to, information related to current, pending and other support (both foreign and domestic).

(2) Collaborators and Other Affiliations. AFOSR accepts the template format required by NSF applicants for identifying this information. AFOSR uses Collaborators and Other Affiliations information during the merit review process to help manage reviewer selection. To expedite identification of potential reviewers, having a standard, searchable format for this information is essential. If you are using a Microsoft Excel document, you must submit it as a PDF document through Grants.gov. A brief outline of the information you will need to include is provided below.

https://nsf-gov-resources.nsf.gov/files/coa_template.xlsx?VersionId=uaz022di3.2KKDC7uauIadw7yeI3Xf.1

• Your name and organizational affiliation.

• The names of anyone whose relationship to you precludes their service as a reviewer — including personal, family or business relationships

— and what type of relationship you have with them.

• Names and organizational affiliations of your Ph.D. advisor and Ph.D.

thesis advisees.

• Names and organizational affiliations of any co-authors or project collaborators in the last 48 months. Names of editorial boards, editors-in-chief and co-editors you have interacted with in the last 24 months.

Do not list editors or reviewers you have interacted with because of a paper submission.

(3) Certification(s) of Research Security Training. See above, C.5.a.

(4) The Government will require an updated disclosure whenever Covered

Individuals are added or identified as performing under the funded project. The Government may require an updated disclosure during the performance of any research project selected for funding.

(5) Covered Individuals are also required to sign the “Privacy Act Statement” and provide such signed statement to the Applicant/Recipient for submission with the proposal. (See Appendix 2).

Any decision to accept a proposal for funding under this announcement will include full reliance on the individual’s statements. Failure to report fully and completely all sources of project support and outside positions and affiliations may be considered a material statement within the meaning of the False Claims Act, 31 U.S.C. 3729, and constitute a violation of Federal law.

C.5.c. Actions required by Applicants/Recipients during period of performance

(1) Applicant/Recipient will utilize a section of the Research Progress Performance Report (RPPR) to provide disclosure updates for Senior/Key Research Personnel.

In addition, whenever a new Covered Individual(s) is to be added or identified as performing under the funded project, a new Research and Related Senior and Key Person Profile will be required prior to continued performance.

(2) If, at any time, during performance of this award, the Applicant/Recipient learns that its Senior/Key Research Personnel and or Covered Individual are or are believed to be participants in a Foreign Government Talent Program or have Foreign Components with a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer, the Applicant/Recipient will notify the Contracting/Grants/Agreements Officer within five (5) business days of awareness. Foreign Component is defined as performing any significant scientific aspect of a project outside the United States. This applies whether the activity is conducted by the recipient or a researcher at a foreign organization, regardless of whether grant funds are used.

(3) This disclosure must include specific information as to the personnel involved and the nature of the situation and relationship. The Government will review this information and conduct any necessary fact-finding or discussion with the

Applicant/Recipient. The Government’s determination on disclosure may include:

acceptance, mitigation, or termination of the award.

The Applicant/Recipient will be required to flow down this provision to all sub-awardees who have personnel designated as Senior/Key Research Personnel or Covered Individuals as a result of their involvement in the performance of the research.

Type of activity Documents requiring information

Professional preparation (e.g., education and training).

• Biographical

Sketch

Academic, professional or institutional appointments and positions, whether or not remuneration is received, and whether full-time, part-time or voluntary.

• Biographical Sketch

A list of products that demonstrate the individual's qualifications to carry out the project as proposed.

• Biographical Sketch

Current and pending (other) support:

a. All resources made available, or expected to be made available, to an individual in support of the individual's research and development efforts, regardless of

1. whether the source is foreign or domestic;

2. whether the resource is made available through the entity applying for a research and development award or directly to the individual;

or

3. whether the resource has monetary value; and

b. includes in-kind contributions requiring a commitment of time and directly supporting the individual's research and development efforts, such as the provision of office or laboratory space, equipment, supplies, employees or students.

• Current and Pending (Other) Support

In-kind contributions with an estimated dollar value of $5,000 or more that support the research, conference or workshop activity for use on the project/proposal being proposed.

• Current and Pending (Other) Support

In-kind contributions:

i. with an estimated dollar value of $5,000 or more,

ii. not intended for use on the project/proposal being proposed, and

iii. have an associated time commitment.

• Current and Pending (Other) Support

Current or pending participation in, or applications to, programs sponsored by foreign governments, instrumentalities, or entities, including foreign government sponsored talent recruitment programs.

• Biographical Sketch

Type of activity Documents requiring information

• Current and Pending (Other) Support

(Appropriate placement in each document may be contract dependent)

Consulting activities under the proposals and active projects section of the form when any of the following scenarios apply:

1. The consulting activity will require the senior/key person to perform research as part of the consulting activity;

2. The consulting activity does not involve performing research, but is related to the senior/key person's research portfolio and may have the ability to impact funding, alter time or effort commitments, or otherwise impact scientific integrity; or

3. The consulting entity has provided a contract that requires the senior/key person to conceal or withhold confidential financial or other ties between the senior/key person and the entity, irrespective of the duration of the engagement.

