hdtra1-11-16-brcwmd-baa-amendment 4-final.pdf

HDTRA1-11-16-BRCWMD-BAA Page 1

DEFENSE THREAT REDUCTION AGENCY

BROAD AGENCY ANNOUNCEMENT

HDTRA1-11-16-BRCWMD-BAA

Amendment 4 (December 2014)

Research and Development Directorate

Basic and Applied Sciences Department

Basic Research for Combating

Weapons of Mass Destruction (C-WMD)

Original Posting Date: March 2011

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TABLE OF CONTENTS

SECTION NO. PAGE NO.

OVERVIEW INFORMATION

I. FUNDING OPPORTUNITY DESCRIPTION

II. AWARD INFORMATION

III. ELIGIBILITY INFORMATION

IV. APPLICATION AND SUBMISSION INFORMATION

V. APPLICATION REVIEW INFORMATION

VI. AWARD ADMINISTRATION INFORMATION

VII. AGENCY CONTACTS

VIII. OTHER INFORMATION – TOPICS

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OVERVIEW INFORMATION

1. Federal Agency Name:

Defense Threat Reduction Agency (DTRA)

Research and Development (R&D) Enterprise

Basic and Applied Sciences Directorate

8725 John J. Kingman Road

MS 6201

Fort Belvoir, VA 22060-6201

2. Funding Opportunity Title:

FY2011 – 2016 Basic Research for Combating Weapons of Mass Destruction (C-WMD) Broad

Agency Announcement (BAA)

3. Announcement Type:

The BAA, which is in effect from March 2011 through September 2016, established the multi-year process and served as the announcement for the first round of submissions (referred to as

“periods”).

Over this timeframe there will be multiple opportunities/periods to electronically submit research ideas. Each period will have a two-phased submission process. Phase I is the pre-application white paper submission and is open to all qualified entities; Phase II is an invitation-only full proposal submission resulting from Phase I pre-application white paper review as decided by the

DTRA Selection Authority.

This Amendment alerts applicants to several administrative updates to the BAA and serves as the announcement for the next round of submissions.

4. Funding Opportunity Number:

HDTRA1-11-16-BRCWMD-BAA

5. Catalog of Federal Domestic Assistance (CFDA) Number:

12.351

6. Dates:

This BAA will have multiple, consecutive opportunities/periods which are not predetermined;

however, it is anticipated that there will be at least one opportunity for each year announced in the

December timeframe; there may be additional opportunities/periods in any year. Subsequent submission opportunities/periods with corresponding topics, application packages, applicable deadlines, will be published via amendments to this BAA.

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The Phase I (pre-application white paper) and Phase II (invitation-only proposal) submission deadlines are/will be shown in Table 1 (below and in Section IV.3.3). The Tables will be updated

(by amendments to this BAA) as changes are made to the schedule.

All submissions (pre-application white papers and invited proposals) must be made in accordance with the submission instructions in this BAA through Grants.gov using the application packages provided with this BAA. Applicants are responsible for ensuring compliant and final submission of their Phase I pre-application white papers and Phase II applications. Any submission that does not conform to the requirements outlined in the BAA and in the invitation for proposal may not be reviewed or considered further at the discretion of DTRA.

Date Event

Period E

1 December 2014

Amendment to the BAA announced on Grants.gov with

Period E topics, application packages, and applicable deadlines

30 January 2015 Phase I pre-application white paper receipt deadline

11:59pm EST, Not prior to 3 April

2015, and not later than 1 May

2015 *

Phase II invitation-only proposal receipt deadline

October—December 2015 Period E Grants scheduled to be awarded

Table 1: List of important dates. (This is a condensed version of Table 5, located in Section IV.3.7.)

ADDITIONAL OVERVIEW CONTENT

This BAA is focused on soliciting basic research projects that support the DTRA mission to safeguard

America and its allies from WMD (e.g., chemical, biological, radiological, nuclear, and high-yield explosives) by providing capabilities to reduce, eliminate, and counter the threat and mitigate its effects. To this end, DTRA seeks research across broad strategic thrust areas:

Science of WMD Sensing and Recognition

Cognitive and Information Science

Science for Protection

Science to Defeat WMD

Science to Secure WMD

Detailed descriptions of these thrust areas can be found in Section I.3. The specific research opportunities (topics) for each period that align to these thrust areas are listed in Section VIII.

Research topics are only valid for the submission period in which they are posted, and only pre-application white papers responsive to the topics posted for a given submission period will be considered.

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Resulting awards from this announcement will be grants only. These grants will be paid in advance, subject to the conditions described in 2 CFR 215.22(b).

Any assistance instrument awarded under this announcement will be governed by the award terms and conditions, which conform to DoD's implementation of OMB circulars applicable to financial assistance. Terms and conditions of new awards made after December 26, 2014 may include revisions to reflect DoD implementation of new OMB guidance in 2 CFR part 200, "Uniform Administrative

Requirements, Cost Principles, and Audit Requirements for Federal Awards."

