FY27 YIP NOFO N0001426SF004_ (003).pdf

ONR Announcement N0001426SF004

NOTICE OF FUNDING OPPORTUNITY (NOFO)

OFFICE OF NAVAL RESEARCH FISCAL YEAR (FY) 2027 YOUNG

INVESTIGATOR PROGRAM (YIP)

Deadlines

Application Inquiries and Questions 16 October 2026 (Friday)

Applications must be received no later than 30 October 2026 (Friday) at 5:00 PM Eastern Time

NOFO N0001426SF004 ONR (FY) 2027 YOUNG INVESTIGATOR PROGRAM (YIP) 2

Contents Overview of the Research Opportunity

A. Basic Information

1. Federal Agency Name

2. Funding Opportunity Title

3. Announcement Type

4. Funding Opportunity Number

5. Assistance Listing Number

6. Funding Details

Funded Amount and Period of Performance

7. Key Dates

8. Executive Summary

9. Agency Contact Information

B. Eligibility

1. Eligibility for Competition

2. Eligible Applicants

3. Funding Restrictions

4. Contracted Fundamental Research

5. Cost Sharing or Matching

C. Program Description

1. Instrument Type

2. Model Grants

D. Application Content and Format

1. Applications Contents and Format

a. General Information

b. White Papers

c. Full Proposals

E. Submission Requirements and Deadlines

1. Address to Request Application Package

2. Unique Entity Identifier (UEI) and System for Award Management (SAM)

3. Submission Instructions

a. Full Proposal Submission Instructions

b. Applicant Support

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4. Submission Dates and Times

a. Timely Receipt Requirements and Proof of Timely Submission

b. Proposal Receipt Notice

F. Application Review Information

1. Responsiveness Reviews

2. Review Criteria

3. Review and Selection Process

a. Evaluation

b. Evaluation Panel

4. Risk Review

G. Award Notices

1. Email

2. Electronic Document Access (EDA)

H. Post-Award Requirements and Administration

1. Administrative and National Policy Requirements

a. Export Control

b. Requirements Concerning Live Organisms:

c. Biosafety and Biosecurity Requirements:

d. Research Involving Recombinant (rDNA) or Synthetic Nucleic Acid Molecules:

e. Institutional Dual Use Research of Concern:

f. Department of Defense High Performance Computing Modernization Program:

g. Project Review Meetings and Program Review Meetings:

h. Federal Funding Accountability and Transparency Act of 2006:

i. Financial Assistance Certification:

j. Certifications Regarding Restrictions on Lobbying:

k. Certifications Regarding the Prohibition on Using Funds with Entities that Require Certain Internal Confidentiality Agreements (Grant Information Circular (GIC) 19-02 November 2019) (Supplement to SF424 (R&R), block 17, Financial Assistance Certifications and Representations) ... 37

l. Certification Regarding Disclosure of Funding Sources (Supplement to SF424, block 17, Financial Assistance Certifications and Representations

m. Conflict of Interest

n. Code of Conduct

o. Peer Review

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p. Requirements for Operation and Procurement of Commercial Of the Shelf Unmanned Aircraft Systems

q. Research Integrity

2. Reporting

a. Reporting Procedures

b. Reporting Frequency

c. Definitions

d. Post Award Reporting Requirements

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Overview of the Research Opportunity

This publication constitutes a Notice of Funding Opportunity Announcement (NOFO) as contemplated in the Department of Defense Grants and Agreements regulations (DoDGARS) 32 CFR 22.315(a). The ONR reserves the right to fund all, some, or none of the proposals received under this NOFO. ONR provides no funding for direct reimbursement of proposal development costs. Technical and budget proposals (or any other material) submitted in response to this NOFO will not be returned. It is the policy of ONR to treat all proposals submitted under this NOFO as sensitive competitive information and to disclose their contents only for the purposes of evaluation.

Hyperlinks have been embedded within this document and appear as underlined, blue-colored words. The reader may “jump” to the linked section by clicking the hyperlink.

Feedback: ONR is seeking feedback on the pre and post-award process in order to improve communication and the overall process. Please provide your feedback to the questionnaires below, as appropriate.

