FOA-AFRL-AFOSR-2023-0011 Amendment 0002.pdf

FOA-AFRL-AFOSR-2023-0011 Amendment 0002

AIR FORCE OFFICE OF SCIENTIFIC RESEARCH

FUNDING OPPORTUNITYANNOUNCEMENT

FISCAL YEAR (FY) 2024

YOUNG INVESTIGATOR RESEARCH PROGRAM

AFOSR Announcement #FOA-AFRL-AFOSR-2023-0011

Amendment 0002

The Fiscal Year 2024 Air Force Young Investigator Research Program (YIP) intends to support individual early in career scientists and engineers who have received Ph.D. or equivalent degrees by 01 April 2016 or later showing exceptional ability and promise for conducting basic research.

The program objective is to foster creative basic research in science and engineering; enhance early career development of outstanding young investigators; and increase opportunities for the young investigator to recognize the Air Force and Space Force mission and related challenges in science and engineering.

Individual awards are made to U.S. institutions of higher education, industrial laboratories, for-profit, or non-profit research organizations where the principal investigator (PI) is employed on a full-time basis and holds a regular, non-contractor position. YIP PIs must be a U.S. citizen, national, or permanent resident. Researchers working at a Federally Funded Research and

Development Center, or a Department of Defense (DoD) Laboratory are not eligible for this competition.

Most YIP awards are funded up to $150,000 per year for three years, for a total of $450,000.

Each three-year budget must not exceed $150,000; regardless of if the total budget is $450,000.

Exceptional proposals will be considered individually for higher funding levels and/or longer duration. Please review the remainder of this announcement for additional information.

We anticipate at least thirty-six (36) traditionally funded YIPs under this competition if funds are available. There may be up to an additional two YIPs funded in partnership with the Laboratory for Physical Sciences (LPS) in the Quantum Information Sciences area.

Hyperlinks have been embedded within this document and appear as underlined, and or blue-colored words in the midst of paragraphs. The reader may “jump” to the linked section within this document by “clicking” (CTRL + CLICK, or CLICK).

SUMMARY FUNDING OPPORTUNITY 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 Fiscal Year 2024 Young Investigator Research Program (YIP)

3. ANNOUNCEMENT TYPE

Initial Announcement

4. ANNOUNCEMENT NUMBER

FOA-AFRL-AFOSR-2023-0011

5. CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER

12.800 Air Force Defense Research Sciences Program

6. KEY DATES

Deadlines

YIP FOA posted

01 May 2023 (Monday)

Pre-Solicitation YIP questions due

15 May 2023 (Monday)

Pre-Solicitation YIP answers posted

29 May 2023 (Monday)

YIP white papers must be received no later than 12

June 2023 (Monday) at 11:59 PM Eastern Time

YIP white paper Program Officer response due 17 July 2023 (Monday)

YIP proposals must be received no later than 14

August 2023 (Monday) at 11:59 PM Eastern

Time

SPECIAL NOTE: Applications must be ‘VALIDATED’ by Grants.gov by the application deadline, which can take up to 48 hours after successful submission. See Timely Receipt

Requirements and Proof of Timely Submission Proposals must be received electronically through Grants.gov by Monday, 14 August 2023 at 11:59 PM Eastern time to be considered.

TABLE OF CONTENTS

A. PROGRAM DESCRIPTION

B. FEDERAL AWARD INFORMATION

C. ELIGIBILITY INFORMATION

1. ELIGIBLE APPLICANTS 6

2. COST SHARING 7

3. OTHER 7

a. Primary Investigator Employment Requirements 7

b. Acknowledgement of Support and Disclaimer Requirements 6

c. Expectation of Public Dissemination of Research Results 6

d. Representation for Felony Conviction, and Internal Confidentiality Agreements 6

D. APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE 7

2. CONTENT AND FORM OF APPLICATION SUBMISSION 7

a. Pre-proposal Inquiries and Questions 7

b. The Application as a Whole 7

c. Proposal Format 8

d. Proposal Length 8

e. Marking Requirements for Confidential or Proprietary Information 9

f. Electronic Form and Proposal Attachments 9

g. Advance Preparation for Electronic Submission through Grants.gov 9

3. COMPONENT PIECES OF THE APPLICATION 10

a. SF 424 (R&R) Application for Federal Assistance 10

b. Representation for Felony Conviction, and Internal Confidentiality Agreements 11