I. FUNDING OPPORTUNITY DESCRIPTION

I.1. This BAA is an extramural endeavor that combines basic research needs of DTRA and the

Joint Science and Technology Office for Chemical and Biological Defense (JSTO-CBD) to address the full spectrum of counter-WMD challenges. Both DTRA and JSTO-CBD share the mission to safeguard America and its allies from WMD and provide capabilities to reduce, eliminate, and counter the threat and effects from chemical, biological, radiological, nuclear, and high-yield explosives. Each seeks to identify, adopt, and adapt emerging and revolutionary sciences that may demonstrate high payoff potential to counter-WMD threats.

I.2. This announcement solicits pre-application white papers for long-term challenges in specific fundamental areas of basic research that offer a significant contribution to the current body of knowledge or further the understanding of phenomena and observable facts and may have impact on future capabilities that support the DTRA and JSTO-CBD missions. Responses to this BAA must address only basic research. Pre-application white paper and proposal submissions that address applied research, advanced technology development, or combine basic research with applied research and/or advanced technology development will be considered not responsive and will not be evaluated further.

Basic research is the systematic study directed toward greater knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific applications toward processes or products in mind. It includes all scientific study and experimentation directed toward increasing fundamental knowledge and understanding in those fields of the physical, engineering, environmental, and life sciences related to long-term national security needs. It is farsighted, high payoff research that provides the basis for technological programs.

In contrast to basic research, applied research is the systematic study to understand the means to meet a recognized and specific need. It is a systematic expansion and application of knowledge to develop useful materials, devices, and systems or methods. The boundary between basic research and applied research occurs at the point when sufficient knowledge exists to support a hypothesis involving a specific application.

1 DoDI 3210.1, September 16, 2005

2 DoD Financial Management Regulation Volume 2B, Chapter 5

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I.3. DTRA seeks unclassified basic research across five major functional counter-WMD research thrust areas. Specific research topics that align to one or more thrust areas are presented in

Section VIII. The five thrust area descriptions are outlined below.

Thrust Area 1—Science of WMD Sensing and Recognition: The basic science of WMD sensing and recognition is the fundamental understanding of materials that demonstrate measurable changes when stimulated by energy, molecules, or particles from WMD in the environment. This research thrust involves exploration and exploitation of interactions between materials and various electromagnetic frequencies, molecules, nuclear radiation or particles. These interactions and the specific form of recognition they provide are used for subsequent generation of information that provides knowledge of the presence, identity, and/or quantity of material or energy in the environment that may be significant.

Thrust Area 2—Network Sciences: The basic science of network science is the convergence of computer, information, mathematical, networks, natural, and social science. This research thrust expands our understanding of social networks and advances knowledge of adversarial intent with respect to the acquisition, proliferation, and potential use of WMD. The methods may include analytical, computational or numerical, or experimental means to integrate knowledge across disciplines and improve rapid processing of intelligence and dissemination of information.

Thrust Area 3—Science for Protection: Basic science for protection involves advancing knowledge to protect life and life-sustaining resources and networks. Protection includes threat containment, decontamination, threat filtering, and shielding of systems. The concept is generalized to include fundamental investigations that reduce consequences of WMD, assist in the restoration of life-sustaining functions, and support forensic science.

Thrust Area 4—Science to Defeat WMD: Basic science to defeat WMD involves furthering the understanding of explosives, their detonation, and problems associated with accessing target

WMDs. This research thrust includes the creation of new energetic materials or physical approaches that enhance the defeat of WMDs by orders of magnitude, the improvement of modeling and simulation of these materials and various phenomena that affect success and estimate the impact (lethality) of defeat actions, including the assessment of event characteristics using various dynamic analytical methods.

Thrust Area 5—Science to Secure WMD: Basic science to support securing WMD includes: (a) environmentally responsible innovative processes to neutralize chemical, biological, radiological, nuclear, or explosive (CBRNE) materials and components;

(b) discovery of revolutionary means to secure components and weapons; and (c) studies of scientific principles that lead to novel physical or other tags and methods to monitor compliance and disrupt proliferation pathways. The identification of basic phenomena that provide verifiable controls on materials and systems also helps arms control.

I.4. DTRA seeks unclassified basic research ideas that are responsive to the goals and objectives of the topics outlined in Section VIII. The topics labeled “PerE” are only valid for Period E of this BAA. Only pre-application white papers responsive to the topics posted for Period E and submitted by the Period E deadline will be considered. A new list of topics will be posted for subsequent periods with corresponding pre-application white paper due dates. Note that topics from the original solicitation and Amendments 1, 2, and 3, labeled “PerA”, “PerB”, “PerC”, and “PerD” are

NOT valid topics for “PerE”. Pre-application white papers that address “PerA”, “PerB”, “PerC”, and

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“PerD” topics will not be reviewed by DTRA.

II. AWARD INFORMATION

II.1. Resulting awards from this BAA will be grants only. These grants will be paid in advance, subject to the conditions described in 2 CFR 215.22(b).

II.2. The period of performance (POP) for the Single Scope Awards, the Multidisciplinary

Awards, and the Young Investigator Awards (all types of awards are detailed in Section II.6) may be up to five (5) years. Awards may be for a base period of one (1) year with up to four (4) additional years as possible options, a base period of two (2) years with up to three (3) additional years as possible options, or a base period of three (3) years with up to two (2) additional years as possible options. The base period and option combination(s) will be specifically detailed in each and every topic. Pre-application white papers and proposals that outline scope and effort for only the base period and do not propose options are also acceptable. Additional guidance on the POP may be provided with the topic description or in the letter of invitation for the full proposal. Each of these supersedes the guidance provided here.

