F02 Minerva Full FY22 FOA Final.pdf

FEDERAL AWARDING AGENCY:

Washington Headquarters Services Acquisition Directorate

(WHS/AD)

FUNDING OPPORTUNITY TITLE: Minerva Research Initiative

ANNOUNCEMENT TYPE: Initial Announcement

NOTICE OF FUNDING

OPPORTUNITY (NFO) NUMBER:

HQ003422NFOEASD07

ASSISTANCE LISTING: 12.431 Basic Scientific Research

KEY DATES:

White Papers: Friday, October 14th, 2022 1500 Eastern

Full Applications: Thursday, February 9th 2023 1500 Eastern

AGENCY CONTACT:

Jonathan Bertsch

Grants Officer, WHS/AD

E-mail: jonathan.e.bertsch.civ@mail.mil mailto:jonathan.e.bertsch.civ@mail.mil

CONTENTS

I. PROGRAM DESCRIPTION

A. SHORT DESCRIPTION OF FUNDING OPPORTUNITY

B. BACKGROUND

C. PROGRAM DESCRIPTION/OBJECTIVE

D. AUTHORIZATION

E. LEGAL REQUIREMENTS

F. PROGRAM-SPECIFIC REQUIREMENTS

II. FEDERAL AWARD INFORMATION

A. AWARD HISTORY AND INSTRUMENT

B. FUNDING AMOUNT AND NUMBER OF AWARDS

C. PROFIT/FEE

D. PLACE OF PERFORMANCE

E. PERIOD OF PERFORMANCE

F. SUB-AWARDEES AND SUB-CONTRACTS

G. GOVERNMENT ROLE AND RESPONSIBILITY

III. ELIGIBILITY INFORMATION

A. ELIGIBLE INSTITUTIONS

B. OTHER ELIGIBILITY CRITERIA

C. COST SHARE OR MATCHING

D. CONFLICT OF INTEREST

1. GENERAL REQUIREMENT FOR DISCLOSURE

2. SCIENTIFIC CONFLICT OF INTEREST

3. OTHER

IV. APPLICATION AND SUBMISSION INFORMATION

A. SUBMISSION DATES AND TIMES

B. ADDRESS TO REQUEST APPLICATION PACKAGE

C. APPLICATION PROCEDURES AND REQUIREMENTS

D. APPLICATION WITHDRAWAL

E. INTERGOVERNMENTAL REVIEW

F. CONTENT AND FORMATION OF SUBMISSIONS

1. GENERAL REQUIREMENTS

2. WHITE PAPER PREPARATION AND SUBMISSION

3. FULL PROPOSAL PACKAGE PREPARATION AND SUBMISSION

4. GRANTS.GOV APPLICATION SUBMISSION PROCEDURES AND RECEIPT

G. FUNDING RESTRICTIONS

V. APPLICATION REVIEW INFORMATION

A. SELECTION CRITERIA

B. REVIEW AND SELECTION PROCESS

1. WHITE PAPERS

2. FULL APPLICATIONS

C. ANTICIPATED AWARD ANNOUNCEMENT AND FEDERAL AWARD DATES

D. HANDLING OF SELECTION INFORMATION

VI. FEDERAL AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

B. ACCESSING GRANT AWARDS

C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

D. APPROPRIATIONS PROVISIONS ON TAX DELINQUENCY AND FELONY CONVICTIONS . 26

E. PROHIBITION ON CONTRACTING WITH ENTITIES THAT REQUIRE CERTAIN INTERNAL

CONFIDENTIALITY AGREEMENTS

VII. REPORTING REQUIREMENTS

A. ANNUAL REPORTS

B. FINAL REPORTS

1. CLOSEOUT REPORT

2. FINAL FEDERAL FINANCIAL REPORT (SF425)

3. INVENTION REPORT

VIII. OTHER ADMINISTRATIVE REQUIREMENTS

IX. FEDERAL CONTACTS

X. OTHER INFORMATION

A. FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT OF 2006

B. CODE OF CONDUCT

C. HUMAN SUBJECT RESEARCH

D. INSTITUTIONAL DUAL USE RESEARCH OF CONCERN

E. DEPARTMENT OF DEFENSE HIGH PERFORMANCE COMPUTING PROGRAM

F. PROJECT MEETINGS AND REVIEWS

G. SECURITY CLASSIFICATION

H. ORGANIZATIONAL CONFLICTS OF INTEREST (OCI)

I. MILITARY RECRUITING

J. REPORTING EXECUTIVE COMPENSATION AND FIRST-TIER SUBAWARDS

K. NDAA SECTION 889 COMPLIANCE

XI. SPECIFIC INFORMATION REGARDING MINERVA

A. EXPECTATIONS FOR MINERVA RESEARCHERS

1. PROJECT MEETINGS AND REVIEWS

2. RESEARCH OUTPUT

B. BASIC VS. APPLIED RESEARCH

C. SPECIFIC MINERVA RESEARCH INITIATIVE TOPICS

D. Topic 1: Socio-economic vulnerability to climate change

E. Topic 2: Deterrence in the Future Operating Environment

F. Topic 3: Russian Speakers in Online Spaces

G. Topic 4: Power and Influence in the Era of Strategic Competition

H. Topic 5: The Arctic as a Polar Crossroads

I. Topic 6: Management and Information in the Defense Environment

I. PROGRAM DESCRIPTION

A. SHORT DESCRIPTION OF FUNDING OPPORTUNITY

The Office of the Secretary of Defense (OSD) is interested in receiving proposals for the Minerva Research Initiative (http://minerva.defense.gov), a university-led defense social science program seeking fundamental understanding of the social and cultural forces shaping U.S. strategic interests globally. OSD is particularly interested in projects that align with and support the upcoming 2022 National Defense Strategy.

