N00014-19-S-F003 Amendment 0001.pdf

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ONR FOA Announcement #N00014-19-S-F003 Amendment 0001

FY19 Funding Opportunity Announcement (FOA) for the Office of Naval Research (ONR) Navy and Marine Corps Science, Technology, Engineering &

Mathematics (STEM), Education and Workforce Program

The purpose of this amendment is to change the start date for receiving White Papers to 1 February 2019 (Friday). This amendment hereby replaces all previous postings of N00014-19-S-F003.

Deadlines

White Paper Inquiries and Questions 17 June 2019 (Monday)

White Papers must be received between

1 February 2019 (Friday) with a deadline of 28 June 2019 (Friday) at 5:00 PM Eastern Time

Application Inquiries and Questions

16 September 2019 (Monday)

Applications must be received no later than 27 September 2019 (Friday) at 11:59 PM Eastern Time

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Table of Contents

I. INTRODUCTION………………….……………………………………………………………………………………

A. OVERVIEW.……………………………………………………………………………………………………………

1. Federal Awarding Agency Name ………………………………….…………………………………..

2. Funding Opportunity Title……………………….……………………………………………..………… 4

3. Announcement Type …………………………………….…..…….……………………………………… 4

4. Funding Opportunity Number …………………….…………………………………………......….. 4

5. Catalog of Federal Domestic Assistance (CFDA) Numbers ………………………….……

6. Key Dates ……………….……………………………………………..………………………………..……….

II. DETAILED INFORMATION ABOUT THE RESEARCH OPPORTUNITY.……………………………..

A. PROGRAM DESCRIPTION …………………………………………………………………………………

B. FEDERAL AWARD INFORMATION…………………………………………………………..…………

1. Funding Amount and Period of Performance ……………………….………………….……… 7

2. Peer Reviews ….…………………………..………………………………

C. ELIGIBILITY INFORMATION ………………………………………

D. APPLICATION AND SUBMISSION INFORMATION ………………………

1. Application and Submission Process ……………………………………….……………………

2. Content and Format of White Papers/Applications ..….…………………………….….….. 9

3. Grants.gov Application Submission and Receipt Procedures …………….………

4. Significant Dates and Times ….………………………………………..……………..…………..…...

E. APPLICATION REVIEW INFORMATION……………………….………………….…………….….……. 23

1. Evaluation Criteria ……………………………………………………………………………………....……

2. Review and Selection Process ……………………………………………………………..……...….…

3. Options………………………………………………………..……………………………………………..…..…

4. Evaluation Panel ………………………………………………………..………………………………..….…

5. General Information Regarding the Review and Selection Process ………..……….…

F. FEDERAL AWARD ADMINISTRATION INFORMATION…………………….……………….….…..

1. Unique Entity Identifier and System for Award Management (SAM) …………..….…

2. Federal Award Notices………………………………………………………….………………………...….

3. Reporting……………………………………………………………………………………………….…..………

G. FEDERAL AWARDING AGENCY CONTACTS …………..……….…

H. OTHER INFORMATION ……………………………………………………….…

1. Federal Funding Accountability and Transparency Act of 2006 ………………………….

2. Certification regarding Restrictions on Lobbying…………………………….…………….……

3. Representation Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction Under any Federal Law – DoD Appropriations………………….………….………

4. Representation Regarding the Prohibition on Using Funds with Entities that Require Certain Internal Confidentiality Agreements ……………………..……….………

5. Code of Conduct……………………………………………………………..……………………………..…..

6. Requirements Concerning Live Organisms……………………………………………….…...…..

7. Institutional Dual Use Research of Concern…………………………………………………...….

8. Department of Defense High Performance Computing Program………………..…

9. Project Meetings and Reviews………………………………………………….…………………

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I. INTRODUCTION

This publication constitutes a Funding Opportunity Announcement (FOA) as contemplated in the Department of Defense Grants and Agreements Regulations (DoDGARS) 32 CFR 22.315(a). A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued.