II.3. The POP for the Seed Awards will be for one (1) year or less. Seed Awards may not include option years.

II.4. The final number of grants and the amount of funds allocated for each period will be determined after all pre-application white papers and invited proposals are received and evaluated. On average DTRA expects to award 50-75 grants annually for a total grant value of approximately $66M.

Any assistance instrument awarded under this announcement will be governed by the award terms and conditions, which conform to DoD's implementation of OMB circulars applicable to financial assistance. Terms and conditions of new awards made after December 26, 2014 may include revisions to reflect DoD implementation of new OMB guidance in 2 CFR part 200, "Uniform Administrative

Requirements, Cost Principles, and Audit Requirements for Federal Awards."

II.5. The Government actions under this BAA shall adhere to the requirements of the

Department of Defense (DoD) Grant and Agreement Regulations (DoDGARs). DoDGARs can be accessed online at http://www.dtic.mil/whs/directives/corres/html/321006r.htm. See also 32 Code of

Federal Regulations (CFR) 22, which can be accessed online at http://ecfr.gpoaccess.gov/.

II.6. There are four (4) categories of awards, which are detailed below. The applicant does not need to specify the type of award sought. It will be inferred by the dollar amount requested and/or the topic to which the pre-application white paper is submitted.

1. Single Scope Awards: Research projects that focus on exploratory aspects of a unique problem, a high-risk approach, or innovative research in subjects with potential for high impact to C-WMD science. Research must support undergraduate, and/or graduate students, and/or postgraduate students.

http://www.dtic.mil/whs/directives/corres/html/321006r.htm http://ecfr.gpoaccess.gov/

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Single Scope Awards may have Co-Principal Investigators (Co-PIs) and subawards (grants and/or contracts). Single Scope Awards will be made by a single grant to the lead organization.

Subawards, including all grants and contracts, are the responsibility of the award recipient;

exceptions will not be made.

Single Scope Awards will average $150K per year for DTRA sponsored topics and $250K per year for JSTO-CBD Program sponsored topics. Additional guidance for the average dollar value may be provided in the topic description or in the letter of invitation for the full proposal. Each of these supersedes the guidance provided here.

The predominance of awards will be Single Scope Awards.

2. Multidisciplinary Awards: Research projects that involve a comprehensive program of innovative research in an interdisciplinary area with potential for high impact. The proposed research must involve fundamental contributions in research by multiple investigators from diverse disciplines

(proposal must be multidisciplinary). Investigators may be from a single institution or multiple institutions. Research must support multiple undergraduate, and/or graduate students, and/or postgraduate students.

Authors of these pre-application white papers and invited proposals must take great care to clearly outline the impact to C-WMD science that is to be gained from the higher dollar amount investment and justify the scientific contribution from each investigator.

Proposals submitted under this category must have a single lead organization and single submission for the pre-application white paper and the invited proposal. Multidisciplinary Awards will be made by a single grant to the lead institution. Subawards, including all grants and/or contracts, are the responsibility of the award recipient; exceptions will not be made.

Multidisciplinary Awards will average $350K per year for DTRA sponsored topics and $500K per year for JSTO-CBD Program sponsored topics. Additional guidance for the average dollar value may be provided in the topic description or in the letter of invitation for the full proposal. Each of these supersedes the guidance provided here.

3. Young Investigator Awards: Research projects that focus on exploratory aspects of a unique problem, a high-risk approach, or innovative research in subjects with potential for high impact to

C-WMD science from individuals currently employed by a U.S. accredited degree-granting college or university who received a Ph.D. or equivalent degree within five (5) years of the date of the pre-application white paper submission.

Young Investigator Awards may have subawards; however, subawards that transfer substantive programmatic activity will be considered non-responsive to the Young Investigator topics. Young

Investigator Awards will be made by a single grant to the lead organization. Subawards, including all grants and/or contracts, are the responsibility of the award recipient; exceptions will not be made.

Young Investigator Awards will average $100K per year.

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4. Seed Awards: Research projects that focus on the exploratory aspects of a research hypothesis or on the development of a high-risk approach with potential for high impact to C-WMD science.

Seed Awards may have Co-PIs and subawards. Seed Awards will be made by a single grant to the lead organization. Subawards, including all grants and/or contracts, are the responsibility of award recipient; exceptions will not be made.

Seed awards will be less than $75K.

II.7. Funding for participation in this program is highly competitive and the cost of proposed research should strictly be maintained in the award amounts outlined for each award type and for each topic. Under no circumstances will awards exceed 10% of the averages as outlined for each award type and for each topic. Exceptions will not be made.

II.8. Subawards (grants and/or contracts) are permitted. Subawards may be used to carry out a portion of the research. In instances where the lead applicant is an accredited degree-granting college and/or university, applicants should note that substantive programmatic activity must be maintained at accredited degree-granting colleges and universities. DTRA will review and consider the proposed subawards for all pre-application white papers and proposals on a case-by-case basis.