B. BACKGROUND

Minerva aims to improve DoD's basic understanding of the social, cultural, behavioral, and political forces that shape regions of the world of strategic importance to the U.S. The research program seeks to:

Leverage and focus the resources of the Nation's top universities;

Define and develop foundational knowledge about sources of present and future conflict with an eye toward better understanding of the political trajectories of key regions of the world; and

Improve the ability of DoD to develop cutting-edge social science research, foreign area and interdisciplinary studies, that is developed and vetted by the best scholars in these fields.

Minerva brings together universities, research institutions, and individual scholars and supports interdisciplinary and cross-institutional projects addressing specific topic areas determined by the Secretary of Defense.

C. PROGRAM DESCRIPTION/OBJECTIVE

The Minerva Research Initiative (Minerva) emphasizes questions of strategic importance to U.S. national security policy. It seeks to increase the Department’s intellectual capital in the social sciences and improve its ability to address future challenges and build bridges between the Department and the social science community. Minerva brings together universities and other research institutions around the world and supports multidisciplinary and cross-institutional projects addressing specific interest areas determined by the Department of Defense. The

Minerva program aims to promote research in specific areas of social science and to promote a candid and constructive relationship between DoD and the social science academic community.

The Minerva Research Initiative competition is for research related to six (6) topics listed below. Innovative white papers and proposals related to these research areas are highly encouraged. Detailed descriptions of the interest areas—which are intended to provide a frame of reference and are not meant to be restrictive—can be found in Section IX, “Minerva Topics.”

Topic 1: Socio-economic vulnerability to climate change

Topic 2: Deterrence in the Future Operating Environment

Topic 3: Russian Speakers in Online Spaces http://minerva.defense.gov/

Topic 4: Power and Influence in the Era of Strategic Competition

Topic 5: The Arctic as a Polar Crossroads

Topic 6: Management and Information in the Defense Environment

Proposals will be considered both for single-investigator awards as well as larger teams. A team of university investigators may be warranted because the necessary expertise in addressing the multiple facets of the interest areas may reside in different universities, or in different departments of the same university. The research questions addressed should extend across a fairly broad range of linked issues where there is clear potential synergy among the contributions of the distinct disciplines represented on the team. Team proposals must name only one Principal Investigator as the responsible technical point of contact. Similarly, one institution will be the primary recipient for the purpose of award execution. The relationship among participating institutions and their respective roles, as well as the apportionment of funds including sub- awards, if any, must be described in both the proposal text and the budget. As well, the basic research contribution of the project must be clearly described in the proposal text.

The Minerva Research Initiative is a multi-service effort. Ultimately, however, funding decisions will be made by OSD personnel, with technical inputs from the

Services.

D. AUTHORIZATION

10 U.S.C. 4001 Research and development projects

E. LEGAL REQUIREMENTS

Each grant awarded under this announcement will be governed by the general terms and conditions in effect at the time of the award that conform to DoD’s implementation of OMB guidance applicable to financial assistance in 2 CFR 1100

[Subchapter D – Administrative Requirements Terms and Conditions for Cost-Type

Grants and Cooperative Agreements to Nonprofit and Government Entities] which are located at https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions. These terms and conditions are incorporated by reference in this announcement.

F. PROGRAM-SPECIFIC REQUIREMENTS

Not applicable.

II. FEDERAL AWARD INFORMATION

A. AWARD HISTORY AND INSTRUMENT

This NFO is a follow-on to WHS-AD-FOA-21 and is expected to result in the award of a grant or grants as defined at 31 U.S.C. 6304. The grant(s) will be awarded to

“eligible entities” as defined at 10 U.S.C. 2192(b)(3), which includes a department or agency of the Federal Government, a State, a political subdivision of a State, an individual, and a not-for-profit or other organization in the private sector. Further eligibility information can be found in Section III of this NFO.

https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

B. FUNDING AMOUNT AND NUMBER OF AWARDS

This Notice of Funding Opportunity (NFO) intends to fund ten to twelve grant awards, with each grant valued up to $1,000,000 per year, with a three- to five-year period of performance. The total amount awarded from this NFO will not exceed

$15,000,000. These funding amounts include both direct and indirect costs.

Applicants are reminded that this request is subject to Federal funding appropriations and Departmental approval.

DoD anticipates that awards will be made in the form of grants to institutions of higher education (universities).

There is no guarantee that any of the proposals submitted in a particular category will be recommended for funding. More than one proposal may be recommended for funding for a particular category. The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this announcement.

C. PROFIT/FEE

Fee/profit is unallowable under assistance agreements at either the prime award or sub-award level, but may be permitted on subcontracts issued by the prime recipient.