c. SFLLL Disclosure of Lobbying Activities 11

d. R&R Other Project Information Form 11

e. Publicly Releasable Project Summary / Abstract 12

f. Project Narrative 12

g. Bibliography and References Cited 15

h. R&R Senior / Key Person Profile Form 15

i. R&R Budget Form 15

j. Budget Justification 15

k. R&R Project / Performance Site Locations Form 16

l. R&R Personal Data Form (Optional) 16

m. Data Management Plan (Optional) 16

4. INFORMATION YOU MUST SUBMIT IF SELECTED FOR POSSIBLE AWARD 17

5. UNIQUE ENTITY IDENTIFIER, CAGE, AND SYSTEM FOR AWARD MANAGEMENT 17

a. SAM Registration Required 17

b. SAM Exemption or Exceptions Not Available Under This Announcement 17

c. Questions about SAM Registrations and Updates 18

d. Consequences of Non-Compliance with SAM Registration Requirements 18

6. SUBMISSION DATES AND TIMES 18

a. Pre-Proposal Inquiries and Questions Deadline 18

b. How Submission Time for Pre-Proposal Inquiries and Questions is Determined 18

c. Effect of Missing Pre-Proposal Inquiries and Questions Deadline 18

d. Proposal Submission Deadline 18

e. How Proposal Submission Time is Determined 18

f. Grants.gov Tracking Number is Application Receipt 19

g. Effect of Missing the Proposal Submission Deadline 19

7. INTERGOVERNMENTAL REVIEW 19

8. FUNDING RESTRICTIONS 19

a. Proposal Preparation Costs 19

b. Pre-Award Costs for Grants 19

c. Pre-Contract Costs under FAR Cost-Reimbursement Contract Awards Not Available 20

d. Air Force Office of Scientific Research No-cost Extension (NCE) Policy 20

9. OTHER SUBMISSION REQUIREMENTS 20

E. APPLICATION REVIEW INFORMATION

1. CRITERIA 20

a. Principal Evaluation and Selection Criteria 20

b. Additional Evaluation and Selection Criteria 21

c. No further evaluation criteria or criterion will be used for proposal selection 21

2. REVIEW AND SELECTION PROCESS 21

a. Merit-based, Competitive Procedures 21

b. Cost Analysis 21

3. DISCLOSURE OF ADMINISTRATIVE PROCESSING BY CONTRACTOR PERSONNEL 21

4. NO GUARANTEED AWARD 21

F. FEDERAL AWARD ADMINISTRATION INFORMATION

1. SELECTION NOTICES 22

a. Electronic Notification 22

b. Selection for Possible Award Does Not Authorize Work 22

2. AWARD NOTICIES 22

a. Federal Award Document 22

b. Electronic Federal Award Distribution 22

3. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS 22

a. Reporting of Matters Related to Recipient Integrity and Performance 22

b. Agency Review of Risk Posed by Applicants 22

c. Cross-Cutting National Policy Requirements 23

d. Acknowledgement of Research Support 23

e. Disclaimer Language for Research Materials and Publications 23

f. Grants - Uniform Administrative Requirements, Cost Principles, and Audit Requirements 24

g. Grants - DoD Research and Development General Terms and Conditions 24

i. Conditions of Award for Recipients Other Than Individuals 24

j. Contract Solicitation Provisions Incorporated by Reference 25

k. For-Profit Organizations Not Generally Eligible for Equipment Vesting 25

l. Minimum Record Retention Requirements 25

4. REPORTING 26

a. Monitoring and Reporting Program Performance 26

b. Technical Performance Report Format 26

c. Department of Defense (DD) Form 882 Report of Inventions and Subcontracts 26

d. Standard Form (SF) 425 Federal Financial Report 27

e. Electronic Payment Requests and Electronic Payment 27

f. Property Reports 27

g. Other Reports 27

h. Electronic Submission of Reports 27

G. AGENCY CONTACTS

1. TECHNICAL INQUIRES AND QUESTIONS 28

2. GENERAL INQUIRIES AND QUESTIONS 28

H. OTHER INFORMATION

1. OMBUDSMAN 28

2. GRANTS AND CONTRACTING OFFICERS AUTHORITY 29

3. UNSELECTED PROPOSAL RESUBMISSION UNDER GENERAL BAA 29

4. ADDITIONAL FUNDING OPPORTUNITIES 29

A. PROGRAM DESCRIPTION

The Fiscal Year 2024 Air Force Young Investigator Research Program (YIP) intends to provide support for individual scientists and engineers who have either received Ph.D. or equivalent degrees post 01 April 2016. These scientists and engineers must have shown exceptional ability and promise for conducting basic research.

The program objective is to foster creative basic research in science and engineering; enhance early career development of outstanding young investigators; and increase opportunities for the young investigator to recognize the Air Force and Space Force mission and related challenges in science and engineering.