II.9. Applications for renewal or supplementation of existing DTRA funded projects are not eligible to compete with applications for new awards.

II.10. The Government will not provide any hardware or software to execute the proposed research. Exceptions will not be made.

II.11. The Government reserves the right to fund all, some, or none of the proposals submitted;

may elect to fund only part of any or all proposals; and may incrementally or fully fund any or all awards under this BAA. All awards are subject to the availability of funds.

III. ELIGIBILITY INFORMATION

III.1. Pre-application white papers and proposals submitted for this BAA will be considered from the following U.S. and foreign-based equivalents:

Accredited degree-granting colleges and universities.

Industrial/commercial basic research centers, including small businesses with a portfolio predominantly in basic research proposing a project with significant participation (minimum 30% of total effort value on the proposed project) by one or more accredited degree-granting colleges and/or universities. Note: Not eligible for Young Investigator Awards.

Not-for-profit organizations/basic research centers with a portfolio predominantly in basic research proposing a project with significant participation (minimum 30% of total effort value on the proposed project) by one or more accredited degree-granting colleges and/or universities. Proof of

501(c)(3) status from the Internal Revenue Service may be required. For foreign-based

HDTRA1-11-16-BRCWMD-BAA Page 10 establishments entirely based outside the U.S. and/or its territories, proof of not-for-profit status may be required. Note: Not eligible for Young Investigator Awards.

III.2. The following entities may not participate as prime grantees for awards made under this

BAA, but may act as collaborators, including as Co-PIs, and/or subawardees:

Federal laboratories (including DoD and Department of Energy (DOE) laboratories), Federal academic institutions, Federal agencies, and Federal organizations.

DoD-sponsored Federally Funded Research and Development Centers (FFRDCs) specified in the

Defense Federal Acquisition Regulation Supplement (DFARS) 235.017-1:

http://farsite.hill.af.mil/VFDFARA.HTM and click on ‘DFARS Part 35’.

DOE-sponsored FFRDCs

Foreign government-owned institutions.

Industrial/commercial firms other than those outlined in Section III.1.

Note: DoD degree-granting academic institutions that are Federal government organizations, e.g.

United States Military Academy at West Point, The Air Force Institute of Technology, etc., are eligible to submit pre-application white papers and proposals in response to the intramural Service Call issued by the DTRA Basic Research and Applied Sciences Directorate, see http://www.dtrasubmission.net and after logging in, follow the link to the ‘FY11-16 Basic Research for Combating Weapons of Mass

Destruction (WMD) Service Call for DoD Degree-Granting Academic Institutions’. Please note that the Service Call link will also contain the submission periods. Eligibility requirements under the

Service Call are subject to change.

III.3. Cost sharing and/or matching is not required.

III.4. Other.

III.4.1. DTRA uses the Excluded Parties List System (EPLS) to exclude recipients ineligible to receive Federal awards. EPLS can be accessed online at http://epls.arnet.gov (Reference 2 CFR 1125).

III.4.2. There is no limit on the number of pre-application white papers and invited proposals that an applicant (PI/Co-PIs) may submit in response to this BAA.

Applicants (PI/Co-PIs) may submit pre-application white papers and invited proposals to one or more topics.

Applicants (PI/Co-PIs) may submit pre-application white papers and invited proposals to one or more periods under this BAA, regardless of a previous submission’s disposition.

3 DOE-sponsored laboratories must obtain authorization from the DOE sponsor. DTRA does not require documentation of this authorization.

4 DOE-sponsored FFRDCs must obtain authorization from the DOE sponsor. DTRA does not require documentation of this authorization.

http://farsite.hill.af.mil/VFDFARA.HTM http://www.dtrasubmission.net/ http://epls.arnet.gov/

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Applicants (PI/Co-PIs) are strongly encouraged to minimize overlap in scope and level of effort if multiple projects are submitted for pre-application white papers and invited proposals. Further, individual PIs and Co-PIs are discouraged from repackaging research and submitting multiple redundant Phase I submissions in any given period of this BAA.

IV. APPLICATION AND SUBMISSION INFORMATION

IV.1. Address to Request Application Package. This announcement contains all information required to submit a pre-application white paper and invited proposal. For convenience, Microsoft

(MS) Word and MS PowerPoint templates for Phase II proposal submissions are provided on the www.dtrasubmission.net/portal for applicant use, as noted in the text of this announcement.

Applicants are encouraged to use the templates for preparing submissions; however, use of the templates is not required. Note: There is not a template available for the pre-application white paper.

IV.1.1. The required application packages for the pre-application white papers are provided with this announcement. Note that each topic outlined in Section VIII has a unique application package posted with this BAA. The application package corresponding to the topic of interest should be used for submission of pre-application white papers.

IV.1.2. The required application packages for the invited proposals will be posted at a later date.

As with the Phase I submissions, each topic outlined in Section VIII will have a unique application package. The application package corresponding to the topic of interest should be used for submission of invited proposals. Application packages for Phase II submissions will be posted following the notification of invitation for proposals.