D. PLACE OF PERFORMANCE

Performance is limited to the United States and its territories.

E. PERIOD OF PERFORMANCE

An award made as a result of this NFO will provide potential funding for up to five

(5) years. The Government will review the grant(s) annually to assess the degree to which the recipient is making progress towards meeting the objectives of the agreement.

F. SUB-AWARDEES AND SUB-CONTRACTS

Each recipient may be augmented with sub-awards and subcontracts, especially for efforts to which a sub-awardee or subcontractor is particularly qualified. Additionally, the inclusion of small and women-owned businesses as sub-awardees and/or subcontracts are encouraged.

G. GOVERNMENT ROLE AND RESPONSIBILITY

The assistance being contemplated under this NFO will be in the form of a grant or grants to successful applicants. Substantial involvement is not expected between the executive agency and the State, local government, or other recipient when carrying out the activity contemplated in the NFO or any resultant award, per 31 U.S.C.

6304(2).

III. ELIGIBILITY INFORMATION

A. ELIGIBLE INSTITUTIONS

All responsible sources from academia, including DoD institutions of higher education and foreign universities, may submit proposals under this FOA.

Historically Black Colleges and Universities (HBCUs) and Minority Institutions

(MIs) are encouraged to submit proposals and join others in submitting proposals. No portion of this FOA, however, will be set aside for HBCU and MI participation.

Teams are encouraged and may submit proposals in any and all areas. Non-profit institutions and commercial entities may be included on a university-led team as subawardees only, receiving funding for their efforts accordingly. Federally Funded

Research & Development Centers (FFRDCs), including Department of Energy

National Laboratories, are not eligible to receive awards under this FOA. However, teaming arrangements between FFRDCs and eligible principal applicants are allowed provided they are permitted under the sponsoring agreement between the Government and the specific FFRDC.

Grants to a university may be terminated if the Principal Investigator (PI) severs connections with the university or is unable to continue active participation in the research. Grants to a university may also be terminated if the university severs connections with the PI.

B. OTHER ELIGIBILITY CRITERIA

Number of PIs: A single PI must be designated on the application to serve as administrative and technical project lead. There is no restriction on the number of additional key research personnel who can be included on a single application, but each position should be justified by the scope and focus of the research.

Number of Applications: There is no limit to the number of applications that an individual PI may have submitted by their institution in response to this FOA.

C. COST SHARE OR MATCHING

Cost sharing is not required.

D. CONFLICT OF INTEREST

1. GENERAL REQUIREMENT FOR DISCLOSURE

The Applicant must disclose any potential or actual scientific or nonscientific conflict of interest(s) to the Government. The Applicant must also disclose any potential or actual conflict(s) of interest for any identified sub recipient you include in the application. The Government or Grants Officer reserves the right to clarify any conflicts of interest, if needed.

At the Government and/or Grants Officer’s discretion, the Government and/or

Grants Officer may ask the Applicant for a conflict of interest mitigation plan after submission of the application. The plan is subject to Government and/or

Grants Officer approval.

2. SCIENTIFIC CONFLICT OF INTEREST

Scientific collaborations on research and development projects are generally the result of close collaboration prior to the submission of applications for support.

Accordingly, these collaborations should be considered when considering potential conflicts 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. Therefore, you must include in your list of current and pending support all collaborators, even if they did not formally provide support.

3. OTHER

The Applicant must include the Acknowledgment of Support and Disclaimer on all materials created or produced under our awards. This language may be found in the Terms and Conditions included in the award documents.

a) CERTIFICATIONS, REPRESENTATIONS, AND ASSURANCES

To apply for grants and other funding opportunities the applicant entity must have an active registration in the System for Award Management (SAM).

Applications will not be accepted through Grants.gov or other methods unless the entity is registered in SAM. Registration in SAM now includes the acceptance of Certifications and Assurances. See the Standard Language

Describing the Grants.gov Application Process and Section IV.F.4 for details on how to register in SAM, and at Grants.gov.

The Federal Assistance Certifications Report is an attestation that the entity will abide by the requirements of the various laws and regulations; therefore, as applicable, you are still required to submit any documentation, including the SF-LLL Disclosure of Lobbying Activities (if applicable), and, if applicable, informing DoD of unpaid delinquent tax liability or a felony conviction under and Federal law.

b) PROTECTION OF HUMAN SUBJECTS

For applications containing activities that include research involving human subjects as defined in DoDI 3216.02, after award, the Applicant must submit documentation as requested by a DoD Human Research Protection Official

(HRPO), outlined in the DoDI 3216.02. Additional information and requirements can be found in Section X.C.

IV. APPLICATION AND SUBMISSION INFORMATION

A. SUBMISSION DATES AND TIMES

The Minerva application process is conducted in two stages:

Stage 1 – White Paper submission (via email to the Section IX technical point of contact) o Deadline: Friday, October 14th, 2022 3:00 PM ET

Stage 2 – Full Application submission (via Grants.gov) o Deadline: Thursday, February 9th, 2023 3:00 PM ET https://sam.gov/content/home https://www.grants.gov/web/grants/grantors/grantor-standard-language.html https://www.grants.gov/web/grants/grantors/grantor-standard-language.html https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321602p.pdf

Stage 1 – Interested entities are strongly encouraged to submit white papers, an opportunity for reviewer feedback intended to minimize the labor and cost associated with the production of detailed proposals that have little chance of being selected for funding. Based on an assessment of the white papers submitted, the responsible point-of-contact (POC) (see Section IX) will advise prospective proposers whether the proposals outlined in their white papers were judged to be competitive for

Minerva award selection, and will then invite the most promising subset of proposals to submit a full proposal for funding consideration.