The Office of Naval Research (ONR) will not issue paper copies of this announcement. The ONR reserves the right to select for award all, some, or none of the applications in response to this announcement. The ONR provides no funding for direct reimbursement of application development costs. Technical proposals and budgets (or any other material) submitted in response to this FOA will not be returned. It is the policy of ONR to treat all white papers and applications as sensitive competitive information and to disclose their contents only for the purposes of evaluation.

This FOA is intended for white papers and invited applications that provide strategic solutions to naval-relevant challenges and that meet the evaluation criteria specified in this FOA.

Awards will take the form of grants. Any assistance instrument awarded under this announcement will be governed by the award terms and conditions that conform to DoD’s implementation of OMB circulars applicable to financial assistance. Terms and conditions of new awards made after December 26, 2014, will 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.” The DoD Terms and Conditions are located at https://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx.

This FOA has a two-part submission process starting with a MANDATORY white paper.

Applicants invited to compete in the second part of the process, submission of an application, should be aware of the following:

• Information regarding application packages can be found at:

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

• A project abstract is required with the application and must be publicly releasable as specified in the following section of this FOA: Section II. D. 2. b. responses to the Representations indicated in Section II. H., 2 thru 4 of this FOA are required with the application.

• Grant applications will be reviewed only if they (1) are invited (2) meet the criteria specified by this document, and (3) are submitted through https://www.grants.gov/web/grants/home.html https://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx https://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx https://www.grants.gov/web/grants/home.html

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A. OVERVIEW

1. Federal Awarding Agency Name

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

2. Funding Opportunity Title

FY19 Funding Opportunity Announcement (FOA) for the Office of Naval Research (ONR) Navy and Marine Corps Science, Technology, Engineering & Mathematics (STEM) Education, and Workforce Program

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N00014-19-S-F003

5. Catalog of Federal Domestic Assistance (CFDA) Numbers

12.330

6. Key Dates

White Papers due: between 1 February 2019 (Friday) with a deadline of 28 June 2019 (Friday) at 5:00 PM Eastern Time

Applications due: 27 September 2019 (Friday) at 11:59 PM Eastern Time

For a full Table of Events, see Section II. D. 4. Significant Dates and Times

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II. DETAILED INFORMATION ABOUT THE RESEARCH OPPORTUNITY

A. PROGRAM DESCRIPTION

The ONR seeks a broad range of applications for augmenting existing or developing innovative solutions that directly maintain, or cultivate a diverse, world-class STEM workforce in order to maintain the U.S. Navy and Marine Corps’ technological superiority.

The goal of any proposed effort must provide solutions that will establish and maintain pathways of diverse U.S. citizens who are interested in uniformed or civilian DoN (or Navy and Marine Corps) STEM workforce opportunities.

As the capacity of the DoN Science and Technology (S&T) workforce is interconnected with the basic research enterprise and STEM education system, ONR recognizes the need to support efforts that can jointly improve STEM student outcomes and align educational efforts with Naval S&T current and future workforce needs. This announcement explicitly encourages projects that improve the capacity of education systems and communities to create impactful STEM educational experiences for students and workers. Submissions are encouraged to consider including active learning approaches and incorporating 21st century skill development. Projects must aim to increase student and worker engagement in STEM and enhance people with needed Naval STEM capabilities. ONR encourages applications to utilize current STEM educational research for informing project design and advancing our understanding of how and why people choose STEM careers and opportunities of naval relevance.

While this announcement is relevant for any stage of the STEM educational system, funding efforts will be targeted primarily toward projects addressing the below communities or any combination of these communities:

• Secondary education communities;

• Post-Secondary communities;

• Informal science communities;

• Current naval STEM workforce communities.

Project scope may range in size and complexity. Projects that are already established with prior funding sources or have established stakeholders are especially encouraged to consider the following scope areas:

• Develop and implement exploratory pilot projects that seek to create new educational experiences within educational and training communities.

• Develop larger cohesive STEM education and training activities that strengthen the capacity of regional communities and stakeholders to improve STEM education and training.