IV.1.3. Example application packages for both pre-application white papers and invited proposals are included with this posting. These example packages are for demonstration purposes only and should not be used to submit applications pursuant to this BAA. These packages are clearly noted with the Competition ID of “Example” and the Competition Title of “Phase I Example Pre-Application

White Paper” and “Phase II Example Application,” respectively.

IV.1.4. While the review of all submissions is at the discretion of DTRA, in general, DTRA will not consider the following:

Pre-application white papers that attempt to address multiple topics.

Pre-application white papers that are submitted to topics from previous periods.

Application packages and proposals for Phase II submissions that were not invited.

IV.1.5. The application packages posted to www.Grants.gov consist of the forms detailed in Table

2, which must be completed as part of the submission process. Additional files are required to be uploaded as attachments. Refer to Section IV.2.3 for more information on Phase I requirements and

Section IV.2.4 for more information on Phase II requirements:

http://www.dtrasubmission.net/portal http://www.grants.gov/

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Form Name Phase I Pre-Application

White Paper

Phase II Invited

Proposal

SF-424 (R&R) Application for Federal Assistance

Form Required Required

RR Budget Form N/A Required

R&R Subaward Budget Attachment(s) Form(s) N/A If Applicable

Research & Related Senior/Key Person Profile

Form N/A Required

Research & Related Other Project Information

Form N/A Required

Disclosure of Lobbying Activities (SF-LLL) N/A If Applicable

Attachments Form N/A Required

Table 2: Forms. The instructions for completing each of these forms may be found online at the following web link:

http://www07.grants.gov/agencies/forms_instruction_information.jsp.

IV.2. Content and Form of Application Submission. Each period of this BAA will be conducted in two phases. Phase I is for receipt of pre-application white papers. Phase II is for receipt of invited proposal applications. Invitation to the Phase II, invited proposal submission, will be based on the evaluation results of the Phase I pre-application white paper. Pre-application white papers and invited proposals must be submitted electronically using Grants.gov and the corresponding application packages provided with this BAA on Grants.gov.

Applicants are responsible for ensuring compliant and final submission of their Phase I pre-application white paper and Phase II invited proposal application. Note that this also applies to applicants using third party systems to submit application packages and attachments. Any submission that does not conform to the requirements outlined in the BAA and in the invitation for proposal may not be reviewed or considered further at the discretion of DTRA.

IV.2.1. Phase I Pre-Application White Paper Submission and Content.

Each pre-application white paper must address only one of the research topics detailed in Section VIII for the relevant period. Each pre-application white paper must use the application package for the specific topic number as presented in Section VIII of this BAA.

Each Phase I application package contains the following form (Note: all other BAA guidelines must also be met to be considered a true complete package):

Form Attachment Action

SF-424 (R&R) Application for Federal Assistance

Form

Up to four (4) page white paper.

Enter the appropriate information in data fields Table 3: Phase I Pre-Application White Paper Package Chart.

http://www07.grants.gov/agencies/forms_instruction_information.jsp

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DTRA-specific instructions for completing the SF 424 (R&R) Application for Federal Assistance are below, general application instructions can be found on Grants.gov:

Block 1 – Type of Submission. Applicants should indicate the Phase I submission is a “Pre-

Application.”

Block 2.1 – Applicant Identifier. Not applicable.

Block 3 – Date Received by State. Not applicable.

Block 3.1 – State Application Identifier. Not applicable.

Block 5 – Applicant Information. You must provide a Business Office Point of Contact (BPOC) with an e-mail address.

Block 19 – Authorized Representative. The “signature of AOR” is not an actual signature and is automatically completed upon submission of the electronic application package. Hard copies or email attachments of applications will not be accepted.

Block 20 – Pre-application. To be considered a complete package, an up to four (4) page white paper is required to be uploaded as an attachment to the SF 424 (R&R). The white paper itself should provide sufficient information on the research being proposed (e.g., the hypothesis, theories, concepts, approaches, data measurements, and analysis, etc.) to allow for an assessment by a technical expert.

Any pages submitted for the white paper that exceed the limit of four pages will not be read or evaluated. A page is defined as 8 1/2 x 11 inches, single-spaced, with one-inch margins in type not smaller than 12 point Times New Roman font. The white paper must be provided in portrait layout.

At minimum, the white paper should address the following:

A project abstract, which should be concise (less than 250 words), provide a summary of the proposed work, and demonstrate relevance to the topic being addressed. The abstract should not contain any proprietary data or markings.

Potential scientific impact to provide greater knowledge or understanding of the fundamental aspects of phenomena and of observable facts, including how the research contributes to the C-

WMD science needs outlined in the topic.

The impact of the research on C-WMD science must be clearly delineated.

Cost estimate by year and total dollars required to accomplish the research as presented in the white paper (no details or breakout of costs is required).

Potential team and management plan, including details on student involvement.

Multidisciplinary white papers should carefully detail each of the institutions/departments involved and the contribution that will be made by each of the investigators.

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Do NOT include corporate or personnel qualifications, past experience, or any supplemental information with the white paper. References may be included within the 4-page limit at the discretion of the applicant; however, extensive references are not required.

The topic number and name should be included as a header on the white paper and in the text of the white paper.