Interested entities are strongly encouraged to contact the appropriate POC two or more weeks prior to white paper submission to discuss their ideas. White papers and other technical queries arriving after the deadline are unlikely to receive feedback unless an invitation for full proposal submission has been extended.

Stage 2 – Subsequent to white paper feedback, interested entities are required to submit full proposals. All proposals submitted under the terms and conditions cited in this FOA will be evaluated in accordance with the evaluation criteria stated herein.

Entities may submit a proposal without submitting a white paper, though this is discouraged. Interested parties who do not participate in the white paper review stage should contact the appropriate POC prior to submission of a full proposal to discuss options, though feedback at that late stage is not guaranteed. Full proposals submitted after the posted deadline will not be evaluated for funding consideration.

B. ADDRESS TO REQUEST APPLICATION PACKAGE

The application package for this NFO is only available via Grants.gov.

C. APPLICATION PROCEDURES AND REQUIREMENTS

Applications will only be accepted if submitted through grants.gov. Organizations must have a Unique Entity Identifier (UEI), active System for Award Management

(SAM) registration, and Grants.gov account to apply for grants. Please see

Attachment A - Registration and Submission Instructions for details on how to go through this process.

Full application packages must be submitted electronically (via E-mail for Stage 1 and via Grants.gov for Stage 2) no later than the dates and times listed in Section

IV.A.

Applicants are responsible for submitting their applications in sufficient time to allow them to reach Grants.gov by the date and time specified in this announcement. It is strongly recommended that applications be uploaded at least 2 days before the closing date and time. This will help avoid problems caused by high system usage or any potential technical and/or input problems involving the applicant’s own equipment. It will also allow any application errors detected by Grants.gov to be corrected in time for the application to be resubmitted. If the application is received by Grants.gov after the exact time and date specified as the deadline for receipt, it will be considered

“late” and may not be considered for review.

Acceptable evidence to establish the time of receipt by Grants.gov includes documentary evidence of receipt maintained by Grants.gov, and Grants.gov e-mails to the applicant confirming receipt. These e-mails will indicate 1) the application was received on time, 2) application was rejected due to errors, 3) application was received after the deadline. Note that this Grants.gov response may occur over several e-mails, e.g., one acknowledging on-time receipt, and a later e-mail rejecting for errors the system detected. Applicants can also track the status of their applications at https://www.grants.gov/web/grants/applicants/track-my-application.html.

For full instructions on registration and submission instructions, see Attachment A:

Registration and Submission Instructions.

D. APPLICATION WITHDRAWAL

An applicant may withdraw an application at any time before award by written notice or by email. Notice of withdrawal shall be sent to the grants officer identified in this announcement. Withdrawals are effective upon receipt of notice by the grants officer.

E. INTERGOVERNMENTAL REVIEW

F. CONTENT AND FORMATION OF SUBMISSIONS

1. GENERAL REQUIREMENTS

a) DOCUMENT FORMAT

All documents included in both white paper and full application packages must be submitted in Adobe Portable Document Format (PDF) in compliance with the guidelines below. Applications with attachments submitted in word processing, spreadsheet, zip, or any format other than Adobe Portable

Document format will not be considered for award. NOTE: Titles given to the white papers/full applications should be descriptive of the work they cover and not be merely a copy of the title of this solicitation.

Documents must be submitted with the following specifications:

Paper Size – 8.5 x 11-inch paper

Margins - 1 inch

Spacing – single spaced

Font – Times New Roman, 11 point

PI’s and co-PI’s name and institutions in header or footer

Appropriate markings on each page that contains proprietary or confidential information, if applicable.

White papers, supporting documentation, and full applications submitted under this NFO are unclassified.

https://www.grants.gov/web/grants/applicants/track-my-application.html

b) MARKING PROPRIETARY OR CONFIDENTIAL INFORMATION

OSD and WHS/AD will make every effort to protect any proprietary information submitted in white papers and full applications. Any proprietary information included in application materials must be identified. Prospective proposers should be aware, however, that under the Freedom of Information

Act (FOIA) requirements, proprietary information contained in white papers and applications (marked or unmarked) may still potentially be subject to release.

It is the prospective applicants' responsibility to notify WHS/AD of applications containing proprietary information and to identify the relevant portions of their applications that require protection. The entire application (or portions thereof) without protective markings or otherwise identified as requiring protection will be considered to be furnished voluntarily to

WHS/AD without restriction and will be treated as such for all purposes.

It is the intent of WHS/AD to treat all white papers and full applications as proprietary information before the award and to disclose their contents to reviewers only for the purpose of evaluation.

2. WHITE PAPER PREPARATION AND SUBMISSION

a) WHITE PAPER PACKAGE COMPONENTS

Submitted documentation should be in PDF format and include in a single document:

A cover letter (optional), not to exceed one page.

