H08 NFO HQ003425NFOEASD01 20241126.pdf

NOTICE OF FUNDING OPPORTUNITY

DEPARTMENT OF DEFENSE MINERVA RESEARCH INITIATIVE’S UNIVERSITY RESEARCH

ANNOUNCEMENT

ANNOUNCEMENT TYPE: Initial Announcement

FUNDING OPPORTUNITY NUMBER: HQ003425NFOEASD01

ASSISTANCE LISTING: 12.630 Basic, Applied, and Advanced Research in

Science and Engineering

KEY DATES: White Papers: 29 November 2024 at 1500 Eastern

Full Applications: 28 February 2025 at 1500 Eastern

CONTENTS

I. PROGRAM DESCRIPTION

A. SHORT DESCRIPTION OF FUNDING OPPORTUNITY

B. BACKGROUND

C. PROGRAM DESCRIPTION/OBJECTIVE

D. OVERVIEW OF FUNDING PRIORITIES

E. FUNDING PRIORITIES

F. AUTHORIZATION

II. FEDERAL AWARD INFORMATION

A. TYPE OF INSTRUMENT

B. ESTIMATED PROGRAM FUNDING

C. ANTICIPATED NUMBER OF AWARDS

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. COST SHARING OR MATCHING

C. CONFLICT OF INTEREST

IV. APPLICATION AND SUBMISSION INFORMATION

A. CONTENT AND FORM OF APPLICATION SUBMISSION

WHITE PAPERS (STAGE ONE)

1. WHITE PAPER PACKAGE COMPONENTS

2. WHITE PAPER SUBMISSION

FULL PROPOSALS (STAGE TWO)

3. PACKAGE REQUIREMENTS

FULL PROPOSAL STRUCTURE

APPLICATION WITHDRAWAL

B. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT (SAM)

C. SUBMISSION DATE AND TIME

D. FUNDING RESTRICTIONS

V. APPLICATION REVIEW INFORMATION

A. CRITERIA

B. REVIEW AND SELECTION PROCESS

VI. FEDERAL AWARD ADMINISTRATION INFORMATION

A. FEDERAL AWARD NOTICES

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

VII. REPORTING

A. PERFORMANCE REPORTING

B. FINANCIAL REPORTING

C. AUDIT REPORTS

D. PROPERTY REPORTS

E. DOCUMENT SUBMISSION

VIII. FEDERAL AWARDING AGENCY CONTACTS

IX. OTHER INFORMATION

X. APPENDIX A: INITIAL WORK PLAN REQUIREMENTS

XI. APPENDIX B: MINERVA RESEARCH TOPICS OF INTEREST

A. TOPIC 1: SOCIETAL COHESION AND CONFLICT

B. TOPIC 2: ADVANCING INFLUENCE MEASUREMENT(S)

C. TOPIC 3: ARCTIC AT THE POLAR CROSSROADS

D. TOPIC 4: CULTURAL RESILIENCE, CLIMATE, AND HUMAN SECURITY IN OCEANIA

E. TOPIC 5: SOCIAL IMPACT OF TECHNOLOGICAL CHANGE

F. TOPIC 6: DETERRENCE AND COMPETITION ACROSS MILITARY AND CIVILIAN SPHERES

I. PROGRAM DESCRIPTION

A. SHORT DESCRIPTION OF FUNDING OPPORTUNITY

Minerva’s University Research program aims to support innovative basic research projects that contribute to the advancement of social science and provides new methods and understandings on social and behavioral questions of security and defense-related interest.

B. BACKGROUND

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

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

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

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

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

C. PROGRAM DESCRIPTION/OBJECTIVE

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

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

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

Topic 1: Societal Cohesion and Conflict

Topic 2: Advancing Influence Measurement(s)

Topic 3: Arctic at the Polar Crossroads

Topic 4: Cultural Resilience, Climate, and Human Security in Oceania

Topic 5: Social Impact of Technological Change

Topic 6: Deterrence and Competition across Military and Civilian Spheres

NB: Each proposal should be submitted to only one topic area, even if there is overlap with another topic area.

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

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

Services.

D. OVERVIEW OF FUNDING PRIORITIES

The award made under this announcement will be governed by the general terms and conditions in effect at the time of the award that conform to DoD’s implementation of

OMB guidance applicable to financial assistance in 2 CFR 200, “Uniform

Administrative Requirements, Cost Principles, and Audit Requirements for Federal

Awards.” Additionally, the requirements of the DoD Grant and Agreement

Regulations at 32 CFR Subchapter C are applicable to this award. These terms and conditions are incorporated by reference in this announcement.