IV.2.2. Phase II - Invited Proposal Submission and Content.

Each invited proposal must address the research topic for the corresponding Period that was the subject of the corresponding pre-application white paper, as detailed in Section VIII. Each invited proposal must use the application package for the specific topic number as presented in Section VIII of this

BAA.

Each Phase II application package contains the following forms (Note: all other BAA guidelines must also be met to be considered a true complete package):

Form Attachment Action

SF-424 (R&R) Application for

Federal Assistance Form

Enter the appropriate information in data fields

RR Budget Form Budget Justification for entire performance period

Attach to Section K in budget period one

R&R Subaward Budget

Attachment(s) Form (if applicable)

Individual subaward budgets

Attach a separate budget with justification for each subaward

Research & Related Senior/Key

Person Profile Form

PI Biographical Sketch Attach to Biographical Sketch field

PI Current/Pending

Support

Attach to Current & Pending

Support field

Key Personnel

Biographical Sketches

Attach to Biographical Sketch field for each senior/key person

Key Personnel

Current/Pending Support

Attach to Current & Pending

Support field for each senior/key person

Research & Related Other

Project Information Form

Proposal Summary/

Abstract

Attach to Block 7

Project Summary/ Abstract

Technical Proposal Attach to Block 8

Project Narrative

Disclosure of Lobbying

Activities (SF-LLL)

N/A N/A

Attachments Form Attachment 1 – SOW Upload as Attachment 1

Attachment 2 – Quad

Chart

Upload as Attachment 2

Table 4: Phase II Proposal Package Chart.

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SF 424 (R&R) Application for Federal Assistance. DTRA-specific instructions for completing the SF

424 (R&R) are below, general application instructions can be found on Grants.gov:

Block 1 – Type of Submission. Applicants should indicate the Phase II submission is an

“Application.”

Block 2.1 – Applicant Identifier. Not applicable.

Block 3 – Date Received by State. Not applicable.

Block 3.1 – State Application Identifier. Not applicable.

Block 4b – Agency Routing Identifier. Enter the corresponding Phase I Grant ID.

Block 5 – Applicant Information. You must provide a Business Office Point of Contact (BPOC) with an e-mail address.

Block 19 – Authorized Representative. The “signature of AOR” is not an actual signature and is automatically completed upon submission of the electronic application package. Hard copies or email attachments of applications will not be accepted.

RR Budget Form. The Research and Related Budget Form provided as part of the application package for the Phase II submission should be filled out in entirety for each project year proposed. Applicants are responsible for ensuring appropriate, approved rates are used in their budget forms. When notified of selection, applicants will be requested to provide their current rate agreement and the rate agreement of their subcontractor(s), if applicable. Applicants should note that in accordance with 32 CFR

22.205(b), grants shall not provide for the payment of fee or profit to the recipient.

Applicants should plan and budget for travel to accommodate the two meetings outlined below:

National Conferences/Workshops/Symposia: Applicants are strongly encouraged to attend a nationally recognized conference, workshop, or symposium in the field of research each calendar year (1 at minimum). Research should be presented as soon as adequate data are available to support posters and presentations. Conferences/workshops/symposia should be attended by the PI and students supporting the research, as appropriate.

Annual Technical Review: Applicants should plan to attend an annual technical program review meeting. For planning purposes the review will be for five days and will be held in Northern

Virginia. DTRA encourages graduate students to attend the Annual Technical Review.

Budget Justification. Applicants are required to submit a budget justification. The budget justification should be prepared as outlined in the instructions for the Research and Related Budget and uploaded as an attachment to Section K “Budget Justification” of the Research and Related Budget

Form. The budget justification does not have a page limit, but should include sufficiently detailed information for meaningful evaluation. In addition, the budget justification must specifically address subaward costs and type to include the portion of work to be subawarded with a supporting rationale.

The budget justification must include a statement discussing how the subawardee(s) was determined to

HDTRA1-11-16-BRCWMD-BAA Page 16 be fair and reasonable.

R&R Subaward Budget Attachment(s) Form (if applicable). Detailed cost estimates and budget justifications are required for each proposed subaward. The cost estimate for the subawards should include sufficiently detailed information for meaningful evaluation, including labor rates and indirect cost rates.

Research and Related Senior/Key Person Profile Form. The Research and Related Senior/Key

Person Profile Form should be completed in its entirety for each of the PIs and Co-PIs on the project.

The inclusion of additional personnel is at the discretion of the PI. A biographical sketch is required for each PI and Co-PI on the project. DTRA does not have a preference for the format of the biographical sketch; however, it should be limited to 1 page per person. The biographical sketch should be uploaded as an attachment to the corresponding field on the Research and Related

Senior/Key Person Profile Form.

Additionally, a statement of current and pending support must be provided for each PI and Co-PI on the project. This statement should include a summary of the current and pending support of related work and requires all grants and contracts through which each PI and Co-PI is currently receiving or may potentially receive financial support to be disclosed.

Research and Related Other Project Information Form.

Block 7 – Project Summary/Abstract. The uploaded project abstract should be concise (less than

250 words) and provide a summary of the proposed work and demonstrate relevance to the topic being addressed. The abstract should not contain any proprietary data or markings.