A cover page, labeled “APPLICATION WHITE PAPER,” that includes the NFO number, proposed project title, and prospective applicant's technical point of contact with telephone number, e-mail address, and most relevant area number(s) and title(s) (see Section IX).

Curriculum vitae (CV) of key investigators (optional)

The white paper (four (4) page limit, single-sided) including:

o Identification of the research and issues including the state of the field o Proposed methods o Potential contribution to fundamental social science basic research o Potential implications for national defense o Potential team and management plan o Data management plan for data or tools to be generated in the course of research o Summary of estimated costs o Reference citations are not required but may be included outside the four-page limit

The white paper should provide sufficient information on the research being proposed (e.g., hypothesis, theories, concepts, methods, approaches, data collection, measurement and analyses) to allow for an assessment by a subject matter expert.

b) WHITE PAPER SUBMISSION

White papers and supporting documentation must be submitted as email attachments to osd.minerva@mail.mil no later than 3:00 p.m. Eastern Time on

October 14th, 2022. E-mail transmission is not instantaneous and delays in transmission may occur anywhere along the route. The Government takes no responsibility for any delays in the transmission of an e-mail. The prospective applicant is responsible for allowing enough time to complete the required application components, upload the white paper, and submit via e-mail before the deadline. It is not necessary for white papers to carry official institutional signatures.

The submission email subject line should indicate relevant area categories (see

Section IX), written as: FY22 Minerva FOA WP - Area [Topic Number]

An e-mail confirmation will be sent to the applicant within two days of submission. Documents submitted after the deadline or found to be non-compliant with the requirements described above will not be reviewed.

3. FULL PROPOSAL PACKAGE PREPARATION AND SUBMISSION

a) SF424 RESEARCH AND RELATED (R&R) APPLICATION FOR FEDERAL

ASSISTANCE

The SF-424 (R&R) form must be used as the cover page for all applications.

Forms are completed in Grants.gov Workspace by either completing the forms on-line using a web browser and/or downloading individual PDF forms, completing them, and uploading them to the Workspace. Complete all required fields in accordance with the on-screen help or “pop-up” instructions on the PDF form and the following instructions for specific fields. To see the instructions, click on the on-screen help icons or roll the mouse over the PDF field to be filled out and additional information about that field will be displayed. For example, on the SF-424 (R&R) the Phone Number field says

“PHONE NUMBER (Contact Person): Enter the daytime phone number for the person to contact on matters relating to this application. This field is required.” Mandatory fields will have an asterisk marking the field and will appear yellow on most computers. In Grants.gov, some fields will self-populate based on the NFO selected.

Please fill out the SF-424 first, as some fields on the SF-424 are used to auto populate fields in other forms. The completion of most fields is self-explanatory except for the following special instructions:

Field 3 – Date Received by State. The Date Received by State and the

State Application Identifier are not applicable to research.

Field 4a – Federal Identifier. No identifier required.

Field 4b – Agency Routing Identifier. Input “RD [Minerva FY22 FOA

Topic #]” For the Topic #, input the number corresponding to the topic area to which the proposal is being submitted.

mailto:osd.minerva@mail.mil

Field 7 – Type of Applicant. Complete as indicated. If the organization is a Minority Institution, select “Other” and under “Other (Specify)” note that the institution is a Minority Institution (MI).

Field 9 – Name of Federal Agency. List the “Washington Headquarters

Services Acquisition Directorate” as the reviewing agency. This field is pre-populated in Grants.gov.

Field 16 – Is Application Subject to Review by State Executive Order

12372 Process? Choose “No”. Check “Program is Not Covered by

Executive Order 12372.”

Field 17 – Certification. All awards require some form of certifications of compliance with national policy requirements. By checking the “I agree” box in field 17, and attaching the representation to field 18 of the SF424

(R&R) as part of the electronic proposal submitted via Grants.gov, the

Grant Applicant is providing the certification on lobbying required by 32

CFR Part 28 and representation regarding an unpaid delinquent tax liability or a felony conviction under any federal law – DoD appropriations.

b) R&R SENIOR/KEY PERSON PROFILE FORM (EXPANDED)

Complete the R&R Senior/Key Person Profile (Expanded) form for those key persons who will be performing the research. Information about an individual is subject to the requirements of the Privacy Act of 1974 (Public Law 93 579).

The information is requested under the authority of Title 10 USC, Sections

4001 and 8013.

To evaluate compliance with Title IX of the Education Amendments of 1972

(20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in STEM disciplines.

The Degree Type and Degree Year fields on the Research and Related

Senior/Key Person Profile (Expanded) form will be used by DoD as the source for career information. In addition to the required fields on the form, applicants must complete these two fields for all individuals that are identified as having the project role of PD/PI or Co-PD/PI on the form. Additional senior/key persons can be added by selecting the “Next Person” button.

The principal purpose and routine use of the requested information are for evaluation of the qualifications of those persons who will perform the proposed research. Failure to provide such information will delay award.

Attach curricula vitae (CVs) and/or a Biographical Sketch for the principal investigator and senior staff. CVs should list any previous DoD funding and engagement within the last eight years including project titles.

Attach statements of current and pending support for the Principal

Investigators and co-investigators listed in the application, as applicable.