E. FUNDING PRIORITIES

In accordance with 10 USC §4001, Research and Development Projects, OUSD(R&E), Minerva’s University Research program aims to support innovative basic research projects that contribute to the advancement of social science and provides new methods and understandings on social and behavioral questions of security and defense-related interest.

F. AUTHORIZATION

The authorization to make awards under this NFO may be found via the Assistance

Listing (formerly, the Catalog of Federal Domestic Assistance [CFDA] Number)

12.630 Basic, Applied, and Advanced Research in Science and Engineering.

https://sam.gov/fal/541e12aee6d143ba820eacc499f46131/view

II. FEDERAL AWARD INFORMATION

A. TYPE OF INSTRUMENT

The Government intends to award grants as a result of this NFO. These should be new awards, not extensions or supplementations of previous awards. Substantial government involvement is not expected between the Government and the recipient under these awards. The Government reserves the right to award other assistance instruments, if deemed in the best interests of the Government. Additionally, the

Minerva program description does not describe or require substantial involvement from the DoD in carrying out the assistance. Consequentially, as substantial government involvement is not required, the grants officer has determined that a grant is the appropriate vehicle for this assistance.

The anticipated start date for the awards is 1 June 2025, with a base three-year period.

If justified, a fourth- and fifth-option-year are possible as part of the original proposal, though three-year awards are the standard.

B. ESTIMATED PROGRAM FUNDING

The Federal Government (DoD) anticipates awarding 15 grants, with each valued up to $1,000,000.00 per year with a three- to five-year period of performance. (A three-year base period plus up to two option years.) The total amount awarded from this

NFO is not expected to exceed $30,000,000.00 over the selected awards’ period of performance. These funding amounts include both direct and indirect costs. Subject to the availability of funds, the total value of this effort may also be augmented by

Congress or by other federal government agencies.

C. ANTICIPATED NUMBER OF AWARDS

The Government reserves the right to make 15 awards or no award as a result of this

NFO.

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

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

Historically Black Colleges and Universities (HBCUs), Minority Institutions (MIs), and Tribal Colleges and Universities (TCUs) are encouraged to apply. No portion of this NFO, however, will be set aside for HBCU, MI, or TCU participation.

Teams are encouraged and may submit proposals applications in any and all areas.

Non-profit institutions and commercial entities may be included on a university-led team as subawardees only, receiving funding for their efforts accordingly. Federally

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

Energy National Laboratories, are not eligible to receive awards under this NFO.

However, teaming arrangements between FFRDCs and eligible principal applicants are allowed provided they are permitted under the sponsoring agreement between the

Government and the specific FFRDC.

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

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

B. COST SHARING OR MATCHING

Cost sharing is not required.

C. CONFLICT OF INTEREST

The organization must disclose any potential or actual scientific or nonscientific conflict of interest(s) and must also disclose any potential or actual conflict(s) of interest for any identified sub recipient included in the application. The Government may follow-up with questions.

Depending on the circumstances, the Government may request a conflict of interest mitigation plan. The plan must be approved by the Government. Conflicts of interest which are unable to be mitigated will deem the applicant ineligible for award.

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

Accordingly, these collaborations should be considered when considering potential conflicts of interest. The potential conflict is mitigated by the disclosure of these collaborations, and the list of current and pending support provided for senior and key researchers. Therefore, all collaborators must be included in the list of current and pending support, even if they did not formally provide support.

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

Terms and Conditions included in the award documents.

IV. APPLICATION AND SUBMISSION INFORMATION

Proposals submitted shall be in accordance with this announcement. Proposed sub-recipients or formal collaborators may, however, team on multiple proposals. The proposal must be valid for at least 180 days. All proposals must reference this announcement number. Offerors should be alert for any amendments to this NFO that may adjust submission dates or other submission requirements. All submissions must be unclassified. The Government will not reimburse any cost associated with participation in the proposal process.

The Government reminds offerors that only warranted Grants Officers could bind or otherwise commit contractually the Government. The cost of preparing proposals in response to this announcement is not an allowable direct charge to any resulting agreement (or any other federal award/contract).