Feedback on the pre-award process for an assistance award: https://forms.osi.apps.mil/r/KDHbVQmme7

Feedback on the post-award process for an assistance award: https://forms.osi.apps.mil/r/yq3ZA1ziYQ https://forms.osi.apps.mil/r/KDHbVQmme7 https://forms.osi.apps.mil/r/yq3ZA1ziYQ

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A. Basic Information

1. Federal Agency Name

Office of Naval Research One Liberty Center 875 N. Randolph Street Arlington, VA 22203-1995

2. Funding Opportunity Title

Fiscal Year (FY) 2027 Office of Naval Research (ONR) Young Investigator Program (YIP)

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N0001426SF004

5. Assistance Listing Number

12.300 Title: Department of War (DoW), Department of the Navy, Office of the Chief of Naval Research, Basic and Applied Research

6. Funding Details Funded Amount and Period of Performance

The ONR YIP is highly competitive with typically 10 percent or less of applicants receiving awards. For FY2026 more than 330 proposals were received, resulting in 23 awards (7%) with a total award value of $17M. Past awardees have submitted outstanding research proposals and possessed outstanding records of prior professional accomplishments. Given that "past performance" is a selection criterion, applicants are advised that the biographical information submitted as part of the proposal (see "Qualifications" under "Proposal Content,” below) should list all past and present professional activities in their full curriculum vitae. See Section F.2. “Review Criteria” for more details regarding evaluation of submitted proposals.

Typical awards are $750,000 over a 36-month period of performance. Applicants may request up to $250,000 for each 12-month interval. These funds may be budgeted against any reasonable costs related to conducting the proposed research, for example, summer salary for the investigator, graduate student support, supplies, and applicable indirect cost.

Under this NOFO, ONR intends to award:

• Total Amount of Funding Available: $18.75M

• Anticipated Number of Awards: up to 25*

• Anticipated Range of Individual Award Amounts: $750K

• Previous Year(s) Average Individual Award Amounts: $750K

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• Anticipated Period of Performance: 3 years

*There will be no more than five (5) awards made per S&T Department. The five (5) S&T Departments and research areas of interest are available on the ONR website: 31-Command, Control, Computing, Communications, Cyber, Intelligence, Surveillance, Reconnaissance and Targeting (C5ISRT) ; 32-Ocean Battlespace Sensing; 33-Sea Warfare and Weapons; 34- Warfighter Performance; and 35-Air Warfare and Weapons.

7. Key Dates

Anticipated Schedule of Events * Event Date

(MM/DD/YEAR)

Time (Local Eastern Time)

Questions Regarding Eligibility and Technical Requirements **

10/16/2026 5:00 pm

Questions for Grants Officer Regarding Proposal Submission**

10/29/2026 5:00 pm

Proposals Due Date

10/30/2026 5:00 pm

Notification of Selection for Award * 02/16/2027

Start Date of Grant* 04/01/2027 *These dates are estimates as of the date of this announcement.

**Questions submitted after the Q&A deadline may not be answered.

IMPORTANT NOTE: White Papers are NOT being solicited and will NOT be accepted. This NOFO is for proposal submissions only.

8. Executive Summary

The Office of Naval Research (ONR) Young Investigator Program (YIP) was established in 1985 and seeks to identify and support academic scientists and engineers who are in their first or second full-time tenure-track or tenure-track-equivalent academic appointment, who have received their PhD or equivalent degree on or after 01 January 2019, and who show exceptional promise for doing creative research. The objectives of this program are to attract outstanding faculty members of U.S. Institutions of Higher Education (hereafter also called "universities") to the Department of the Navy's Science and Technology (S&T) research program, to support their research, and to encourage their teaching and research careers.

Individuals who are holding U.S. non-profit equivalent positions are also encouraged to apply. Proposals under this NOFO must address basic or applied research areas of interest and should be highly innovative.

Therefore, ONR YIP seeks creative individuals who can contribute to U.S. national security and warfighter supremacy, with the potential for sustained long term support throughout their academic careers.

https://www.onr.navy.mil/organization/departments/code-31 https://www.onr.navy.mil/organization/departments/code-31 https://www.onr.navy.mil/organization/departments/code-32 https://www.onr.navy.mil/organization/departments/code-32 https://www.onr.navy.mil/organization/departments/code-33 https://www.onr.navy.mil/organization/departments/code-34 https://www.onr.navy.mil/organization/departments/code-35 https://www.onr.navy.mil/organization/departments/code-35

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The goal of the ONR Young Investigator Program is for the Office of Naval Research to identify early career scientists and engineers in academia and nonprofits who have the potential to contribute long-term to the advancement of the Department of Navy’s Science and Technology program. This cohort of innovators will tackle some of the most challenging naval warfighter issues by utilizing transformative approaches and pioneering new technologies. Some of the intended purposes of the ONR YIP are:

• Ability of early faculty to obtain DoW research grant awards beyond YIP.

• Engagement of early career faculty to the Naval Research Enterprise via the Summer Faculty

Research Program, Sabbatical Leave Program, Scientists to Sea, and similar outreach activities.

• Education, development, and encouragement of the next generation of scientists and engineers through knowledge transfer to undergraduate, graduate, and post-doctoral participants. And opportunities of students to participate in DON/DoW sponsored programs such as the Naval Research Enterprise Internship Program (NREIP), scholarships (e.g., Science, Mathematics, and Research for Transformation (SMART Scholarship Program), and fellowships (e.g., National Defense Science and Engineering Graduate (NDSEG Fellowship Program)).