• Establish meetings of stakeholders that must seek to connect relevant people and organizations to explicitly develop broader projects for impacting entire communities.

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The technical content of any idea must establish naval relevance within the priority areas as outlined in the “Naval Research and Development Framework and Addendum”, https://www.onr.navy.mil/our-research/naval-research-framework. Broad priority areas are as follows:

• Augmented Warfighter

• Integrated & Distributed Forces

• Operational Endurance

• Sensing & Sense-Making

• Scalable Lethality

While not a formal requirement or program focus of this FOA, applicants are strongly encouraged to consider under-represented and under-served populations including women and minorities in project plans. Special audience priority areas may include, but not be limited to, military dependent children, veteran initiatives, and education systems integral to naval science and technology. All efforts should improve education and training outcomes and connections to naval STEM careers.

Applicants are encouraged to understand the significant reorganization of STEM funding across the Federal government. Applicants seeking to improve general national STEM performance rather than a focus on Naval workforce needs, and particularly efforts aimed at the P/K-9 levels, are encouraged to seek funding from one of the designated lead agencies:

The Department of Education, the National Science Foundation, or the Smithsonian Institution.

White papers should:

• Be innovative and novel to address the program description;

• Create meaningful content and participant experiences that meet Naval STEM education and workforce priorities, and that will expose participants to elements such as Navy and Marine Corps STEM skills, content, careers, facilities and personnel (uniformed, civilian, active duty or retired);

• Collect a set of program-specific measures of performance and measures of effectiveness appropriate to the goals of the project;

• Contain a strategy for self-sufficiency, such that following the completion of ONR's investment, the effort will have a clear financial sustainability path and leave enduring organizational capability; and

• Be distinct from those types of efforts requested by ONR's Long Range BAA.

Specific application evaluation criteria for this FOA are included in Section II. E.

Proposers whose efforts are primarily to purchase supplies and materials, cover the cost of student tuition, stipends, labor, internship costs, or provide salary and/or travel support are discouraged from applying.

https://www.onr.navy.mil/our-research/naval-research-framework

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B. FEDERAL AWARD INFORMATION

1. Funding Amount and Period of Performance

ONR‘s total STEM funding effort is $6,250,000 per year, subject to the availability of funds.

Under this FOA competition, ONR intends to award approximately twenty-five (25) awards for a maximum of $250,000 per year for each award, with one-year (1) option periods for up to three (3) years. Option period years will be funded incrementally based on applicant performance and adherence to established execution benchmarks. Each individual award will be up to Applications for larger amounts will be considered on a case-by-case basis. Projects addressing a larger community effort must consult with the Technical Point of Contact (POC) listed in Section II. G.

ONR expects projects to be completed within the performance period. Any requests for no-cost extensions must be fully justified and submitted no later than 60 days before the end of the period of performance.

2. Peer Reviews

In the case of applications funded as basic research, ONR may utilize peer reviewers to assist in the periodic appraisal of performance under the awards, as outlined in ONR Instruction 3966.1A. Such periodic program reviews monitor the cost, schedule and technical performance of funded basic research efforts. The reviews are used in part to determine which basic research projects will receive continued ONR funding. Peer reviewers who are not U.S.

Government employees must sign nondisclosure agreements before receiving full or partial copies of proposals/applications and reports submitted by the basic research performers.

C. ELIGIBILITY INFORMATION

All responsible sources from academia and non-profit organizations may submit white papers under this FOA.

Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories, are not eligible to receive awards under this FOA. However, teaming arrangements between FFRDCs and eligible principal applicants are allowed so long as they are permitted under the sponsoring agreement between the Government and the specific FFRDC.

Navy laboratories, military universities, and warfare centers as well as other Department of Defense and civilian agency laboratories are also not eligible to receive awards under this FOA and must not submit either white papers or applications in response to this FOA. If any such organization is interested in the program described herein, the organization may contact ONR STEM Program Office, onr_stem@navy.mil, to discuss potential projects. The subject line of the email shall read “N00014-19-S-F003 Potential Project Inquiry.” As with FFRDCs, these types of Federal organizations may team with eligible applicants that are submitting white papers under this FOA.