We seek unclassified proposals from qualified and responsible individual applicants in the research areas of interest identified in the most recent Broad Agency Announcement (BAA) titled “Research Interests of the Air Force Office of Scientific Research” published on

Grants.gov at https://www.grants.gov/web/grants/view-opportunity.html?oppId=345653.

Additionally, the AFOSR has partnered with the Laboratory for Physical Sciences (LPS) to award additional outstanding YIP proposals in the field of gate-based quantum computing under the “Quantum Information Sciences” research portfolio area (Section A.3.g of the

AFOSR open BAA). Proposals for both experimental and theoretical research are encouraged.

The primary focus is on innovative research to advance the state of the art in quantum computing systems by understanding and mitigating challenges, developing revolutionary new approaches, tracking, characterizing and reducing noise, and developing supporting technology. Specific research topics of interest include, but are not limited to, the following:

improving the gate and readout speed and fidelity in multi-qubit systems, investigating promising new qubit modalities that address existing qubit challenges, developing novel control and readout schemes, and exploring schemes for modular quantum computing.

Proposals should describe the long-term vision of the proposed work and how it relates to gate-based quantum computing research. Proposals should also describe expected technical challenges and steps to overcome them. For submissions in the area of quantum computing, please format the title of your submission as, “Quantum Computing – Title of Project” to ensure that your application is properly sorted.

Note: The AFOSR open BAA updates annually in the March/April time frame. Please make sure you are coordinating your topic ideas with the appropriate Program Officer (PO) to ensure the topic area is still relevant to the Air Force.

YIP proposals may be submitted for only one research portfolio area.

It is important that your proposal shows strength in as many of the evaluation areas as practicable for maximum competitiveness.

Individual awards are made to U.S. institutions of higher education, industrial laboratories, for-profit, or non-profit research organizations where the individual principal investigator is employed on a full-time basis and holds a regular, non-contractor position. YIP primary investigators must be a U.S. citizen, national, or permanent resident. We discuss this more in section C.3.a. Primary Investigator Employment Requirements.

Researchers working at the Federally Funded Research and Development Centers and DoD https://community.apan.org/wg/afosr/w/researchareas/12792/young-investigator-program-yip/ http://www.grants.gov/web/grants/search-grants.html?keywords=BAA-AFRL-AFOSR-201%2A https://www.grants.gov/web/grants/view-opportunity.html?oppId=345653 http://www.grants.gov/web/grants/view-opportunity.html?oppId=345653 http://www.grants.gov/web/grants/view-opportunity.html?oppId=345653

Laboratories are not eligible for this competition.

B. FEDERAL AWARD INFORMATION

Most YIP awards are three (3) years in duration, funded up to $150,000 per year for a total of approximately $450,000. The YIP may be funded no more than $150,000 annually, regardless if the overall amount is $450,000.

Proposals deemed exceptional by our POs may be considered for higher funding levels. Higher funding levels could take the form of more funding in one or more years of the basic award, and/or an option for continued performance for one (1) or two (2) additional years at a funding level recommended by our POs. You should only submit a supplemental proposal for an option for continued performance beyond the three (3) year basic period if our PO requests.

The YIP projected start date is determined at the time of the award but is most likely projected no later than 1 January 2024 based on the availability of the president’s budget.

We anticipate approximately thirty-six (36) awards under the authority of 10 U.S.C. 4001 in the form of grants, cooperative agreements, or contracts. We rely on discretionary appropriated http://www.ecfr.gov/cgi-bin/text-idx?SID=de4cb739ce90fc71f364a622e495a608&amp%3Bmc=true&amp%3Bnode=se2.1.200_138&amp%3Brgn=div8 https://www.gpo.gov/fdsys/pkg/USCODE-2014-title10/html/USCODE-2014-title10-subtitleA-partIV-chap139-sec2358.htm funds for this program. Awards are only made if funds are 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.

▪ 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 25.345, including foreign public entities and foreign organizations operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest.

▪ A grant or cooperative agreement may be awarded to applicants with a for-profit organization type as described in 2 CFR 25.325, or to any applicant that requests a fee or profit.

Individual awards are made to U.S. institutions of higher education, industrial laboratories, for-profit, or non-profit research organizations where the individual PI is employed on a full-time basis and holds a regular, permanent position. YIP PIs must be a U.S. citizen, national, or permanent resident. There may not be co-PIs except in cases where the potential proposed individual PI transfers institutions post-closing date of the announcement and the primary institution agrees to add the PI’s receiving institution as a sub-award. Researchers working at a

Federally Funded Research and Development Center or a DoD Laboratory are not eligible for this competition. No domestic or foreign collaborators, funded or non-funded, are allowed for this single investigator award.