9. Agency Contact Information

All UNCLASSIFIED communications shall be submitted via e-mail to the Technical Point of Contract (POC) with a copy to the designated Business POC, as designated below.

Comments or questions submitted should be concise and to the point, eliminating any unnecessary verbiage. In addition, the relevant part and paragraph of the Funding Opportunity Announcement NOFO) should be referenced. Questions submitted within 2 weeks prior to a deadline may not be answered, and the due date for submission of the full proposal will not be extended.

• Questions regarding topic research area and Naval S&T Priorities should be submitted to the appropriate Program Officers as outlined in Section C “Program Description”

• Questions regarding programmatic or eligibility shall be submitted to:

Reginald G. Williams, PhD YIP Program Manager Office of Naval Research ONR Code 34 875 North Randolph Street Arlington, VA 22203-1995 Email Address: ONRYIP@navy.mil

• Questions regarding Grants proposal submissions shall be submitted to:

Veronica Lacey, Grants Officer Office of Naval Research ONR Code 253 One Liberty Center 875 N. Randolph Street Arlington, VA 22203-1995 Email Address: veronica.y.lacey.civ@us.navy.mil https://www.onr.navy.mil/education-outreach/undergraduate-graduate/nreip-naval-internship mailto:ONRYIP@navy.mil mailto:EMAIL@navy.mil

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B. Eligibility

1. Eligibility for Competition

Limitations on Number of Applications –. A PI may submit only one application under this solicitation. This is a single PI award. Co-PIs are not allowed. Tenured faculty are ineligible to apply.

Prior ONR YIP Award recipients are ineligible to apply.

2. Eligible Applicants

Disclosures of current and pending support made in this application may render an applicant ineligible for funding. Prior to award and throughout the period of performance, DoW may continue to request updated continuing and pending support information, which will be reviewed and may result in discontinuation of funding.

Awards under this NOFO will be made only to U.S. Institutions of Higher Education which award degrees in science, engineering, or mathematics. U.S. Non-profit organizations operating primarily for scientific and educational services may also submit proposals. The Principal Investigator of a proposal must be a U.S. citizen, national, or permanent resident (on the date proposals are due), holding a first or second full-time tenure-track or tenure-track-equivalent faculty position at that university, and has received his/her PhD or equivalent degree on or after 01/01/ 2019. The term "national" of the United States includes a native resident of a possession of the United States, such as American Samoa.

The term “tenure-track-equivalent” is explained on the ONR website:

https://www.onr.navy.mil/education-outreach/sponsored-research/yip/tenure-track-equivalent\

3. Funding Restrictions

Section 889 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2019 (Public Law 115-232) prohibits the head of an executive agency from obligating or expending loan or grant funds to procure or obtain, extend, or renew a contract to procure or obtain, or enter into a contract (or extend or renew a contract) to procure or obtain the equipment, services, or systems prohibited systems as identified in section 889 of the NDAA for FY 2019.

1. In accordance with 2 CFR 200.216 and 200.471, all awards that are issued on or after August 13, 2020, recipients and subrecipients are prohibited from obligating or expending loan or grant funds to:

(1) Procure or obtain;

(2) Extend or renew a contract to procure or obtain; or

(3) Enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Public Law 115-232, section 889, covered telecommunications equipment is telecommunications equipment https://www.onr.navy.mil/education-outreach/sponsored-research/yip/tenure-track-equivalent/

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produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

(i) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities).

(ii) Telecommunications or video surveillance services provided by such entities or using such equipment.

(iii) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country.

2. In implementing the prohibition under Public Law 115-232, section 889, subsection (f), paragraph (1), heads of executive agencies administering loan, grant, or subsidy programs shall prioritize available funding and technical support to assist affected businesses, institutions and organizations as is reasonably necessary for those affected entities to transition from covered communications equipment and services, to procure replacement equipment and services, and to ensure that communications service to users and customers is sustained.

3. See Public Law 115-232, section 889 for additional information.

COVERED FOREIGN COUNTRY means the People’s Republic of China.

4. Contracted Fundamental Research

With regard to any restrictions on the conduct or outcome of work funded under this NOFO, ONR will follow the guidance on and definition of “contracted fundamental research” as provided in the Under Secretary of Defense (Acquisition, Technology and Logistics) Memorandum of 24 May 2010. The memorandum can be found at https://www.acq.osd.mil/dpap/dars/pgi/docs/2012- D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf.

As defined therein the definition of “contracted fundamental research,” in a DoW contractual context, includes research performed under grants and contracts that are (a) funded by RDT&E Budget Activity 1 (Basic Research), whether performed by universities or industry or (b) funded by Budget Activity 2 (Applied Research) and performed on campus at a university.