These statements require that each investigator specify all grants and contracts through which he or she is currently receiving or may potentially receive financial support. Describe the research activities and amount of funding.

Page limits for attachments:

Key Personnel Curriculum Vitae (five (5) page limit)

Key Personnel Biographical Sketches (two (2) page limit each)

c) R&R PERSONAL DATA FORM

To evaluate compliance with Title IX of the Education Amendments of 1972

(20 U.S.C. 1681), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in STEM disciplines.

This form will be used by DoD as the source of demographic information, such as gender, race, ethnicity, and disability information for the Project

Director/Principal Investigator and all other persons identified as Co-Project

Director(s)/Co-Principal Investigator(s). Each application must include this form with the name fields of the Project Director/Principal Investigator and any Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the demographic information in the form is voluntary. If completing the form for multiple individuals, each Co-Project Director/Co-

Principal Investigator can be added by selecting the “Next Person” button.

The demographic information, if provided, will be used for statistical purposes only and will not be made available to merit reviewers. Applicants who do not wish to provide some or all of the information should check or select the “Do not wish to provide” option.

d) PROJECT/PERFORMANCE SITE LOCATIONS FORM

Complete all information as requested.

e) R&R OTHER PROJECT INFORMATION FORM

Fields 1 and 1a - Human Subject Use. Each application must address human subject involvement in the research by addressing Fields 1 and 1a of the R&R Other Project Information form.

o It is expected that the selected investigative teams will create their

HSR plans, applications to required ethics panels and institutional review boards (IRBs), and DoD reviews after receiving an initial award.

o No DoD-funded HSR may be conducted until the DoD Human

Research Protection Official (HRPO) review is satisfied, including

DoD-funded pilot studies. At the time of submittal, for any white paper submissions potentially involving international or medically-related HSR, the prospective investigator must also directly contact the

Minerva Program Officer and the DoD Office for Human Research

Protections (DOHRP) at DOHRP@mail.mil.

o At the time of submittal, for any white paper submissions potentially involving Service Members, prisoners, detainees, children, or other vulnerable populations in the participant pool for HSR, the prospective investigator must also directly contact the Minerva Program Officer and the DOHRP at DOHRP@mail.mil.

o For other HSR within the United States, prospective investigators may contact the following offices regarding required documentation and procedures:

Air Force: usaf.pentagon.af-sg.mbx.afmsa-sge-c@mail.mil

Navy: ONRHRPO@navy.mil

Fields 2 and 2a - Animal Use. Each application must address animal use protocols by addressing Fields 2 and 2a of the R&R Other Project

Information form.

o If animals are to be utilized in the research effort proposed, the prospective applicant must submit prior to award a DoD Animal Use

Protocol with supporting documentation (copies of Association for

Assessment and Accreditation of Laboratory Animal Care (AAALAC) accreditation and/or National Institute of Health assurance, Institutional Animal Care and Use Committee (ACUC) approval, research literature Database searches, and the two most recent USDA inspection reports). For assistance with submission of animal research related documents, contact Minerva staff to identify the appropriate point of contact.

Fields 4a through 4d - Environmental Compliance. Federal agencies making grant or cooperative agreement awards and recipients of such awards must comply with various environmental requirements. The

National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. Sections

4321- 4370 (a), requires that agencies consider the environmental impact of “major Federal actions” prior to any final agency decision. With respect to those awards which constitute “major Federal actions,” as defined in 40

CFR 1508.18, federal agencies may be required to comply with NEPA and prepare an environmental impact statement (EIS), even if the agency does no more than provide grant funds to the recipient.

o Questions regarding NEPA compliance should be referred to Minerva program staff. Most research efforts funded through the Minerva program will, however, qualify for a categorical exclusion from the need to prepare an EIS. For those applying under Navy projects, Navy instructions/regulations provide for a categorical exclusion for basic and applied scientific research usually confined to the laboratory, if the research complies with all other applicable safety, environmental and natural resource conservation laws. Each application shall address environmental impact by filling in Fields 4a through 4d of the R&R

Other Project Information form. This information will be used by DoD to make a determination if the proposed research effort qualifies for categorical exclusion.

mailto:usaf.pentagon.af-sg.mbx.afmsa-sge-c@mail.mil mailto:ONRHRPO@navy.mil

Field 7 – Project Abstract/Summary. In a single page, describe the research problem, proposed methods, basic research contribution, anticipated outcome of the research, if successful, and impact on DoD capabilities or broader implications for national defense. Identify the

Principal Investigator, the university/research institution (and other institutions involved in the Minerva team, if applicable), the application title, the Minerva interest area number, and the total funds requested from

DoD for the 2-year period.

Field 8 – Project Narrative. Describe clearly the research, including the objective and approach to be performed, keeping in mind the evaluation criteria listed in Section V Application Review Information.

o Generate a single PDF file containing all application narrative sections described below and attach as the R&R Other Project Information form in Field 8. Full applications exceeding the page limits defined below may not be evaluated.

Cover Page, including:

Application title

Institution application number

Interest area number and title

Principal Investigator name

Phone number, fax number, and e-mail address

Institution, Department, Division

Institution address

Other institutions involved in the Minerva team, if applicable

Whether the PI is a past or current DoD Contractor or

Grantee. If yes, provide agency and point of contact information.