A. CONTENT AND FORM OF APPLICATION SUBMISSION

The Minerva application process is conducted in two stages:

• Stage 1 – White Paper submission (via email to osd.minerva@mail.mil AND the

“Appendix B: Minerva Research Topics of Interest” technical point of contact) o Deadline: 29 November 2024 at 1500 Eastern

• Stage 2 – Full Application submission (via Grants.gov) o Deadline: 28 February 2025 at 1500 Eastern

Stage One – Based on an assessment of the white papers submitted, the grants officer will advise prospective proposers whether the applications outlined in their white papers were judged to be competitive for Minerva University Research award selection, and will then invite the most promising subset of applications to submit a full application for funding consideration. NB: White Papers are strongly encouraged.

Stage Two – Interested entities will submit full applications. All proposals submitted under the terms and conditions cited in this NFO will be evaluated in accordance with the evaluation criteria stated herein. Subsequent to white paper feedback, interested entities are required to submit full proposals. NB: Entities may submit a proposal without being invited through the white paper review stage, though this is discouraged. Interested parties who do not participate in the white paper review stage should contact the appropriate POC prior to submission of a full proposal to discuss options, though feedback at that late stage is not guaranteed. Full proposals submitted after the posted deadline will not be evaluated for funding consideration. Time of receipt will be determined by the date and time the submission is recorded by

Grants.gov. Early submission is encouraged.

Applications will be submitted through Grants.gov. NB: All documents must be submitted in .pdf format. NOTE: If using Excel for any portion of the application, ensure the document is converted to .pdf format prior to uploading to Grants.gov.

DO NOT SEND: Hardcopies (including facsimiles)

DO NOT SEND: ZIP files

DO NOT SEND: Adobe Acrobat files in portfolio mode

DO NOT SEND: Password protected files.

Full application packages—as indicated by Stage—must be submitted electronically

(via E-mail for Stage 1 and via Grants.gov for Stage 2) no later than the dates and times indicated on the Grants.gov listing, the cover page of this NFO, and in Section

IV.B. Feedback may be provided by the Program Director or appropriate POC after reviews have been completed.

mailto:osd.minerva@mail.mil

WHITE PAPERS (STAGE ONE)

1. WHITE PAPER PACKAGE COMPONENTS

Submitted documentation should be in PDF format and include in a single document, ordered as below:

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

• A cover page, labeled “APPLICATION WHITE PAPER,” that includes the

NFO number, proposed project title, and prospective applicant's technical point of contact with telephone number, e-mail address, and most relevant area number and title (see Appendix B: Minerva Research Topics of Interest).

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

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

• Curriculum vitae (CV) of key investigators (optional)

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

2. WHITE PAPER SUBMISSION

White papers and supporting documentation must be submitted as email attachments to osd.minerva@mail.mil and the research topic's technical point of contact no later than 1500 Eastern on 29 November 2024. E-mail transmission is not instantaneous and delays in transmission may occur anywhere along the route.

The Government takes no responsibility for any delays in the transmission of an e-mail. The prospective applicant is responsible for allowing enough time to complete the required application components, upload the white paper and submit the proposal via e-mail before the deadline. It is not necessary for white papers to carry official institutional signatures.

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

Appendix B: Minerva Research Topics of Interest), written as: 2024 Minerva

NFO WP - Area [Topic Number]

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

FULL PROPOSALS (STAGE TWO)

3. PACKAGE REQUIREMENTS

The below chart specifies which forms and attachments are required for the Full

Proposal submission and specifies the maximum page lengths for attachments to be submitted along with the completed form.

SF424 (R&R)(V5.0)

Assurances for Non-construction Programs (SF-424B – R&R) (V1.1)

Budget Information for Non-construction Programs (SF-424A) (V1.0)

Disclosure of Lobbying Activities (SF-LLL) (V2.0)

Project Abstract Summary (V2.0) (Suggested length no more than two pages)

Project Narrative Attachment Form (V1.2) (No more than 25 pages)

Research & Related Budget (V3.0)

Research & Related Personal Data (V1.2)

Research & Related Senior/Key Person Profile (V3.0)

The application consists of a narrative with supporting documentation, and required forms. Both are explained below.

The Narrative is a twenty-five (25) page document consisting of the following items:

• Identification of the research and issues, including the state of the field

• Proposed methods

• Potential contribution to fundamental social science basic research

• Potential implications for national defense

• Team and management plan

• Data management plan for data or tools to be generated in the course of research. Additionally, information on how the data will be shared, organized, and preserved should be included. In instances where this is not possible, the

Data Management Plan must explain why it is not possible or scientifically appropriate. Information on the Data Management Plan can be found in DoDI

3200.12, Section 3.c. of Enclosure 3.