Pursuant to DoW policy, research performed under grants and contracts that are (a) funded by Budget Activity 2 (Applied Research) and NOT performed on-campus at a university or (b) funded by Budget Activity 3 (Advanced Technology Development) or Budget Activity 4 (Advanced Component Development and Prototypes) does not meet the definition of “contracted fundamental research.” In conformance with the USD (AT&L) guidance and National Security Decision Directive 189 found at https://www.acq.osd.mil/dpap/dars/pgi/docs/National_Security_Decision_Directive_189.pdf.

ONR will place no restriction on the conduct or reporting of unclassified “contracted fundamental research,” except as otherwise required by statute, regulation or executive order. The research shall not be considered fundamental in those rare and exceptional circumstances where the applied research effort presents a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense, and where agreement on restrictions have been https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf http://www.acq.osd.mil/dpap/dars/pgi/docs/National_Security_Decision_Directive_189.pdf

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recorded in the contract or grant. For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting “contracted fundamental research.” In those cases, it is the prime contractor’s responsibility in the proposal to identify and describe the subcontracted unclassified research and include a statement confirming that the work has been scoped, negotiated, and determined to be fundamental research according to the prime contractor and research performer.

Normally, fundamental research is awarded under grants with universities and under contracts with industry. Non-fundamental research is normally awarded under contracts and may require restrictions during the conduct of the research and DoW pre-publication review of such research results due to subject matter sensitivity. Potential applicants should consult with the appropriate ONR Technical POCs to determine whether the proposed effort would constitute fundamental or non-fundamental research.

5. Cost Sharing or Matching

Cost sharing is not expected and will not be used as a factor during the merit review of any application hereunder. However, the Government may consider voluntary cost sharing if proposed.

C. Program Description

The Office of Naval Research Young Investigator Program seeks proposals addressing research areas (as described in the ONR Science and Technology Department section of ONR's website at https://www.onr.navy.mil) which are of interest to ONR Program Officers will be considered. Contact information for each division (a subgroup of an S&T Department) is also listed within the S&T section of the website.

Applicants are STRONGLY ENCOURAGED to contact the appropriate Program Officer who is the point of contact for a specific technical area to discuss their research ideas before submitting a proposal.

A list of most Program Officers and their contact information can be found at:

https://www.onr.navy.mil/our-research/onr-technology-and-research or at:

https://www.onr.navy.mil/our-research/our-program-officers.

A brief topic description may be submitted to facilitate these discussions but are not required. Such discussions can clarify the content and breadth of the priority research areas and enhance the match between a subsequent proposal and Department of the Navy research needs. Please allow adequate time for such discussions with the ONR Program Officer. The brief topic description should be emailed to the ONR Program Officer with ONRYIP@ navy.mil on the cc: line. The ONRYIP@navy.mil need only be cc’d on the first email correspondence.

An individual wishing to apply for the Young Investigator Program MUST submit a research proposal and at least one Letter of Support through the appropriate university officials. Refer to Section F.2 “Review Criteria” regarding the importance of the Letter(s) of Support in the overall review criteria and Section D “Application Content and Format” regarding its content. Applications received without at least one letter of support will be considered incomplete and will not be considered for award.

The research proposal must follow the format described in Section D. “Application Content and Format.”

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Each proposal must identify a primary ONR S&T Focus Area. An optional secondary ONR S&T Focus Area can be identified but is not required. The principal investigator should be able to articulate how the proposed research effort provides the necessary science and technology solutions that help the Navy and Marine Corps achieve their mission (Naval Relevance).

ONR S&T Focus Areas (and associated Research Areas):

• Artificial Intelligence and Autonomy o Machine Learning o Adversarial AI & Autonomy o Intelligent and Collaborative Agents o Perception and Understanding o Autonomous Systems Control o Modeling and Simulation, Testing, and Verification & Validation

• Command, Control, Communications, Computers, Cyber, Intelligence, Surveillance, and

Reconnaissance (C5ISR) and Naval Space o Electromagnetic Warfare o Surveillance, Sensors, and Phenomenology o Quantum Positioning, Navigation, and Timing (PNT) o Communications and Networking o Intelligence, Decision Superiority, Command and Control (C2), and Combat Systems o Full-Spectrum Cyber o Maritime Rocket Logistics o Maritime Space Payload Technology and Exploitation o Space-Based Maritime Domain Awareness o Space-Based Alt PNT

• Directed Energy and Kinetic Systems o High Energy and Pulsed Lasers o High Power Microwaves o Counter Directed Energy Weapons o DE Lethality and Operations Analysis o DE Capabilities Enablers o Propulsion Systems and Airframes o Improved Payloads o Find, Fix, Track, Target (F2T2) Enablers o Weapon Networking and Autonomy

• Materials and Electronics o Sensor Materials o Extreme Environment Materials and Processes o Sustainable and Operationally Robust Materials o Integrated Materials Systems Technology o RF Electronics o Nanoelectronics o Quantum Science & Technology o Analog & Mixed Signal Devices and Circuits