Table of Contents. List project narrative sections and corresponding page.

Technical Narrative (12-page limit for this section, excluding list of references). Describe the basic scientific or technical concepts that will be investigated, giving the complete research plan.

Describe the technical approach and what makes it innovative.

Discuss the relationship of the proposed research to the state-of-the-art knowledge in the field and to related efforts in programs elsewhere, and discuss potential scientific breakthroughs, including appropriate literature citations/references. Discuss the nature of expected results. Discuss potential applications to defense missions

(including alignment with the National Defense Strategy) and requirements. Describe plans for the research training of students, especially PME students. Include the number of full time equivalent graduate students and undergraduates, if any, to be supported each year. Discuss the involvement of other students, if any.

Project Schedule, Milestones, and Deliverables (2-page limit for this section). A summary of the schedule of events, milestones, and a detailed description of the results and products to be delivered.

Any proposed option period beyond three years should be explicitly scoped accordingly.

Management Approach (1-page limit for this section). A discussion of the overall approach to the management of this effort, including brief discussions of: required facilities;

relationships with any subawardees and with other organizations;

availability of personnel; and planning, scheduling, and control procedures.

Designate only one civilian university Principal Investigator for the award to serve as the primary point-of-contact. List as well the PME co-PI. Briefly summarize the qualifications of the civilian university PI and the PME co-PI and other key investigators to conduct the proposed research.

Describe in detail proposed subawards to other eligible universities or relevant collaborations (planned or in place) with government organizations, industry, or other appropriate institutions. Particularly describe how collaborations are expected to facilitate the transition of research results to applications. If subawards to other universities/institutions are proposed, make clear the division of research activities, to be supported by detailed budgets for the proposed subawards.

Describe plans to manage the interactions among members of the proposed research team, if applicable.

Identify other parties to whom the proposal has been, or will be sent, including agency contact information.

Facilities. Describe facilities available for performing the proposed research and any additional facilities or equipment the organization proposes to acquire at its own expense. Indicate government-owned facilities or equipment already possessed that will be used.

Reference the facilities grant and/or contract number or, in the absence of a facilities grant/contract, the specific facilities or equipment and the number of the award under which they are accountable.

Field 9 – Bibliography and References Cited. Attach a listing of applicable publications cited in above sections.

Fields 10 and 11 – These fields are not required.

Field 12 – Other Attachments. In addition to the Research and Related

(R&R) Budget form, researchers are encouraged to submit a comprehensive, single page version of the budget for the prime and subawardee institutions, where rows are budget categories and columns indicate budget periods.

Letters of support are neither required nor expected in application packages.

Some prospective proposers may feel a letter of support demonstrating the importance of the research to the national security community may strengthen their proposals. Such letters should not exceed 2 pages.

f) R&R BUDGET FORM

You must provide a detailed cost breakdown of all costs, by year and cost category, corresponding to the proposed Technical Approach which was provided in Field 8 of the R&R Other Project Information Form. Any proposed option years must be separately priced. For planning purposes, assume that grant awards will begin in June 2023.

Budget Elements: Annual budgets should be driven by program requirements. Elements of the budget should include:

o Direct Labor — Individual labor category or person, with associated labor hours and unburdened direct labor rates. Provide escalation rates for out years. Provide the basis for the salary proposed. If labor costs are not provided for listed principal investigators, the budget justification document should include an explanation o Administrative and clerical labor — Salaries of administrative and clerical staff are normally indirect costs (and included in an indirect cost rate). Direct charging of these costs may be appropriate when a major project requires an extensive amount of administrative or clerical support significantly greater than normal and routine levels of support. Budgets proposing direct charging of administrative or clerical salaries must be supported with a budget justification which adequately describes the major project and the administrative and/or clerical work to be performed.

o Indirect Costs — Fringe benefits, overhead, G&A, etc. (must show base amount and rate). Provide the most recent rates, dates of negotiations, the period to which the rates apply, and a statement identifying whether the proposed rates are provisional or fixed. If the rates have been negotiated by a Government agency, state when and by which agency. Include a copy of the current indirect rate agreement

(via Field 12 of the Research and Related Other Project Information

Form). Note, civilian university indirect costs apply only to the civilian university portion of the grant.

o Travel — Identify any travel requirements associated with the proposed research and define its relationship to the project. List proposed destinations, cost estimate, and basis of cost estimate. Please include all Service or Minerva program travel needs, described further in Section X.A, Expectations for Minerva Researchers.

o Subawards — Provide a description of the work to be performed by the subrecipients. For each subaward, a detailed cost proposal is required to be included in the principal investigator’s cost proposal.

Fee/profit is unallowable.

o Consultant — Consultants are to be used only under exceptional circumstances where no equivalent expertise can be found at a participating university; strong justification is required. Provide consultant agreement or other document that verifies the proposed loaded daily/hourly rate. Include a description of the nature of and the need for any consultant's participation. Provide budget justification.

o Materials — Specifically itemized with costs or estimated costs.