The YIP award is to an institution. However, YIP highlights outstanding individuals and should the awardee transfer institutions after the announcement closing date, the agency may attempt to accommodate these changes if funds are available and approved by the program coordinator, PO, and Contracting office. Potential options may include: (1) grant remains at awarded YIP institution with a new PI, identified by the YIP awardee, (2) primary institution must identify a replacement PI and agree to sub-contract to the new institution of the YIP awardee (must be PI listed on the original YIP proposal), or (3) termination of YIP grant with new award to the YIP awardee as a Core AFOSR grant or any combination of the above. The new PI must meet the stated YIP eligibility requirements.

Awards are made under the authority of 10 U.S.C. 4001 in the form of grants, cooperative 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. The following provides a brief description of potential instrument types:

Grant. A legal instrument consistent with 31 U.S.C. 6304, is used to enter into a relationship:

The principal purpose of which is to transfer a thing of value to the recipient to carry out a public purpose of support of stimulation authorized by a law or the United States, rather than acquire property or services for the Federal Government’s direct benefit or use.

In which substantial involvement is not expected between the Federal Government and the recipient when carrying out the activity contemplated by the grant.

https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleV-chap63.htm http://www.ecfr.gov/cgi-bin/text-idx?SID=9df0e2029a9e07fdaee69925a555184d&mc=true&node=se2.1.200_151&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=f6b89e2b59ddf25c43f5ca7adb095a46&mc=true&node=se2.1.200_124&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=fbd6d11c576c508875173b3623a4b56d&mc=true&node=se2.1.25_1345&rgn=div8 http://www.ecfr.gov/cgi-bin/retrieveECFR?gp&SID=f6b89e2b59ddf25c43f5ca7adb095a46&mc=true&n=sp2.1.200.a&r=SUBPART&ty=HTML&se2.1.200_146 http://www.ecfr.gov/cgi-bin/retrieveECFR?gp&SID=f6b89e2b59ddf25c43f5ca7adb095a46&mc=true&n=sp2.1.200.a&r=SUBPART&ty=HTML&se2.1.200_147 http://www.ecfr.gov/cgi-bin/text-idx?SID=fbd6d11c576c508875173b3623a4b56d&mc=true&node=se2.1.25_1325&rgn=div8 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 https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title10-section4001&num=0&edition=prelim https://uscode.house.gov/view.xhtml;jsessionid=D351E08EF2B567B7109E6E2A820523EA?req=granuleid%3AUSC-prelim-title31-chapter63&saved=%7CZ3JhbnVsZWlkOlVTQy1wcmVsaW0tdGl0bGUzMS1zZWN0aW9uNjMwMQ%3D%3D%7C%7C%7C0%7Cfalse%7Cprelim&edition=prelim https://uscode.house.gov/view.xhtml;jsessionid=D351E08EF2B567B7109E6E2A820523EA?req=granuleid%3AUSC-prelim-title31-chapter63&saved=%7CZ3JhbnVsZWlkOlVTQy1wcmVsaW0tdGl0bGUzMS1zZWN0aW9uNjMwMQ%3D%3D%7C%7C%7C0%7Cfalse%7Cprelim&edition=prelim

No fee or profit is allowed.

Cooperative Agreement. A legal instrument which, consistent with 31 U.S.C 6305, is used to enter into the same kind of relationship as a grant, except that substantial involvement is expected between the Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. No fee or profit is allowed.

We reserve the right to select and fund for award all, some, part, or none of the proposals received in response to this announcement. There is no guarantee of an award.

C. ELIGIBILITY INFORMATION

a. ELIGIBLE APPLICANTS

Individual awards are made to U.S. institutions of higher education, industrial laboratories, for-profit businesses, or non-profit research organizations where the individual principal investigator is a U.S. citizen, national, or has permanent residency at time of proposal submission; employed on a full-time basis and holds a permanent position. All PIs must meet all eligibility requirements.

a. Eligible Applicants must meet the following criteria:

i. Doctorate no earlier than 01 Apr 2016

b. 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. Ineligible Entities

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

(1) Federally Funded Research and Development Centers (FFRDCs)

(2) DoD Laboratory Personnel

b. COST SHARING

We do not require cost sharing for proposals under this announcement. Cost sharing is not an evaluation or selection criterion.

c. OTHER

a. Primary Investigator Employment Requirements

As the individual Principal Investigator, you must hold a full-time, non-contractor permanent, career-competitive, or tenure-track position (based on your institution’s definition) with your organization, or your proposal must include a letter from your organization stating that you will be considered for a permanent, career- competitive, or tenure-track non-contractor position if you currently hold a short-term appointment.

This is in addition to the requirement you are a U.S. citizen, national, or permanent resident. You are not eligible to submit a proposal if you do not meet these requirements.