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o Power Electronics o EO/IR Sensor Components o Plasma Science o Electric Weapons

• Human and Biological Systems o Warfighter Decision Superiority and Readiness o Medical and Human Performance Technologies o Bioinspired and Bioengineered Technologies o Human Machine Teaming

• Manufacturing o Process and Automation o Digital Tools o Integrated Manufacturing and Sustainment Technologies

• Naval Engineering o Resilient Naval Systems Science and Engineering o Integrated Cyber-Physical Systems o Complex Systems and Design Sciences

• Naval Aerospace o Sea-Based Aviation o Naval Aviation Readiness and Sustainment o Advanced Autonomy and Integration o Aircraft Propulsion, Power, and Thermal Management

• Ocean, Atmosphere, and Space o Understanding the Physical Battlespace o Battlespace Sensing Technology o Battlespace Prediction Systems o Battlespace Exploitation

• Power and Energy o Energy Storage o Power Generation o Thermal Management o Power Distribution, Control, and Resilience

• Undersea Systems o Undersea Sensors o Undersea Distributed Systems o Undersea Exploitation o Undersea Weapons and Effects

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Upon completion of the award, individuals may apply for continued support under ONR's Long Range BAA (or other research grant opportunities). Decisions about continued funding outside the context of the YIP will be made following a review of the new proposal by the appropriate Program Officer based on the evaluation criteria outlined in the ONR Long Range BAA. Continued support is not guaranteed.

A proposal not selected for the YIP may still be considered for an ONR grant award. The proposal would be in competition with all other research proposals submitted in response to ONR solicitations.

Historically, only a limited number of proposals initially submitted to the YIP NOFO, but not selected under that NOFO, have been awarded other funds.

The YIP is not a "research initiation" opportunity with standards that are less demanding than ONR's other research grant programs; instead, it is intended to confer honor upon awardees beyond the funding being provided. Consideration of any YIP proposal to another ONR research grant program is at the discretion of the Program Officer

1. Instrument Type

The authority for awards is 10 U.S.C. 4001 in accordance with 31 U.S.C. 63. The applicable regulations are 2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” as implemented by 2 CFR Chapter XI, Subchapter A and DoDGARs at 32 CFR Subchapter C.

a. Grant: A legal instrument that, 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 or stimulation authorized by a law or the United States, rather than to acquire property or services for the Federal Government’s direct benefit or use.

• Substantial involvement is not expected between the Federal Government and the recipient when carrying out the activity contemplated by the grant.

• No fee or profit is allowed.

b. 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:

• 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. (For information on the substantial involvement ONR expects to have in cooperative agreements, prospective applicants should contact the Technical Point of Contact identified in the research area of interest.)

• The term does not include “cooperative R&D agreement (CRADA)” as defined at 15.U.S.C. 3710a

• No fee or profit is allowed.

• In accordance with 10 U.S.C. §4021(i), as amended, the following information submitted during the solicitation and award process of Cooperative Agreement for performance of basic, applied, or advanced research authorized by section 4001 are exempt from disclosure requirements of 5 U.S.C.

§552, the Freedom of Information Act (FOIA), for a period of five years from the date the Department receives the information. Offeror’s should mark the following documents with a legend asserting that

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they are submitted on a confidential basis:

o A proposal, proposal abstract, and supporting documents;

o A business plan submitted on a business proprietary basis;

o Technical information submitted on a controlled basis, as outlined in DoDI 5230.24, Distribution

Statements on Technical Documents.

2. Model Grants

The model grants at the link below are only provided as examples. In the event of any conflict between these examples and current 2 CFR 200 Uniform Guidance or ONR terms and conditions, current 2 CFR 200 Uniform Guidance or ONR terms and conditions will govern.

Examples of model grants can be found on the ONR website at the following link:

https://www.onr.navy.mil/work-with-us/how-to-apply/submit-grant-application

D. Application Content and Format

1. Applications Contents and Format

a. General Information

All submissions will be protected from unauthorized disclosure in accordance with applicable law and DoW/DoN regulations. Applicants are expected to appropriately mark each page of their submission that contains any proprietary information.

Titles given to the submissions should be descriptive of the work they cover and not be merely a copy of the title of this announcement.

b. White Papers

- White papers are not being requested for the NOFO. No white papers will be accepted.

c. Full Proposals

Prospective applicants must complete the mandatory forms in accordance with the instructions provided on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (.PDF); cannot contain macros; and cannot be password protected. If an attachment is not PDF, contain macros or is password protected, they will not pass ONR’s automated acceptance check and will need to be resubmitted. Block 2, “Type of Application” on the SF 424 should be marked “New” on the resubmission.

i. Format for Technical Proposal

• Paper size – 8.5 x 11 inch

• Margins – 1 inch

• Spacing – single-spaced

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• Font – Times New Roman, 12-point

• Page Limit – Technical Proposal: 20 pages

NOTE: The following components are excluded from the page limit

Cover page Table of contents Full Curriculum Vitae (CV) Data Management Plan Letters of Support Cited References Current and Pending Support

There are no page limitations for the budget.

ii. Content

NOTE: The electronic file name for all documents submitted under this NOFO must not exceed 68 characters in length, including the file name extension.