• Current and Pending (Other) Support

Postdoctoral scholars, students or visiting scholars who are supported by an external entity, whose research activities are not intended for use on the project/proposal being proposed and have an associated time commitment.

• Current and Pending (Other) Support

Travel supported/paid by an external entity to perform research activities with an associated time commitment.

• Current and Pending (Other) Support

Startup company based on non-organization-licensed intellectual property (IP).

• Current and

Pending (Other) Support

Startup packages from other than the proposing organization.

• Current and

Pending (Other) Support

D. APPLICATION CONTENTS AND FORMAT

D.1. ADDRESS TO REQUEST APPLICATION PACKAGE

All the application forms you need are available electronically on Grants.gov. From the “View Grant Opportunity” page, you can click on the “Package” tab to download the application package.

You can find the electronic application package on Grants.gov by searching for the announcement number shown on page one. We will not issue paper copies of this announcement.

http://www.grants.gov/

Please contact us at afosr.baa@us.af.mil to request a reasonable accommodation for any accessibility requirements you may have.

D.2. APPLICATION CONTENTS

D.2.a. Pre-proposal Inquiries and Questions You should submit your technical questions and inquiries in writing by electronic mail to the Program Officer listed for your topic of interest in our most recent general Broad Agency Announcement titled, “Research Interests of the Air Force Office of Scientific Research” posted on Grants.gov. You may access this announcement at https://grants.gov/search-results-detail/362681.

You should include the announcement number in the subject line.

If you have general questions about this announcement or administrative matters, you must submit your question in writing by email to the contact listed in section I.1.General Inquiries and Questions.

The Program Officer does not have the authority to make commitments for us. Grants and Contracting Officers acting within their warranted capacity are the only people authorized to make commitments for the Government.

D.2.b. The Application as a Whole

You must submit your proposal electronically through Grants.gov. We will not accept or evaluate any proposal submitted by any means other than through Grants.gov.

You must use the electronic Standard Form (SF) 424 Research and Related (R&R) Form Family, OMB Number 4040-0001. The SF 424 (R&R) Application for Federal assistance form must be your cover page. No pages may precede the SF 424 (R&R).

You must mark your application with the announcement number.

A summary of what is required for a complete proposal is summarized below:

• We require the forms and attachments in bold text with all applications

• Some applications require the attachments in italics

• We provide more instructions in D.4. Component Pieces of the Application mailto:afosr.baa@us.af.mil https://grants.gov/search-results-detail/362681 https://grants.gov/search-results-detail/362681

R&R FORM, OMB No. 4040-0001 FIELD ATTACHMENT

SF 424 (R&R) Application for Federal Assistance, including an authorized signature

18. If applicable, SF- LLL Disclosure of Lobbying Activities Per instructions in G.2.a.

R&R Other Project Information Form 7. Project Summary / Abstract

8. Project Narrative

9. Bibliography & References Cited

12. Other Attachments

R&R Senior / Key Person Profile Form (Expanded) for all Covered Individuals

Biographical Sketch

Current & Pending Support

Collaborators and Other Affiliations

Training Certification(s)

Compliance Attestation

Privacy Act Disclosure Form (See Appendix 2)

R&R Personal Data Form None

R&R Budget Form Budget Justification

R&R Project / Performance Site Locations Form

None

Note: Other Attachments Form on Grants.gov can be used as needed.

The SF 424 (R&R) must include the signature of an authorized representative from your organization. The signature is affixed electronically by Grants.gov upon submission. You are still required to submit any documentation, including disclosure of any unpaid delinquent tax liability or a felony conviction under any Federal law (see FAR 52.209-11).

This signature is considered the signature for the application as a whole.

D.2.c. Proposal Format

i. Paper Size – 8.5 x 11-inch paper

ii. Margins – 1 inch

iii. Spacing – Single, 1.5, or 2.0-line spacing

iv. Font – Times New Roman or Garamond, 10, 11, or 12point

v. Page Limitation – None. However, unnecessarily elaborate or lengthy proposals are not desirable

vi. Attachments – Electronic Portable Document Format (PDF)

vii. Content – As described below

D.2.d. Proposal Length

We do not limit the length of your proposal for this competition; however, you must not include elaborate brochures, reprints, or presentations beyond those sufficient to present a complete and effective proposal.

D.2.e. No Confidential or Proprietary Information Allowed

D.2.f. You must not include any confidential or proprietary information in your proposal. We will not evaluate any proposal for conference or workshop support that includes any confidential or proprietary information. Electronic Form and Proposal Attachments

Your application and proposal attachments must be in electronic file formats. You should use the Portable Document Format (PDF) for your attachments.