(https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/320012p.

pdf?ver=2019-04-30-073122-220).

• Project Schedule and Milestones

• Summary of estimated costs

• Reference citations are not required but may be included outside the 25-page limit

Narratives exceeding the 25-page limit may not be evaluated.

EXCLUDED from the 25-page limit are resumes, curricula vitae (limited to two pages each), references, Initial Work Plan, letters of support (limited to 10 pages), and data management plan. These may be included in the same document as appendices, after the page limit.

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/320012p.pdf?ver=2019-04-30-073122-220

Additionally, the following items are EXCLUDED from the 25-page limit:

• A cover letter (optional, but not to exceed one (1) page)

• A cover page, labeled “FULL PROPOSAL” that includes the NFO number, proposed project title, and prospective applicant’s technical point of contact with telephone number, e-mail address, and most relevant topic number(s) and title(s) (see Appendix B: Minerva Research Topics of Interest).

• Table of Contents – A listing of the sections within the application, including corresponding page numbers.

• Executive Summary – An Executive Summary is requested and may be constructed in any manner in which the applicant feels summarizes the entire application.

• Financial Breakdown – The application must include a narrative cost proposal detailing direct labor, administrative and clerical labor, fringe benefits and indirect costs, travel, sub-awards, subcontracts, consultants, materials and supplies, recipient acquired equipment of facilities, and other direct costs.

o The cost proposal, which is a narrative explaining and justifying budget figures in enough detail so the government can determine reasonableness.

It must include all figures, calculations, and supporting documentation for determining cost allowability, allocability, and reasonableness.

Justifications for costs must be explicitly stated.

o Additional information may be requested, if needed. If composite rates are used, provide the calculations used in deriving the composite rates. A

Negotiated Indirect Cost Rate Agreement (NICRA) may be required in order for an awardee to invoice for indirect costs. If the Offeror does not currently hold a NICRA, describe the status of the organization’s request for such an agreement with its cognizant agency.

o IAW 2 CFR §200.414(f), any non-Federal entity that has never received a negotiated indirect cost rate, except for those non-Federal entities described in Appendix VII to 2 CFR §200, may elect to charge a de minimis rate of up to 15 percent of modified total direct costs (MTDC) which may be used indefinitely.

o If subject to Federal Single Audit coverage requirements, the offeror must submit the latest Single Audit with the application.

o NOTE: Failure to adequately provide detailed cost data will require the

Grants Officer to contact the proposing organization for the requisite information. All Offerors are required to submit a thoroughly detailed cost breakdown. The Grants Officer must be able to determine that all proposed costs are allowable and reasonable. A detailed budget will facilitate this cost analysis.

• Letter(s) of Support (optional) – There is no specified format or content required for the letter(s) of support other than being authored by the appropriate representative on organizational letterhead, and supporting commitment to the offeror and his or her project. Commitment may include

(but is not limited to) funding, related materials and/or computer investments, technical advisement, and organizational or infrastructure support. The letter(s) can include any and all commitments and investments made by the representative towards the offeror and the overall statement about the relevance of the project to the Minerva Research Initiative.

• Principal Investigator Qualifications (Curricula Vitae/Resumes) – A discussion of the qualifications of the proposed Project Director/Principal

Investigator and any other key personnel. Include resumes or curricula vitae for the Project Director/Principal Investigator and other key personnel. The resumes/curricula vitae shall be attached to the application and must be limited to two (2) pages each.

• Responsibility – Offerors must provide the following information to the DoD in order to assist in the DoD’s evaluation of the offeror’s responsibility:

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

o Describe how you have the ability to comply with the agreement conditions, taking into account all existing and currently prospective commitments of the offeror, nongovernmental and governmental;

o 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;

o Describe your record of integrity and business ethics;

o Describe qualifications and eligibility to receive an award under applicable laws and regulations; and o 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 services to be performed).

• Initial Work Plan – Offerors must submit an Initial Work Plan. The Work Plan will become part of the resulting award if the application is selected to be funded. Please review Section XII Appendix A for further guidance regarding the work plan. A completed Work Plan is required for selected application to receive funding.