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University Affiliated Research Centers (UARC) are eligible to submit white papers under this FOA unless precluded from doing so by their Department of Defense UARC contract.

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

D. APPLICATION AND SUBMISSION INFORMATION

1. Application and Submission Process

This FOA competition is implemented in two stages:

First - Prospective awardees must begin by submitting a white paper; and

Second - Based on assessment of the white paper, applicants will be invited or not invited to submit a grant application.

NOTE TO APPLICANTS: The Government seeks only applications that are relevant and responsive to the Funding Opportunity Description in Section II. A. White papers that fail to address the areas listed in the Funding Opportunity Description will be rejected and not considered further.

Submission of White Papers: As mentioned prior, white papers are a MANDATORY component of a two-part submission process. White papers must NOT be submitted through the Grants.gov application process. Instead, white papers are to be submitted via email to the attention of Dr. Michael Simpson at onr_stem@navy.mil as either a PDF or Microsoft Word 2010 compatible file. The subject line of the email shall read “N00014-19-S-F003 White Paper Submission.” There is an email size limit of 5 MB per email.

DO NOT SEND: Hardcopies (including facsimiles) DO NOT SEND: ZIP files DO NOT SEND: Password protected files.

* Only electronic submissions will be accepted and reviewed.

The due date and time for receipt of white papers begins on 1 February 2019 and ends on 28 June 2019 (Friday) at 5:00 PM Eastern Time. White papers received outside the established dates and times will not be considered under any circumstance.

White Paper Evaluation/Notification: Once the initial evaluation of white papers is completed, applicants will be notified via email of their project’s status on or about 31 July 2019 (Wednesday).

Submission of Applications: Applications may only be submitted by invitation and received electronically through https://www.grants.gov/ no later than 27 September 2019 (Friday) at 11:59 PM Eastern Time. Applications are NOT to be submitted via email. Unsolicited applications will be rejected without review.

mailto:onr_stem@navy.mil https://www.grants.gov/

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You are responsible for making sure your application is submitted, received, and validated by Grants.gov before the application deadline. If your application package is submitted late, your application will be ineligible for consideration.

Award Notification: It is anticipated that final selections for award will be made on or about 15 November 2019 (Friday). See Section II. D. 4. Significant Dates and Times.

2. Content and Format of White Papers/Applications

White papers and applications submitted under this FOA must seek to address unclassified, basic research. As a corollary, no classified white papers or applications shall be submitted.

White papers and application submissions will be protected from unauthorized disclosure in accordance with applicable laws and DoD regulations.

IMPORTANT NOTE: Titles given to the White Papers/ Applications should be descriptive of the basic research they cover and should not be merely a copy of the title of this announcement.

a. White Papers

White Paper Format

• Paper Size – 8.5 x 11-inch paper

• Margins – 1 inch

• Spacing – single spaced

• Font – Times New Roman, 12 point

• Page limit – 4.5 pages

White Paper Content

White Papers must address the following sections:

• Cover Page (1 Page Maximum) – The Cover Page shall be labeled "WHITE PAPER", and shall include N00014-19-S-F003, proposed title, Applicant's administrative and technical points of contact, telephone numbers, facsimile numbers, and email addresses.

• Summary (One-half Page Maximum) – A summary of the proposed effort.

• Technical Concept (2 Page Maximum) – A description of the proposed effort and how it advances the ONR's STEM Education and Workforce mission. The project idea, technical rationale, and approach must identify a problem(s), arguments to substantiate the claims made, and proposed approach to address the issue. The Applicant’s capacities must be discussed as they relate to achieving success in the

Page 10 of 36 UPDATED 01/25/2019 N00014-19-S-F003 Amendment 0001 project. The project must address the Funding Opportunity Description stated in Section II. A.