DO NOT password protect any attachments.

The website Adobe Software Compatibility | Grants.gov provides additional important instructions.

D.2.g. Use of Generative Artificial Intelligence (GenAI) Tools While the use of GenAI Tools is not prohibited, AFOSR strongly encourages disclosure of the use of such tools in your proposal.

Any use of GenAI tools is at your own risk, and you are responsible for ensuring the use of GenAI tools in your proposal does not result in plagiarism, unauthorized use of intellectual property, or presentation of misinformation. Please note that external reviewers are prohibited from using GenAI tools in the review process, and AFOSR Program Officers (POs) are prohibited from sharing proposal information with external GenAI tools. AFOSR POs have access to an approved firewalled internal GenAI tool (e.g., GenAI.mil) which they may use for internal proposal processing.

D.3. GRANTS.GOV APPLICATION SUBMISSION

This section provides the application submission and receipt instructions for AFOSR program applications. Please read the following instructions carefully and completely.

D.3.a. Electronic Delivery

AFOSR is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. AFOSR encourages applicants to submit their applications online through Grants.gov.

D.3.b. How to Register to Apply through Grants.gov

Instructions: Read the instructions below about registering to apply for AFOSR funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before https://www.grants.gov/applicants/adobe-software-compatibility beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

If individual applicants are eligible to apply for this grant funding opportunity, refer to:

Applicant Registration | Grants.gov

Organization applicants can find complete instructions here: Organization Registration | Grants.gov

(1) Obtain and Maintain ORCID for all key personnel All individuals listed on the Senior/Key Person form must have an Open Researcher and Contributor ID (ORCID) with the most up to date information updated and available.

As of September of 2024, the DoW is requiring all proposers to include a digital persistent identifier (DPI) for each senior or key person listed in a proposal. The DoW will require proposers to include the ORCID number for each Covered Individual listed in a proposal for an assistance award for R&D. ORCID numbers will be used since ORCID is currently the only DPI provider that meets the requirements for DPI common or core standards in the NSTC NSPM-33 implementation guidance.

For more detailed instructions for obtaining an ORCID number, refer to:

How do I register for an ORCID ID? | ORCID

(2) Obtain a UEI Number All entities applying for funding, including renewal funding, must have a Unique Entity Identifier (UEI) As of April of 2022, the federal government stopped using the DUNS number to uniquely identify entities registered in the System for Award Management (SAM). Entities doing business with the federal government will use a Unique Entity Identifier (UEI) created in SAM.gov. They will no longer have to go to a third-party website to obtain their identifier.

Active registrants will have their UEI assigned and viewable within SAM.gov; there is no action for registered entities to take at this time.

This transition allows Federal Agencies to streamline the entity identification and validation process, making it easier and less burdensome for entities to do business with the federal government.

For more detailed instructions for obtaining a UEI number, refer to: Entity Registration |

SAM

(3) Register with SAM In addition to having a UEI number, organizations applying online through Grants.gov must register with the System for Award Management (SAM). All organizations must register with SAM to apply online. Failure to register with SAM will prevent your organization from applying through Grants.gov.

https://www.grants.gov/applicants/applicant-registration https://grants.gov/applicants/applicant-registration/organization-registration https://grants.gov/applicants/applicant-registration/organization-registration https://support.orcid.org/hc/en-us/articles/360006897454-How-do-I-register-for-an-ORCID-ID https://sam.gov/content/entity-registration https://sam.gov/content/entity-registration https://sam.gov/content/entity-registration

For more detailed instructions for obtaining a UEI number, refer to:

Entity Registration | SAM

(4) Create a Grants.gov Account The next step in the registration process is to create an account with Grants.gov.

Applicants must know their organization's UEI number to complete this process.

Completing this process automatically triggers an email request for applicant roles to the organization's E-Business Point of Contact (EBiz POC) for review. The EBiz POC is a representative from your organization who is the contact listed for SAM. To apply for grants on behalf of your organization, you will need the Authorized Organizational Representative (AOR) role.

For more detailed instructions about creating a profile on Grants.gov, refer to: Add Profile | Grants.gov

(5) Authorize Grants.gov Roles After creating an account on Grants.gov, the EBiz POC receives an email notifying them of your registration and request for roles. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been approved as an

AOR.

For more detailed instructions about creating a profile on Grants.gov, refer to: Add Profile | Grants.gov

(6) Track Role Status To track your role request, refer to: Track Profile Role Status | Grants.gov

(7) Electronic Signature When applications are submitted through Grants.gov, the name of the organization's AOR that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR; this step is often missed and it is crucial for valid and timely submissions.

D.3.c. How to Submit an Application to AFOSR via Grants.gov

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team…