Mandatory SF-424 Research and Related (R&R) Family Forms

The mandatory forms are found at https://www.grants/forms/forms-repository/r-r-family.

i. SF-424 (R&R)

The SF-424 (R&R) form must be used as the cover page for all proposals. Complete all required fields in accordance with the “pop-up” instructions on the form and the following instructions for specific fields.

Please complete the SF-424 first, as some fields on the SF-424 are used to auto-populate fields on other forms. Guidance can be found at https://www.grants.gov/forms/forms-repository/r-r-family.

The completion of most fields is self-explanatory with the exception of the following special instruction:

• Field 3 - Date Received by State: Leave Blank

• Field 4a - Federal Identifier: For new proposals, enter N00014. If the application is a renewal or expansion of an existing award, enter the ONR award number. Note: There is a space between the code and the first [ and between the , and the First Name. There is no space between the first [ and the last name.

• Field 4b - Agency Routing Number: Enter the three (3) digit Program Office Code and the Program

Officer’s name, last name first, in brackets (e.g., 331 [Smith, John]). Note: There is a space between the code and the first [ and between the , and the First Name. There is no space between the first [ and the last name.

Where the Program Office Code only has two digits, add a “0” directly after the Code (e.g., Code

31 would be entered as 310)

Applicants who fail to provide a Program Officer Code identifier may receive a notice that their proposal is rejected.

https://www.grants/forms/forms-repository/r-r-family.gov/web/grants/forms.html https://www.grants.gov/forms/forms-repository/r-r-family

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• Field 4c - Previous Grants.gov Tracking ID: If this submission is for a Changed/Corrected

Application, enter the Grants.gov tracking number of the previous proposal submission; otherwise, leave blank.

• Field 5 – Application Information: Email address entered by the grantee on the SF424 application to create the EDA notification profile. ONR recommends that organizations provide a global business address.

• 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 Office of Naval Research as the reviewing agency. This field is pre-populated in Grants.gov.

• Field 11 – Descriptive Title of Applicant’s Project: Include the ONR White Paper Tracking Number provided to the applicant by ONR.

• Field 14 – Project Director/Principal Investigator: Email address entered by the grantee on the SF424 application to create the EDA notification profile

• 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 “I Agree” on the SF 424 (R&R) block 17 you agree to abide by the following statement: “By signing this application, I certify (1) to the statements contained in the list of certifications and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U.S. code, Title18, Section 1001). In addition, the Financial Assistance General Certifications and Representations must be completed in SAM.gov (https://sam.gov/).

• Field 19 – Authorized Representative: Email address entered by the grantee on the SF424 application to create the EDA notification profile.

ii. PROJECT/ABSTRACT

The project summary/abstract must identify the research problem and objectives, technical approaches, anticipated outcome of the research, if successful, and impact on DoW capabilities. Use only characters available on a standard QWERTY keyboard. Spell out all Greek letters, other non-English letters, and symbols. Graphics are not allowed and there is a one page or 4,000-character including spaces limit whichever is less.

Do not include proprietary or confidential information. The project summary/ abstract must be marked by the applicant as “Approved for Public Release”. Abstracts of all funded research projects will be posted on the public DTIC website: https://discover.dtic.mil/public-access-search/ https://discover.dtic.mil/public-access-search/

NOFO N0001426SF004 ONR (FY) 2027 YOUNG INVESTIGATOR PROGRAM (YIP) 18

iii. RESEARCH AND RELATED OTHER PROJECT INFORMATION

• Fields 1 and 1a – Human Subject Use: Each proposal must address human subject involvement in the research by completing Fields 1 and 1a of the R&R Other Project Information form. For proposals containing activities that include or may include “research involving human subject” as defined in DoDI 3216.02, prior to award, the Applicant must submit the required documentation under “Use of Human Subjects in Research” (Section H).

• Fields 2 and 2a – Vertebrate Animal Use: Each proposal must address animal use protocols by addressing Fields 2 and 2a of the R&R Other Project Information form. If animals are to be utilized in the research effort proposed, the applicant must submit the documents described under “Use of Animals” (Section H).

• Fields 4a through 4d – Environmental Compliance: Address these fields and briefly indicate whether the intended research will result in environmental impacts outside the laboratory, and how the applicant will ensure compliance with environmental statutes and regulations.