You must have permanent residency at time of proposal submission.

b. Acknowledgement of Support and Disclaimer Requirements

You must include the F.3.d. Acknowledgement of Research Support on all materials created or produced under our awards.

The F.3.e. Disclaimer Language must be included 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 are not eligible to submit a proposal if you cannot accept these terms.

c. Expectation of Public Dissemination of Research Results

We expect research funded by this announcement will be fundamental. 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 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C/section-200.205 https://www.ecfr.gov/current/title-32/subtitle-A/chapter-I/subchapter-C/part-22/subpart-D/section-22.410 arising from research and programs funded wholly or in partly by the DoD as described in the OUSD, AT&L Memorandum, “Public Access to Department of Defense-Funded

Research” dated 09 Jul 2014.

We follow DoD Directive 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 funds to our Program Officer.

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

d. Conflict of Interest

(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 sub recipient 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 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.

D. APPLICATION AND SUBMISSION INFORMATION

a. 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 “Application 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 or by using this link:

https://www.grants.gov/web/grants/search-grants.hmtl?keywords=FOA-AFRL-

AFOSR-2023-0011.

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523024p.pdf?ver=JiZUVfNZrPKmcRMim_UnHg%3d%3d https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523027p.pdf?ver=2019-04-04-095230-883 http://www.grants.gov/ http://www.grants.gov/ https://www.grants.gov/web/grants/search-grants.hmtl?keywords=FOA-AFRL-AFOSR-2023-0011 https://www.grants.gov/web/grants/search-grants.hmtl?keywords=FOA-AFRL-AFOSR-2023-0011

We will not issue paper copies of this announcement.

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

b. CONTENT AND FORM OF APPLICATION SUBMISSION

a. Pre-proposal Inquiries and Questions

If you need help with technical matters, you should email the individual listed in section Technical Inquires and Questions. If you have research specific questions, you should email the Program Officer identified for your topic of interest in our

“Research Interests of the Air Force Office of Scientific Research” broad agency announcement on Grants.gov.

If you need help with general matters, you should email the individual listed in section

General Announcement Questions.

All technical or general pre-proposal inquiries and questions must be submitted no later than Monday, 15 May 2023. We may not be able to answer questions received later.

All answers to pre-proposal inquiries and questions received by deadline, will be posted

Monday, 29 May 2023. We discuss this more in section D.6. Submission Dates and

Times.

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.

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. We must receive your proposal before the Proposal Submission Deadline.

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 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.

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:

mailto:afosr.baa@us.af.mil https://www.grants.gov/web/grants/view-opportunity.html?oppId=345653 http://www.grants.gov/web/grants/search-grants.html?keywords=BAA-AFRL-AFOSR-2016-000%2A

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

▪ Some applications require the attachments in italic.

▪ We provide more instructions in Component Pieces of the Application

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

SF 424 (R&R) Application for Federal

Assistance, including an authorized signature

18. Certification Regarding

Lobbying Form or SFLLL

Disclosure of Lobbying

Activities

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

8. Project Narrative

9. Bibliography & References

Cited

10. Facilities and Other

Resources

11. Equipment

12. Other Attachments

R&R Senior / Key Person Profile Form Biographical Sketch

Current & Pending Support

R&R Budget Form Budget Justification

R&R Project / Performance Site Locations

Form None

R&R Personal Data (Optional) None

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.

c. White Paper Information

You are required to submit a white paper by 12 June 2023 to the Program in your research discipline area. Upon the PO white paper review and feedback, an invitation to submit a YIP proposal may be extended. White papers must be submitted electronically via https://community.apan.org/wg/afosr/p/submitawhitepaper. Detailed instructions are included on the submission page. For support, please contact Ms. Ellen Robinson at 703-835-3078 or afosryip@us.af.mil. If you do not submit a white paper, you will be ineligible to submit a

YIP proposal.

1. White Paper Format

▪ Paper Size – 8.5 x 11-inch paper

▪ Margins – 1 inch https://apply07.grants.gov/apply/forms/sample/SFLLL-V1.1.pdf https://apply07.grants.gov/apply/forms/sample/SFLLL-V1.1.pdf https://apply07.grants.gov/apply/forms/sample/SFLLL-V1.1.pdf http://www.grants.gov/

▪ Spacing – 1.5-line spacing

▪ Font – Times New Roman or Garamond 12 point

▪ Page Limitation – 3 pages maximum (excluding cover page, curriculum vitae, and references)

2. White Paper Content

▪ Cover page include the FOA number, proposal research topic title (research discipline area), proposer’s point of contact information (name, telephone number, email address)

▪ Identification of proposed research and issues

▪ Potential impact on AF and DoD capabilities

▪ Potential team members and development plans

▪ Proposed technical approaches – hypothesis, theories, concepts, approaches, data measurements and analysis, etc.

d. Curriculum Vitae Content

▪ All publications and presentations must be identified

c. Proposal Information

a. You must submit a proposal by Monday, 14 August 2023 11:59 pm eastern. Any proposals received after that time will be ineligible. Curriculum Vitae is required to be submitted with the proposal but is excluded from the page count.