• Budget Justification – A separate document (PDF format) should be included in the application that provides appropriate justification and/or supporting documentation for each element of cost proposed. This document shall be attached under Section K. “Budget Justification” of the Research and Related

Budget form. Click “Add Attachment” to attach. This document may be prepared in Excel, but must be converted to Adobe .pdf format when submitted. The itemized budget should include direct and indirect costs, including rates and quantities. This may include the following:

o 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 (F&A, Overhead, G&A, etc.) – The application should 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 rates have not been approved/negotiated, provide sufficient detail to enable a determination of allowability, allocability and reasonableness of the allocation bases, and how the rates are calculated. 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 costs must include the following for each trip: the purpose of the trip, origin and destination if known, approximate duration, the number of travelers, and the estimated cost per trip must be justified based on the organizations historical average cost per trip or other reasonable basis for estimation. Such estimates and the resultant costs claimed must conform to the applicable Federal cost principals. The PI is expected to travel to the annual program review to present her or his research, so these costs—usually to

Washington, DC— should be included.

▪ Sub-awards/Subcontracts – Provide a description of the work to be performed by the subrecipient/subcontractor. For each sub-award, a detailed budget is required to be submitted by the subrecipient(s). An application and any supporting documentation must be received and reviewed before the Government can complete its cost analysis of the application. The DoD’s preferred method of receiving subcontract information is for this information to be included with the Prime’s application. The email should identify the application title, the prime

Offeror and that the attached application is a subcontract.

o Consultants – Provide a breakdown of the consultant’s hours, the hourly rate proposed, any other proposed consultant costs, a copy of the signed

Consulting Agreement or other documentation supporting the proposed consultant rate/cost, and a copy of the consultant’s proposed statement of work if it is not already separately identified in the prime contractor’s application.

o Materials & Supplies – Provide an itemized list of all proposed materials and supplies including quantities, unit prices, and the basis for the estimate

(e.g., quotes, prior purchases, catalog price lists).

o Recipient Acquired Equipment or Facilities – Equipment and/or facilities are normally furnished by the Recipient. If acquisition of equipment and/or facilities is proposed, a justification for the purchase of the items must be provided. Provide an itemized list of all equipment and/or facilities costs and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists). Allowable items normally are limited to research equipment not already available for the project. General purpose equipment (i.e., equipment not used exclusively for research, scientific or other technical activities, such as personal computers, laptops, office equipment) should not be requested unless they will be used primarily or exclusively for the project. For computer/laptop purchases and other general purpose equipment, if proposed, include a statement indicating how each item of equipment will be integrated into the program or used as an integral part of the research effort.

o Other Direct Costs – Provide an itemized list of all other proposed direct costs such as Graduate Assistant tuition, laboratory fees, report and publication costs, and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

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

Formatting requirements:

• Single-spaced lines are acceptable.

• Font: Minimum font size is 12 points. The preferred font is Times New

Roman, but other fonts are acceptable.

• Tables/Figures: 10 point fonts are acceptable for tables/figures and captions.

FULL PROPOSAL STRUCTURE

• Cover Letter (Optional)

• Cover Page (Required)

• Table of Contents (Required)

• Executive Summary (Required)

• Narrative Proposal (25-page limit, described above)

• Curriculum Vitae of Principal Investigator(s) (Required)

• Responsibility (Required)

• Letter(s) of Support (Optional)

• Financial Breakdown (Required)

• Initial Work Plan (Required)

• Budget Justification (Separate Document, Required)

APPLICATION WITHDRAWAL

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

B. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT (SAM)

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

(SAM) registration, and Grants.gov account to apply for grants and cooperative agreements. Please consult SAM.gov and Grants.gov for assistance in registering for

SAM and Grants.gov.

The Government may not make a Federal award until the applicant has complied with all unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

The Federal Assistance Certifications Report is an attestation that the entity will abide by the requirements of the various laws and regulations; therefore, as applicable, you are still required to submit any documentation, including the SF-LLL Disclosure of

Lobbying Activities (if applicable), and informing DoD of unpaid delinquent tax liability or a felony conviction under any Federal law.

Any attachment containing additional certifications should be prefaced by the following statement: “By checking “I Agree” on the SF-424 Block 21 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, Title 218, Section 1001)”

Offerors are responsible for submitting their applications in sufficient time to allow them to reach Grants.gov by the date and time specified in this announcement. It is strongly recommended that applications be uploaded at least two days before the closing date and time. This will help avoid problems caused by high system usage or any potential technical and/or input problems involving the offeror’s own equipment.