Justify.

o Other Directs Costs — Provide an itemized list of all other proposed direct costs such as Graduate Assistant tuition, laboratory fees, report and publication costs and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists). NOTE: If the grant application is for a conference, workshop, or symposium, the application should include the following statement: “The funds provided by the Department of

Defense will not be used for food or beverages.”

o Fee/Profit — Fee/profit is unallowable.

Budget justification: The budget proposal should include a budget justification for each year, clearly explaining the need for each item and attached to Section L of the R&R Budget form.

Budget summary: In addition to the Research and Related Budget form, researchers are encouraged to submit a comprehensive, single page version of the budget for the prime and subawardee institutions, where rows are budget categories and columns indicate budget periods. Include as an attachment to R&R Other Project Information Form Field 12 (“Other

Attachments”).

Cost sharing is not a factor in the evaluation but is permitted. Cost sharing may support items such as salaries, indirect costs, operating expenses, or new equipment. In each category, show the amount and nature of the planned expenditure share (e.g., equipment, faculty release time for research). A signed statement of commitment regarding the cost sharing or matching funds described above must be obtained from the appropriate institutional and/or private sector officials, and included at time of submission. Any cost sharing or matching plan should be included in the budget justification.

g) SFLLL DISCLOSURE OF LOBBYING ACTIVITIES (OPTIONAL FORM)

If the applicant is required to disclose any lobbying activities, complete the

SF-LLL and include it with the other forms in the application package.

4. GRANTS.GOV APPLICATION SUBMISSION PROCEDURES AND RECEIPT

This section provides the application submission and receipt instructions for

WHS/AD program applications. Please read the following instructions carefully and completely. WHS/AD is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. WHS/AD requires applicants to submit their applications online through Grants.gov.

a) HOW TO REGISTER TO APPLY THROUGH GRANTS.GOV

Applicants must be registered with SAM and have a Grants.gov account in order to apply for Federal assistance. If individual applicants are eligible to apply for this funding opportunity, then they may move to Create a Grants.gov Account, below. Complete instructions can be found here:

https://www.grants.gov/web/grants/applicants/organization-registration.html.

b) HOW TO SUBMIT AN APPLICATION TO WHS/AD VIA GRANTS.GOV

Once an applicant has completed the registration process, applicants are encouraged to use the Grants.gov Workspace feature to prepare and submit their application. Workspace is the standard way for organizations or individuals to apply for federal grants in Grants.gov. Workspace allows a grant team to simultaneously access and edit different forms within an application, and allows applicants to fill out their forms online or offline. Once a Workspace is established, applicants are encouraged to complete the SF424 forms first, as information entered into the SF424 forms (applicant name, address, UEI, and so forth) will automatically transfer to other Workspace forms. More information and training on how to use Workspace can be found here:

https://www.grants.gov/web/grants/applicants/workspace-overview.html.

c) TIMELY RECEIPT REQUIREMENTS AND PROOF OF TIMELY SUBMISSION

All applications must be received no later than 3:00 p.m. Eastern Time on

February 9th, 2023. Proof of timely submission is automatically recorded by

Grants.gov. An electronic date/time stamp is generated within the system when the application is successfully received by Grants.gov. NOTE: White

Papers should not be submitted through the Grants.gov Apply process, but rather by email as described in Section IV.F.2.b.

When WHS/AD successfully retrieves the application from Grants.gov, and acknowledges the download of submissions, Grants.gov will provide an electronic acknowledgment of receipt of the application to the applicant.

Again, proof of timely submission shall be the official date and time that

Grants.gov receives your application. Applications received by Grants.gov after the established due date for the program will be considered late and will not be considered for funding by DoD.

Applicants using slow internet, such as dial-up connections, should be aware that transmission can take some time before Grants.gov receives your application. Again, Grants.gov will provide either an error or a successfully received transmission in the form of an email sent to the applicant with the

AOR role attempting to submit the application. The Grants.gov Support

Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Please be patient and give the system time to process the application.

https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/workspace-overview.html

G. FUNDING RESTRICTIONS

An institution may, at its own risk and without prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period of a new or renewal award if such costs: 1) are necessary to conduct the project, and 2) would be allowable under the grant, if awarded, without prior approval.

All pre-award costs are incurred at the recipient’s risk. OSD and the military service research organizations are under no obligation to reimburse such costs, if for any reason the institution does not receive an award or if the award is less than anticipated and inadequate to cover such costs.

V. APPLICATION REVIEW INFORMATION

A. SELECTION CRITERIA

The Minerva program seeks to invest in basic research and to identify challenging fundamental scientific areas of investigation that may have potential for long term benefit to DoD. Proposed research should describe cutting-edge efforts on basic scientific problems. Subject to funding availability, white papers and proposals will be evaluated under the following criteria:

Principal Criteria

1. Scientific merit, soundness, and programmatic strategy of the proposed basic social science research; and

2. Relevance and potential contributions of the proposed research to research areas of DoD interest as described in Section IX. The Minerva Research Initiative is particularly interested in applications that align with and support the upcoming

2022 National Defense Strategy.

Other Criteria

3. Potential impact of the basic research on the defense-relevant social sciences and defense communities that apply them. DoD encourages innovative submissions that, in addition to knowledge generation in critical areas, also build new communities, new frameworks, and new opportunities for dialogue.

4. The qualifications and availability of the civilian university Principal

Investigators and PME co-PI, and other key…