Federal agencies making grant or cooperative agreement awards and recipients of such awards must comply with all applicable environmental planning and regulatory compliance requirements. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. § 4321 et seq. for example, 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 environmental planning documentation such as an environmental impact statement (EIS), even if the agency does no more than provide grant funds to the recipient. Most field research funded by ONR, however, constitute activities covered by a NEPA categorical exclusion that do not require preparation of further environmental planning documentation.

This is particularly true with regard to basic and applied scientific research conducted entirely within the confines of a laboratory, if the research complies with all other applicable safety, environmental and natural resource conservation laws. Questions regarding NEPA or other environmental planning or regulatory compliance issues should be referred to the technical point of contact.

• Field 7 – Project Summary/Abstract: Leave Field 7 blank; complete Form SF 424 Project Abstract. If an error message occurs when leaving Block 7 blank, upload the Project Abstract.

• Field 8 – Project Narrative: Clearly describe the research, including the objective and approach to be performed, keeping in mind the evaluation criteria. Attach the entire proposal narrative to R&R Other Project Information form in Field 8. To attach a Project Narrative to Field 8, click on “Add attachment” and attach the technical proposal as a single PDF file. Save the file as “Technical Proposal” as typing in the box is prohibited.

The technical proposal must describe the research in sections as described below:

o Cover Page (not included in page limit): This must include the words “Technical Proposal” and the following:

NOFO Number: N0001426SF0004 Title of proposal;

Identity of prime applicant and complete list of subawardees, if applicable;

Technical contact (name, address, phone/fax, electronic mail address);

Administrative/business contact (name, address, phone/fax, electronic mail address); and Proposed period of performance (identify both the base period and options, if included).

NOFO N0001426SF004 ONR (FY) 2027 YOUNG INVESTIGATOR PROGRAM (YIP) 19

o Table of Contents (not included in page limit): An alphabetical/numerical listing of the sections within the proposal, including corresponding page numbers.

o Technical Approach (included in page limit): Describe the scientific or technical concepts that will be investigated, providing the complete research plan. Describe what is innovative about the proposed approach. Provide the proposed approach compared to alternate approaches other researchers in the field have taken. Given the successful completion, describe the results, new knowledge, or insights.

Future Naval Relevance: A description of potential Naval relevant and contributions of the effort to the agency’s specific mission. Include the ONR S&T Focus Area being addressed by this research.

Project Schedule and Milestones: A summary of the schedule of events and milestones.

Goals and Benchmarks: Describe the goals of the research and the benchmarks that will be used to measure the progress and success of those goals.

Gold Standard Science: Describe your success in implementing Gold Standard Science in accordance with Executive Order 14303 – Restoring Gold Standard Science (https://www.federalregister.gov/documents/2025/05/29/2025-09802/restoring-gold-standard-science).

o Management Approach (included in page limit): Describe the overall management approach and provide rationale for participation of key team members. Describe the planned relationships with any subawardees or collaborators. This is a single PI award; if there are subawardees or collaborators, explain how the proposed team fits the single PI structure. If appropriate, briefly describe anticipated schedule.

o Principal Investigator Qualifications (included in page limit): A discussion of the qualifications of the proposed Principal Investigator and any other key personnel.

o Principal Investigator’s Curriculum Vitae (not included in page limit): A full CV is required as defined as a comprehensive document detailing the PI’s entire educational, professional, and academic career, including awards, recognitions, and other achievements. A full CV should also include all publications, journal articles, conference papers and proceedings, abstracts, books, book chapters, patents, etc.

o Letter(s) of Support (not included in page limit): There is no specified format or content required for the letter(s) of support other than being authored by the appropriate University (or Nonprofit) Official(s) and articulating long-term commitment by the University (or Nonprofit) to the applicant and his or her research. Long-term commitment may include (but is not limited to) release time from teaching and/or administrative responsibilities, paid nine-month salary, other related research funding, related laboratory and/or computer investments, new faculty start-up package, support for applicant’s graduate students/postdocs, and mentoring. The letter(s) can include any and all commitments and investments made by the university (or non-profit) towards the applicant being a successful researcher, instructor, and advisor, as well as the applicant's achievements. It must be clear that the university (or non-profit) is making a long-term commitment to the applicant and his or her research, and that the applicant is viewed as a potential leading faculty member or equivalent. The university (or nonprofit) should make it clear that the individual being recommended is truly outstanding. The Letter(s) of Support shall be attached to the proposal.

o Responsibility (included in page limit): Applicants must provide the following information to ONR in order to assist in ONR’s evaluation of the applicant’s responsibility:

https://www.federalregister.gov/documents/2025/05/29/2025-09802/restoring-gold-standard-science https://www.federalregister.gov/documents/2025/05/29/2025-09802/restoring-gold-standard-science

NOFO N0001426SF004 ONR (FY) 2027 YOUNG INVESTIGATOR PROGRAM (YIP) 20

Describe how you have adequate resources or the ability to obtain such resources as required to complete the activities proposed.