It will also allow any application errors detected by Grants.gov to be corrected in time for the application to be resubmitted. If the application is received by Grants.gov after the exact time and date specified as the deadline for receipt, it will be considered

“late” and cannot be considered for review.

C. SUBMISSION DATE AND TIME

As noted, the Minerva application process is conducted in two stages:

• Stage 1 – White Paper submission (via email to osd.minerva@mail.mil AND the

“Appendix B: Minerva Research Topics of Interest” technical point of contact) o Deadline: 29 November 2024 at 1500 Eastern

• Stage 2 – Full Application submission (via Grants.gov) o Deadline: 28 February 2025 at 1500 Eastern

Important Dates

Last day to submit White Paper questions to

Interest Area POCs

15 November 2024

White Papers Due (via email) 29 November 2024, 1500 ET

Notification of White Paper Evaluations* 17 January 2025

Last day for Full Proposal questions to Interest

Area POCs

14 February 2025

Full Proposals Due (via Grants.gov) 28 February 2025, 1500 ET

Notification of Selection for Award* 16 April 2025

Planned Award Start Date* 1 June 2025

* Dates are estimates as of the date of this announcement.

The DoD will only accept applications submitted on or before the date specified in this NFO announcement. Read the instructions in https://www.grants.gov/web/grants/grantors/grantor-standard-language.html about registering to apply for DoD funds. If the offeror experiences difficulties with their submission, Grants.gov provides support via the toll-free number 1-800-518-4726 and email at support@grants.gov. This ticket number will allow the DoD to verify the issue if it cannot be resolved by the application date.

The application package for this NFO is available on Grants.gov. Amendments to this

NFO will be posted to the above website if and when they occur. Interested parties are encouraged to periodically check the above website for updates and amendments.

D. FUNDING RESTRICTIONS

As noted above in the Eligibility section, awards are made to universities/institutions of higher learning, who will use negotiated rates (or lower) for indirect costs.

V. APPLICATION REVIEW INFORMATION

A. CRITERIA

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

Principal Criteria

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

• Relevance and potential contributions of the proposed research to research areas of DoD interest as described in Appendix B: Minerva Research Topics of Interest.

The Minerva Research Initiative is particularly interested in applications that align with and support the 2022 National Defense Strategy.

https://www.grants.gov/web/grants/grantors/grantor-standard-language.html mailto:support@grants.gov

Other Criteria

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

• The qualifications and availability of the university Principal Investigators and other key investigators (if applicable) and the overall management approach; and

• The realism and reasonableness of cost.

The Principal Criteria are of equal importance and are more important than Other

Criteria. Other Criteria are of equal importance to each other. The U.S. Government does not guarantee an award in each research area. Further, be advised that as funds are limited, otherwise meritorious applications may not be funded.

All information necessary for the review and evaluation of an application must be contained in the application itself. No other material will be provided to the review panel. Applications should contain sufficient technical detail to allow for in-depth technical assessment.

An initial review of the applications will be conducted to ensure compliance with the requirements of this NFO. Failure to comply with the requirements of the NFO may result in an application receiving no further consideration for award.

An award under this NFO will be made on the basis of the evaluation criteria listed above.

WHS/AD reserves the right to remove Offerors from award consideration if the parties fail to reach agreement on award terms, conditions, or cost/price within a reasonable time; or if the Offerors fail to provide requested or required additional information in a timely manner.

B. REVIEW AND SELECTION PROCESS

The Minerva Research Initiative selects awards using merit-based competitive procedures according to 32 CFR 22.315. Preparation and submission requirements for the two-stage proposal process are described in Section IV of this document.

Evaluation processes are described below.

WHITE PAPERS

White papers will be reviewed by the responsible Research Area POC for the interest area and may be reviewed by one or more subject matter experts. Systems

Engineering and Technical Assistance (SETA) contractor employees may provide technical and administrative assistance to the evaluation team. Individuals other than the POC will sign a conflict-of-interest statement prior to receiving white papers.

White papers that best fulfill the evaluation criteria will be identified by the white paper reviewers and recommended to the OSD Minerva Steering Committee. The

Steering Committee is composed of representatives from the research and policy organizations within OSD and may include representatives from academia, the DoD

Military Components, and/or Defense Agencies. The Minerva Steering Committee expects to invite up to forty (40) PIs to submit full proposals. White papers not invited to submit full proposals are discouraged from doing so. Thorough feedback on white papers will be provided to those invited to submit a full proposal. Feedback will be provided to all other proposers upon request.