Block 8 – Project Narrative. The uploaded technical proposal must not exceed 20 pages (including references). If the proposal exceeds 20 pages, only the first 20 pages will be reviewed. A page is defined as 8 ½ x 11 inches, single-spaced, with one-inch margins in type not smaller than 12 point

Times New Roman font. The technical proposal must be provided in portrait layout. A template for the technical proposal format may be found online at www.dtrasubmission.net/portal (MS

Word format).

The technical proposal must include the following components:

Abstract.

Scope.

Objective. A clear and concise objective of the proposed project.

Background. Provide the necessary technical and scientific background to support the scientific and/or technical merit of the proposed project.

Programmatics. Describe your organization’s management plan for the proposed project; list supporting and collaborating centers, and the roles/responsibilities of each identified academic and/or industrial subcontractor supporting the project. Authors of multidisciplinary proposals must take great care to clearly outline the impact to C-WMD science that is to be gained from the higher

HDTRA1-11-16-BRCWMD-BAA Page 17 dollar amount investment and justify the scientific contribution from each investigator.

Relevance. Describe the relevance of the proposed project in terms of advancing the state of the science and the anticipated scientific impact on capabilities to potentially reduce, eliminate, counter, provide greater knowledge or understanding of the threat, and mitigate the effects of

WMD fundamental aspects of phenomena and of observable facts.

Credentials. Describe the PI’s qualifications and the organization’s qualifications to perform the proposed work. Summarize the credentials of the primary performing center, and supporting academic and industrial partners to perform the work. Describe specific examples of equipment and/or facilities available to perform the proposed work. Focus on information directly relevant to the proposed work.

Work to be Performed. Provide details of the work to be performed by task and subtask. Tasks must be grouped by project year.

Performance Schedule. Provide a table of tasks and subtasks and the duration of performance of each in a Gantt or other suitably formatted chart.

References. List any relevant documents referenced.

Disclosure of Lobbying Activities (SF-LLL) Form. The Disclosure of Lobbying Activities Standard

Form-LLL, if applicable, should be completed.

Attachments Form.

Attachment 1 – SOW. The SOW does not have a page limit, but should be approximately 3-5 pages in length and appropriate for incorporation into the grant document. The SOW should not contain any proprietary data or markings. Pages should be numbered and the initial page should have a date (document date) shown under the title (the title of the SOW should match that of the proposal). The SOW must be provided in portrait layout. A template for the SOW format may be found online at https://www.dtrasubmission.net/portal/Forms.aspx (MS Word format).

The proposed SOW must accurately describe the research to be performed. The proposed SOW must also contain a summary description of the technical methodology as well as the task description, but not in so much detail as to make the SOW inflexible. The SOW format/guidance is as follows:

Objective: Brief overview of the specialty area. Describe why the research is being pursued and what knowledge is being sought.

Scope: Include a statement of what the SOW covers including the research area to be investigated, objectives/goals, and major milestones and schedule for the effort.

Background: The applicant must identify appropriate documents, including publications that are applicable to the research to be performed. This section includes any information, explanations, or constraints that are necessary in order to understand the hypothesis and

HDTRA1-11-16-BRCWMD-BAA Page 18 scientific impact on capabilities needed to reduce, eliminate, and counter the threat, and also mitigate the effects of WMD. It may also include previously performed relevant research and preliminary data.

Tasks/Scientific Goals: This section contains the detailed description of tasks which represent the research to be performed that are contractually binding. Thus, this portion of the SOW should be developed in an orderly progression and presented in sufficient detail to establish the methodology and feasibility of accomplishing the overall program goals. The work effort should be segregated by performance period for all tasks to be performed and anticipated milestones realized in that year (e.g., Year 1, Year 2, etc., should be detailed separately).

Identify the major tasks in separately numbered sub-paragraphs. Each major task should delineate, by subtask, the research to be performed by year and number each task using the decimal system (e.g., 4.1, 4.1.1, 4.1.1.1, 4.2, etc.). The sequence of performance of tasks and achievement of milestones must be presented by project year and task in the same sequence as in the Technical Proposal. The SOW must contain every task to be accomplished to include a detailed schedule.

The tasks must be definite, realistic, and clearly stated. Use “the grantee shall” whenever the work statement expresses a provision that is binding. Use “should” or “may” whenever it is necessary to express a declaration of purpose. Use active voice in describing work to be performed. Do not use acronyms or abbreviations without spelling out acronyms and abbreviations at the first use; place the abbreviation in parentheses immediately following a spelled-out phrase. If presentations/meetings are identified in your schedule, include the following statement in your SOW: “Conduct presentations/meetings at times and places specified in the grant schedule.”

Attachment 2 – Quad Chart. The quad chart must be presented on one (1) page. The quad chart must not contain any proprietary data or markings. The quad chart must be provided in landscape layout. A template for the quad chart format may be found online at https://www.dtrasubmission.net/portal/Forms.aspx (MS PowerPoint format). A pictorial representation of the quad chart is provided herein and includes the relevant fields that must be included in the Phase II proposal submission. The inclusion of the DTRA logo is not required.