Describe how you have the ability to comply with the grant conditions, taking into account all existing and currently prospective commitments of the applicant, nongovernmental and governmental.

Describe your performance history; specifically, your record in managing Federal awards and the extent to which any previously awarded amounts will be expended prior to future awards.

Describe your record of integrity and business ethics.

Describe qualifications and eligibility to receive an award under applicable laws and regulations.

Describe your organization, experience, accounting, and operational controls and technical skills or the ability to obtain them (including as appropriate such elements as property control systems, quality assurance measures, and safety programs applicable to the efforts to be performed).

o Data Management Plan (not included in page limit): A data management plan is a document that describes which data generated through the course of the proposed research will be shared and preserved, how it will be done, or explains why data sharing or preservation is not possible or scientifically appropriate, or why the costs of sharing or preservation are incommensurate with the value of doing so. See also: DoD Instruction 3200.12.

In no more than 2 pages, discuss the following:

o The types of data, software, and other materials to be produced.

o How the data will be acquired.

o Time and location of data acquisition, if scientifically pertinent.

o How the data will be processed.

o The file formats and the naming conventions that will be used.

o A description of the quality assurance and quality control measures during collection, analysis, and processing.

o A description of dataset origin when existing data resources are used.

o A description of the standards to be used for data and metadata format and content.

o Appropriate timeframe for preservation.

o The plan may consider the balance between the relative value of data preservation and other factors such as the associated cost and administrative burden. The plan will provide a justification for such decisions.

o A statement that the data cannot be made available to the public when there are national security or controlled unclassified information concerns (e.g., “This data cannot be cleared for public release in accordance with the requirements in DoD Instruction 5230.09.”) ( DoD Instruction 5230.09 can be found at:

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwU LZ-197fNysiam2Mnw%3d%3d)

• Field 9 – Bibliography & Referenced Cited: Upload your Bibliography/Referenced cited as a single PDF.

• Field 10 – Facilities & Other Resources: Describe facilities available for performing the proposed research and any additional facilities the applicant proposes to acquire at its own expense. Indicate government-owned facilities already possessed that will be used. (Additional equipment will not be provided unless the research cannot be completed by any other practical means.)

• Field 11 – Equipment: Describe any equipment available or any additional equipment the application proposes to acquire at its own expense. Indicate government owned equipment that will be used. Justify https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/320012p.pdf?ver=2019-04-30-073122-220 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwULZ-197fNysiam2Mnw%3d%3d) https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwULZ-197fNysiam2Mnw%3d%3d)

NOFO N0001426SF004 ONR (FY) 2027 YOUNG INVESTIGATOR PROGRAM (YIP) 21

the need for each equipment item and provide vendor quotes. (Additional equipment will not be provided unless the research cannot be completed by any other practical means.)

• Field 12 – Other Attachments: Optional, as necessary

Grants do not include the delivery of software, prototypes or other hardware deliverables.

iv. RESEARCH AND RELATED BUDGET

The applicant must use the Grants.gov forms (including the Standard Form (SF) Research and Related (R&R) Budget Form) from the application package template associated with the NOFO on the Grants.gov web site located at http://www.grants.gov/. If options are proposed, the cost proposal must provide the pricing information for the option periods; failure to include the proposed costs for the option periods will result in the options not being included in the award.

The applicant shall provide a detailed cost breakdown of all costs, by cost category.

The award start date for budget purposes should be 01 April 2027.

Typical awards are $750,000 over a 36-month period of performance. Applicants may request up to $250,000 for each 12-month interval.

A separate Adobe .pdf document shall be included in the application that provides appropriate justification and/or supporting documentation for each element of cost proposed and includes a link to the current since audit report. This document shall be attached under Section L. “Budget Justification” of the Research and Related Budget form. Click “Add Attachment” to attach.

• Part 1: The itemized budget should include the following. All costs should be rounded to the nearest dollar.

• Direct Labor – Individual labor categories or persons, with associated labor hours and unburdened direct labor rates. Provide escalation rates for out years.

• 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.

Fringe Benefits and Indirect Costs (Facilities and Administration (F&A), Overhead, G&A, etc.) – The proposal shall show the rates and calculation of the costs for each rate category. If the rates have been approved/negotiated by a Government agency, provide a copy of the memorandum/agreement. If the non- Federal entity has never received a negotiated indirect cost rate, they may elect to charge a de minimis rate of 15% of modified total direct costs or provide sufficient detail to enable a determination of allowability, allocability and reasonableness of the allocation bases, and how the rates are calculated. See 2 CFR 200.414(f) regarding the use of a de minimis rate. Additional information may be requested, if needed. If composite rates are used, provide the calculations used in deriving the composite rates.

• Travel – The proposed travel cost must include the following for each trip: the purpose of the…