FULL APPLICATIONS

Full applications submitted under this NFO undergo another multi-stage evaluation procedure. Technical applications will be evaluated through a peer or scientific review process. Reviewers may include Government personnel and Non-Government reviewers including university faculty and staff researchers.

Each reviewer is required to sign a conflict-of-interest and confidentiality statement attesting that the reviewer has no known conflicts of interest, and that application and evaluation information will not be disclosed outside the evaluation panel. The names and affiliations of reviewers are not disclosed.

Cost proposals will be evaluated by Government business professionals and support contractors. Findings of the various interest area evaluators will be forwarded to senior DoD officials who will make funding recommendations to the awarding officials. Restrictive notices notwithstanding, one or more support contractors or peers from the university community will be utilized as subject- matter-expert technical consultants. However, proposal selection and award decisions are solely the responsibility of Government personnel. Each support contractor’s employees and peers from the university community having access to technical and cost proposals submitted in response to this NFO will be required to sign a non-disclosure statement prior to receipt of any proposal submission.

The recommendations of the various area POCs will be forwarded to senior officials from the OSD who will make final funding recommendations to the awarding officials based on reviews, portfolio balance interests, and funds available.

Due to the nature of the Minerva program, the reviewing officials may recommend that less than an entire Minerva proposal be selected for funding. This may be due to several reasons, such as insufficient funds, research overlap among proposals received, or potential synergies among proposals under a research interest area. In such cases, the government will discuss proposal adjustments with the applicant prior to final award.

Each application will be reviewed using merit-based selection criteria rather than against other applications submitted under this Announcement.

Offerors are advised that employees of commercial firms under contract to the government may be used to administratively process applications. By submitting an application, an offeror consents to allowing access to its application(s) by support contractors. These support contracts include nondisclosure agreements prohibiting their contractor employees from disclosing any information submitted by offerors.

In addition to the technical/program review, the DoD does a budget review and a risk review as directed by 2 CFR 200.206, including a review of the Federal Awardee

Performance and Integrity Information System (FAPIIS). Offerors may review information in FAPIIS and comment on any information entered into that system.

Comments made by offerors will be taken into account in addition to other information in considering offerors’ integrity, business ethics, and record of performance.

Note: At the time of application, there is no additional material to be submitted for this review. However, there may be additional requests for clarification as these reviews progress.

Options: The agreement allows for the exercise of options via a modification to the agreement and may allow for award and concurrent execution of the exercised option-effort alongside ongoing efforts.

Evaluation Panel: Technical details and budgets submitted under this NFO will be protected from unauthorized disclosure. The cognizant Government Program Officer and other Government subject matter experts will perform the evaluation of technical applications. Restrictive notices notwithstanding, one or more OSD covered support contractors may be utilized as subject matter experts providing technical support, but will not participate in the evaluation of proposals. Each support contractor employee that has access to technical and cost applications submitted in response to this NFO will be required to sign a nondisclosure statement prior to receipt of any application submissions.

VI. FEDERAL AWARD ADMINISTRATION INFORMATION

A. FEDERAL AWARD NOTICES

The government will notify the recipient of the award via email. The notification e-mail regarding a selection is not authorization to commit or expend DoD funds. A

DoD grants officer is the only person authorized to obligate and approve the use of

Federal funds. This authorization is in the form of a signed Notice of Award. After selection but prior to award, the government may request additional information. This may include representations and certifications, revised budgets or budget explanations, or other information as applicable to the proposed award. The award start date will be determined after successfully coordinating all pre-award requirements.

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

NP Article I. Nondiscrimination national policy requirements. (December 2014) https://www.ecfr.gov/current/title-2/part-1122/appendix-Appendix%20A%20to%20Part%201122

Section A. Cross-cutting nondiscrimination requirements. By signing this award or accepting funds under this award, you assure that you will comply with applicable provisions of the national policies prohibiting discrimination:

1. On the basis of race, color, or national origin, in Title VI of the Civil Rights Act of

1964 (42 U.S.C. 2000d et seq.), as implemented by Department of Defense (DoD) regulations at 32 CFR part 195.

2. On the basis of gender, blindness, or visual impairment, in Title IX of the

Education Amendments of 1972 (20 U.S.C. 1681 et seq.), as implemented by DoD regulations at 32 CFR part 196.