The quad chart should be uploaded as “Attachment 2” of the Attachments Form.

HDTRA1-11-16-BRCWMD-BAA Page 19

Figure 1: Sample Quad Chart.

IV.2.3. File Format.

Documents should be uploaded as a Portable Document File (PDF) format. Perform a virus check before uploading any files to www.grants.gov as part of your application package. If a virus is detected, it may cause rejection of the file.

Do not lock or encrypt any files you upload to www.grants.gov as part of your application package.

Movie and sound file attachments will not be accepted.

IV.2.4. All submissions must be UNCLASSIFIED.

IV.3. Submission Dates and Times.

Phase I pre-application white papers will be accepted based on periods as outlined in Table 5. A Phase

II “receipt window” of 4 to 6 weeks will be provided in Table 5, however, the specific due dates for the

Phase II invited proposal submissions will be provided in the letters of invitation. (The window is strictly for informational purposes only, to provide ‘not prior to’ and ‘not later than’ dates.) After the deadline date provided for a given period, the application packages will no longer be available for download from Grants.gov. Most importantly, applications received after these deadlines will only be reviewed under extremely limited circumstances, at the discretion of DTRA.

When sending electronic files, the applicant should allow for potential delays in file transfer from the originator’s computer server to the Grants.gov website/computer server, as well as the delay associated with the Grants.gov validation of applications, which may be up to 48 hours. Applicants are

HDTRA1-11-16-BRCWMD-BAA Page 20 encouraged to submit their proposals early to avoid issues with file transfers, rejection of applications by Grants.gov, and delays due to high demand encountered as the submission deadline approaches.

Applicants are responsible for submitting fully compliant pre-application white papers and invited proposals so as to be received by Grants.gov no later than the time and dates listed in Table 5 and the letter of invitation for proposals, respectively.

Acceptable evidence to establish the time of receipt at the Government office includes documentary and electronic evidence of receipt maintained by DTRA. Applicants should also print, and maintain for their records, the electronic receipt following submission of a proposal to Grants.gov.

Please note 15 U.S.C. 260a establishes daylight saving time as the standard time during the daylight saving period.

Additional timeline details are available to all applicants at the DTRA Basic and Fundamental

Research Community Portal (www.dtrasubmission.net/portal), e.g., estimated notification date for proposal invitations. Applicants are responsible for checking www.dtrasubmission.net/portal for changes and updates to the schedule.

Additional opportunities for pre-application white paper submissions with applicable topics, due dates, and application packages will be posted as amendments to this BAA. Schedules of future amendments, topic information, and due dates will not be provided and questions requesting information relevant to future amendments, schedules, and/or topics will not be answered in advance of an amendment.

Date Event

1 March 2011 BAA announced on Grants.gov

Period A, Period B, Period C, and Period D are CLOSED

Period D Grants are scheduled to be awarded October-December 2014

Period E

1 December 2014

Amendment to the BAA announced on Grants.gov with

Period E topics, application packages, and applicable deadlines

30 January 2015 Phase I pre-application white paper receipt deadline

11:59pm EST, Not prior to 3 April

2015, and not later than 1 May

2015 *

Phase II invitation-only proposal receipt deadline

October—December 2015 Period E Grants scheduled to be awarded

Period F

TBD

Amendment to the BAA announced on Grants.gov with

Period F topics, application packages, and applicable

HDTRA1-11-16-BRCWMD-BAA Page 21 deadlines

TBD Phase I pre-application white paper receipt deadline

TBD Phase II invitation-only proposal receipt deadline

TBD Period F Grants scheduled to be awarded

Period G

Period H

Period I

Period ‘n’

Table 5: List of important dates. (This is an expanded version of Table 1, located in the Overview Information.)

If the application package and required attachments are submitted to Grants.gov after the exact time and date specified in this BAA for the pre-application white paper (Phase I) and/or the letter of invitation for the invited proposal (Phase II), the application is "late". Applications that are “late” will only be reviewed under extremely limited circumstances, at the discretion of DTRA.

If an emergency or unanticipated event interrupts normal Government processes so that proposals cannot be submitted to Grants.gov by the exact time specified in this BAA for the pre-application white paper and/or the letter of invitation for the invited proposal, and urgent Government requirements preclude amendment of the BAA closing date, the time specified for receipt of applications will be deemed to be extended to the same time of day specified in the BAA on the first work day on which normal Government processes resume.

IV.4. Intergovernmental Review. Not Applicable.

IV.5. Funding Restrictions. Indirect costs may be restricted to less than 35% of the total grant value regardless of previously negotiated rates with the cognizant agency. The 2008 DoD

Appropriations Act (Public Law 110-116, Section 8115), 2009 DoD Appropriations Act (Public Law

110-329, Section 8109), and the 2010 DoD Appropriations Act (Public Law 111-118, Section 8101) applied this restriction to awards made using fiscal year 2008, 2009, and 2010 Basic Research funds.

This restriction does not apply to awards made using fiscal year 2011 and later Basic Research funds, but it may apply to future awards.

IV.6. Other Submission Requirements.

IV.6.1. Phase I and Phase II applications must be made through www.grants.gov using the application package specific to the period/phase/topic of interest.