1. Proposal Format

▪ Paper Size – 8.5 x 11-inch paper

▪ Margins – 1 inch

▪ Spacing – 1.5-line spacing

▪ Font – Times New Roman or Garamond 12 point

▪ Page Limitation – 20 pages maximum (excludes Curriculum Vitae)

▪ Content – as described below

2. Proposal Length

Your project narrative must not exceed twenty (20) single-sided pages. We will not consider more than the maximum number of project narrative pages in our evaluation.

You must not include elaborate brochures, reprints, or presentations beyond those sufficient to present a complete and effective proposal.

We created this table to help you understand how to calculate your page count.

INCLUDED IN PAGE COUNT NOT INCLUDED IN PAGE COUNT

D.3.f Project Narrative Everything else

You must include enough budget related information in your proposal to support your costs as reasonable and realistic, and in compliance with 2 CFR 200 Subpart E - Cost

Principles.

Not having enough information in your proposal to understand if your costs are https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E/subject-group-ECFRea20080eff2ea53/section-200.404 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E/subject-group-ECFRea20080eff2ea53/section-200.404 http://www.ecfr.gov/cgi-bin/text-idx?SID=1d691c0585555104f1e61f46bb41ef97&amp%3Bmc=true&amp%3Bnode=sp2.1.200.e&amp%3Brgn=div6 reasonable and realistic is the most common reason awards are delayed.

b. Marking Requirements for Confidential or Proprietary Information

You must mark your proposal and proposal sections that contain proprietary or confidential information. You must use the protective legend found at FAR 52.215- 1(e)

Instructions to Offerors -- Competitive Acquisition (Jan 2004) modified to permit release to our outside evaluators.

We make every effort to protect the confidentiality of proposals, including any proposal evaluations; however, under Freedom of Information Act (FOIA) requirements, some or all proposal information may be subject to release.

Your entire proposal, or any portions thereof, without protective markings or otherwise identified as requiring protection will be considered voluntarily furnished to us without restriction and will be treated as such for all purposes.

c. 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 http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html provides additional important instructions.

d. Advance Preparation for Electronic Submission through Grants.gov

Your proposal must be submitted electronically through your Grants.gov organization. You must complete several one-time actions before electronic submission. Registration with Grants.gov may take up to twenty-one (21) days.

You should verify that the person authorized to submit proposals for your organization has completed Grants.gov registration well in advance of the submission deadline.

Grants.gov electronic proposal submissions cannot be accomplished before your organization is fully registered.

(1) A Grants.gov getting started checklist is available at:

http://www.grants.gov/web/grants/learn-grants/grants-101/getting-started-checklist.html.

(2) Guidance for registering with Grants.gov as an organization may be found at:

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

(3) Questions relating to the Grants.gov registration process, system requirements, how an application works, or the proposal submittal process can be answered by email at support@grants.gov, telephone at (800) 518-4726 or (606) 545-5035, or at http://www.grants.gov/web/grants/support.html.

(4) Obtain a UEI Number: All entities applying for funding must have a Unique

Entity Identified (UEI).

As of April 2022, the federal government stopped using the DUNS number to uniquely identify entities registered in the System for Award Management

(SAM). At that point, entities doing business with the federal government are https://www.acquisition.gov/far/52.215-1 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/52_215.htm#P2_52 http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/learn-grants/grants-101/getting-started-checklist.html http://www.grants.gov/web/grants/learn-grants/grants-101/getting-started-checklist.html http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/organization-registration.html mailto:support@grants.gov http://www.grants.gov/web/grants/support.html now using a Unique Entity Identifier (UEI) created in SAM.gov. They 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:

https://sam.gov/content/entity-registration.

(5) Grants.gov applicants can apply online using Workspace. Workspace is a shared online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to:

https://www.grants.gov/applicants/apply-for-grants.html

Create a Workspace

Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

Complete a Workspace

Add participants to the workspace, complete all the required forms, and check for errors before submission.

◼ Adobe Reader: If you decide not to apply by filling out web forms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or administering agency forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through

Adobe reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at:

https://www.grants.gov/applicants/adobe-software-compatibility.html

◼ Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

◼ Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as applicant name, address, and

UEI number. To trigger this feature, an applicant must complete the SF-

424 information first. Once it is completed, the information will transfer to the other forms.