3. On the basis of age, in the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), as implemented by Department of Health and Human Services regulations at 45

CFR part 90.

4. On the basis of disability, in the Rehabilitation Act of 1973 (29 U.S.C. 794), as implemented by Department of Justice regulations at 28 CFR part 41 and DoD regulations at 32 CFR part 56.

5. On the basis of disability in the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et seq.) related to physically handicapped persons' ready access to, and use of, buildings and facilities for which Federal funds are used in design, construction, or alteration.

Section B. [Reserved]

NP Article II. Environmental national policy requirements. (December 2014)

Section A. Cross-cutting environmental requirements. You must:

1. You must comply with all applicable Federal environmental laws and regulations.

The laws and regulations identified in this section are not intended to be a complete list.

2. Comply with applicable provisions of the Clean Air Act (42 U.S.C. 7401, et seq.)

and Clean Water Act (33 U.S.C. 1251, et seq.).

3. Comply with applicable provisions of the Lead-Based Paint Poisoning Prevention

Act (42 U.S.C. 4821-4846), as implemented by the Department of Housing and

Urban Development at 24 CFR part 35. The requirements concern lead-based paint in buildings owned by the Federal Government or housing receiving Federal assistance.

4. Immediately identify to us, as the Federal awarding agency, any potential impact that you find this award may have on:

a. The quality of the “human environment”, as defined in 40 CFR 1508.14, including wetlands; and provide any help we may need to comply with the National https://www.govinfo.gov/link/uscode/42/2000d https://www.ecfr.gov/current/title-32/part-195 https://www.govinfo.gov/link/uscode/20/1681 https://www.ecfr.gov/current/title-32/part-196 https://www.govinfo.gov/link/uscode/42/6101 https://www.ecfr.gov/current/title-45/part-90 https://www.ecfr.gov/current/title-45/part-90 https://www.govinfo.gov/link/uscode/29/794 https://www.ecfr.gov/current/title-28/part-41 https://www.ecfr.gov/current/title-32/part-56 https://www.govinfo.gov/link/uscode/42/4151 https://www.ecfr.gov/current/title-2/part-1122/appendix-Appendix%20B%20to%20Part%201122 https://www.govinfo.gov/link/uscode/42/7401 https://www.govinfo.gov/link/uscode/33/1251 https://www.govinfo.gov/link/uscode/42/4821 https://www.ecfr.gov/current/title-24/part-35 https://www.ecfr.gov/current/title-40/section-1508.14

Environmental Policy Act (NEPA, at 42 U.S.C. 4321 et seq.), the regulations at 40

CFR 1500-1508, and E.O. 12114, if applicable; and assist us to prepare

Environmental Impact Statements or other environmental documentation. In such cases, you may take no action that will have an environmental impact (e.g., physical disturbance of a site such as breaking of ground) or limit the choice of reasonable alternatives to the proposed action until we provide written notification of Federal compliance with NEPA or E.O. 12114.

b. Flood-prone areas and provide any help we may need to comply with the National

Flood Insurance Act of 1968, as amended by the Flood Disaster Protection Act of

1973 (42 U.S.C. 4001 et seq.), which require flood insurance, when available, for federally assisted construction or acquisition in flood-prone areas.

c. A land or water use or natural resource of a coastal zone that is part of a federally approved State coastal zone management plan and provide any help we may need to comply with the Coastal Zone Management Act of 1972 (16 U.S.C. 1451, et seq.)

including preparation of a Federal agency Coastal Consistency Determination.

d. Coastal barriers along the Atlantic and Gulf coasts and Great Lakes' shores and provide help we may need to comply with the Coastal Barrier Resources Act (16

U.S.C. 3501 et seq.), concerning preservation of barrier resources.

e. Any existing or proposed component of the National Wild and Scenic Rivers system and provide any help we may need to comply with the Wild and Scenic Rivers

Act of 1968 (16 U.S.C. 1271 et seq.).

f. Underground sources of drinking water in areas that have an aquifer that is the sole or principal drinking water source and in wellhead protection areas, and provide any help we may need to comply with the Safe Drinking Water Act (42 U.S.C. 300f et seq.).

5. You must comply fully with the Endangered Species Act of 1973, as amended

(ESA, at 16 U.S.C. 1531 et seq.), and implementing regulations of the Departments of the Interior (50 CFR parts 10-24) and Commerce (50 CFR parts 217-227).