Submit a Workspace https://sam.gov/content/entity-registration https://www.grants.gov/applicants/apply-for-grants.html https://www.grants.gov/applicants/adobe-software-compatibility.html

An application may be submitted through Workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab.

Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with enough time to correct any potential technical issues that may disrupt the application submission.

Track a Workspace

After successfully submitting a workspace package, a Grants.gov Tracking

Number (GRANTXXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/applicants/applicant-training.html

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist the administering agency with tracking your issue and understanding background information on the issue.

https://www.grants.gov/applicants/applicant-training.html mailto:support@grants.gov

d. COMPONENT PIECES OF THE APPLICATION

a. SF 424 (R&R) Application for Federal Assistance

The SF 424 (R&R) Application for Federal assistance form must be your cover page.

No pages may precede the SF 424 (R&R).

Complete all required fields in accordance with the “pop-up” instructions on the SF

424 (R&R) form. The completion of most fields is self-explanatory. You can turn on

Grants.gov “Help Mode” to provide additional instructions for forms. “Help Mode” is turned on by the icon with the pointer and question mark at the top of the form.

We have special instructions for completion of several SF 424 (R&R) form fields in your application. Our instructions are:

FIELD INSTRUCTION

2. You may leave “Applicant Identifier” blank

3. You may leave “Date Received by State” and “State Application Identifier” blank

9. You must list Air Force Office of Scientific Research as the reviewing agency if Grants.gov has not pre-populated this answer

16. You should check “No.” and “Program is Not Covered by Executive Order

12372”

17. Select “I Agree” to:

▪ Provide the certification regarding lobbying that is required by 31

U.S.C. 1352 as implemented by DoD in 32 CFR Part 28.

▪ Certify that all statements in the proposal, your Representation for

Felony Conviction, and Internal Confidentiality Agreements are true, complete, and accurate to the best of your knowledge.

▪ By checking "I Agree" on the SF 424 (R&R) block 17 you agree to abide by the following statement: "By signing this application, I certify the proposing entity is in compliance with Section 223(a) of the William M.

(Mac) Thornberry National Defense Authorization Act for Fiscal Year

2021 which requires that: (a) the PI and other key personnel certify that the current and pending support provided on the proposal is current, accurate and complete; (B) agree to update such disclosure at the request of the agency prior to the award of support and at any subsequent time the agency determines appropriate during the term of the award; and (c) the PI and other key personnel have been made aware of the requirements under

Section 223(a)(1) of this Act. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U.S. code, Title 18, Section 1001.”

See section eAdministrative and National Policy Requirements for more information and links to the full text of these items.

https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleII-chap13-subchapIII-sec1352.htm https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleII-chap13-subchapIII-sec1352.htm https://www.ecfr.gov/current/title-32/subtitle-A/chapter-I/subchapter-C/part-28

18. You may have to attach the completed D.3.c. SFLLL Disclosure of

Lobbying Activities if you have lobbying activity that you must disclose.

b. SFLLL Disclosure of Lobbying Activities

When required, attach this disclosure to field 18 of the R&R Other Project

Information Form.

If you have lobbying activity that you must disclose under 31 U.S.C. 1352 as implemented by the DoD at 32 CFR Part 28, you must attach the completed SFLLL

Disclosure of Lobbying Activities. You can find instructions for completing this form at https://www.gsa.gov/forms-library/disclosure-lobbying-activities.

R&R Other Project Information Form

Complete this form as indicated. You must include all necessary attachments.

1, 1a. You must address all prospective human subject involvement by answering these questions. Additional documentation pursuant to National Policy and

U.S. Air Force standards is required for all proposals with human use or involvement.

2, 2a. You must address all prospective animal subject and/or recombinant deoxyribonucleic acid (rDNA) involvement by answering these questions.

Additional documentation in accordance with National Policy and U.S. Air

Force standards is required for any proposal with an actual or potential impact on the environment.

4a. For any proposal that has an actual or potential impact on the environment, answer yes and provide the answers and attachments required for fields 4b, 4c, and 4d. Additional documentation in accordance with National Policy and U.S. Air Force standards is required for any proposal with an actual or potential impact on the environment.

7. Attach your D.3.e. Publicly Releasable Abstract

8. Attach your D.3.f. Project Narrative

9. Attach your D.3.g. Bibliography and References Cited

10. Attach a Facilities and Other Resources description document here if you need to supplement your D.3.f. Proposal Narrative facilities and resources section.

http://apply07.grants.gov/apply/forms/sample/SFLLL-V1.1.pdf http://apply07.grants.gov/apply/forms/sample/SFLLL-V1.1.pdf https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleII-chap13-subchapIII-sec1352.htm https://www.ecfr.gov/current/title-32/subtitle-A/chapter-I/subchapter-C/part-28 http://apply07.grants.gov/apply/forms/sample/SFLLL-V1.1.pdf http://apply07.grants.gov/apply/forms/sample/SFLLL-V1.1.pdf https://www.gsa.gov/forms-library/disclosure-lobbying-activities

11. You may supplement your D.3.j. Budget Justification by attaching an Equipment Justification here. Do not duplicate information included on your budget justification. If you attach an Equipment Justification, make sure you reference the attachment in your budget justification.

12. Attach your D.3.m Data Management Plan here if applicable

a. Publicly Releasable Project Summary / Abstract

You must attach the Project Summary / Abstract to field 7 of the R&R Other Project

Information form.

You must identify the research discipline area your proposed research falls under.

You must provide a concise abstract of 300 words or less with your proposal. You must mark this abstract publicly releasable. Your abstract should use terms the public can understand to describe the research objective, technical approach, anticipated outcome, and potential impact of the specific research.

Your abstract header must include the research discipline area, and office symbol from section G. Technical Inquiries and Questions below.

If you receive an award, we must publish your abstract to a searchable website available to the general public in accordance with Public Law 113-235. The website address is https://dodgrantawards.dtic.mil/grants/#/home.

b. Project Narrative

Your project narrative must not be longer than twenty (20) single-side pages. We will not consider any pages beyond this maximum in our evaluation. You must attach the

Project Narrative to field 8 of the R&R Other Project Information Form. The narrative must be complete and self-contained to qualify for review. This attachment is included in your page count.

You must identify the research discipline area your proposed research falls under. You must clearly describe your research, including your research objective and approach.

Your project narrative will be evaluated using the criteria listed in section E.1.

Criteria. You should show strength in as many of the evaluation and selection areas as practicable to demonstrate maximum competitiveness.

You must describe any environmental impacts of your research outside the laboratory in any appropriate narrative section, including how you will ensure compliance with environmental statutes and regulations.

Your narrative should include the following elements:

(1) Statement of Objectives

You must summarize your proposed research on a single page titled “Statement of

Objectives.” We may decide to incorporate your statement of objectives into the award as a description of the work instead of incorporating the whole technical proposal.

https://dodgrantawards.dtic.mil/grants/%23/home https://www.gpo.gov/fdsys/pkg/PLAW-113publ235/content-detail.html https://dodgrantawards.dtic.mil/grants/%23/home

You should use active verbs when you prepare the statement of objectives, e.g., “conduct” research in a subject area, “investigate” a problem, “determine” to test a hypothesis.

(2) Research Effort

(a) You should describe the research you plan in detail. State the research objectives and approach, and the relationship and comparable objectives to research progress elsewhere. Describe your research team’s knowledge in the field, and provide a bibliography and list of literature citations. Discuss the nature of the expected results. Discuss how your research is relevant to current

AFOSR and AF research.

(b) The adequacy of this information will influence the overall evaluation in accordance with the criteria and procedures specified in section E. Application

Review Information below.

(3) Principal Investigator (PI) and Senior Personnel Time

(a) You must provide estimate of time the principal investigator and other senior professional personnel will devote to the research. Your estimate must include information pertaining to the proportion of time anticipated devoted to this research, to other research, and to other commitments of time such as sabbatical, extended leave, and teaching duties.

(b) State the number of graduate students for whom each senior staff member is responsible.

(c) If your principal investigator or other key personnel have current, pending, or expected research supported by other sponsors or agencies during the period you seek our support, state the title of the other research, the proportion of time to be devoted to it, the amount of support, name of agency, dates, etc.

You must attach a list of Current and Pending Support for each person listed on the D.3.g. R&R Senior / Key Person Profile Form. Each abstract should include research title, objectives, approach, and budget for both present and pending research projects. Send any changes as they become known.

(4) Your Facilities

(a) Describe the facilities available for performing the proposed research, and any additional facilities or equipment the organization proposes to acquire at its own expense for the work.

(b) Indicate any government-owned facilities that will be used. Indicate any government-owned equipment possessed presently that will be used. The facilities contract number, or in absence of a facilities contract, the specifics of the facilities or equipment, and the number of the award under which they are accountable are required.

(c) Government Furnished Equipment

You may list any special Government-owned property or test equipment required to complete the research. When possible and practicable, give a description or title for each item, the current location, and an estimated cost as applicable. If you do not have information about individual items, group items you require by class and provide an estimate of values.

(5) High Performance Computing Requirements

You may be eligible to use DoD…