• Rough Order of Magnitude Cost (One-half Page Maximum) – White Paper submissions shall include a rough order of magnitude cost showing requested funding per year, total cost, and suggests spending priorities to satisfy Section II. A.

• Naval Relevance (One-half Page Maximum) – A description of potential STEM Education and Naval STEM relevance and contributions of the effort to the agency's specific mission.

b. Application Package

Content and Form of Application:

Prospective applicants invited to submit an application must complete the mandatory forms in accordance with the instructions provided on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (.pdf) unless otherwise specified in this announcement.

Submit Technical Proposals using the following format:

• Paper Size – 8.5 x 11-inch paper

• Margins – 1 inch

• Spacing – single spaced

• Page limit – 25.5 pages

Broken out as follows:

Cover Page – 1 page

Table of Contents – 1 page

Technical Approach and Justification – no more than 13 pages

Project Schedule and Milestones – no more than 2 pages

Reports – no more than one-half page

Metrics and Evaluation – no more than 2 pages

Management Approach – no more than 2 pages

Qualifications – no more than 2 pages

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Responsibility – no more than 2 pages

EXCLUDED from the Technical Proposal 25.5-page limit are: resumes, curricula vitae, references, letters of support, and current and pending projects.

Technical Proposals exceeding the page limit may not be evaluated.

Submit Budgets using the following format:

• Paper Size – 8.5 x 11-inch paper

• Margins – 1 inch

• Spacing – single spaced

• Page limit – There is no page limitation to the Budget

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

Required Forms

(1) SF-424 Form (RESEARCH & RELATED) (Mandatory)

The SF-424 (R&R) form must be used as the cover page for all proposals. Complete all required fields in accordance with the “pop-up” instructions on the form and the following instructions for specific fields. Please complete the SF-424 first, as some fields on the SF- 424 are used to auto-populate fields on other forms.

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

• Field 3 - Date Received by State: The Date Received by State and the State Application Identifier are not applicable to research. Leave blank.

• Field 4a - Federal Identifier: Enter “N00014”.

• Field 4b - Agency Routing Number: Enter “311 [Simpson, Michael]”.

Applicants who fail to provide an Agency Routing Number may receive a notice that their proposal is rejected.

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

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

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

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• Field 9 - Name of Federal Agency: List the Office of Naval Research as the reviewing agency. This field is pre-populated in Grants.gov.

• Field 16 - Is Application Subject to Review by State Executive Order 12372 Process? Choose “No”. Check “Program is Not Covered by Executive Order 12372.”

• Field 17 – Certification: All awards require some form of certifications of compliance with national policy requirements. By checking the “I agree” box in field 17, and attaching the representation to Field 18 of the SF424 (R&R) as part of the electronic proposal submitted via Grants.gov, the Grant Applicant is providing the certification on lobbying required by 32 CFR Part 28 and representation regarding an unpaid delinquent tax liability or a felony conviction under any federal law – DoD appropriations.

(2) R&R Form: Project Abstract Form (Mandatory)

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

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

https://dodgrantawards.dtic.mil/grants

(3) R&R Form: Research and Related Other Project Information (Mandatory)

• Fields 1 and 1a - Human Subject Use: Each proposal must address human subject involvement in the research by completing Fields 1 and 1a of the R&R Other Project Information form. For proposals containing activities that include or may include “research involving human subjects” as defined in DoDI 3216.02, prior to award, the Applicant must submit the documentation under “Use of Human Subjects in Research” (Section II. H. 6.).

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

6.).

• Fields 4a through 4d - Environmental Compliance: Address these fields and briefly indicate whether the intended research will result in environmental https://dodgrantawards.dtic.mil/grants

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Federal agencies making grant or cooperative agreement awards and recipients of such awards must comply with various environmental requirements. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. Sections 4321- 4370 (a), requires that agencies consider the environmental impact of “major Federal actions” prior to any final agency decision. With respect to those awards which constitute “major Federal actions,” as defined in 40 CFR 1508.18, federal agencies may be required to comply with NEPA and prepare an environmental impact statement (EIS), even if the agency does no more than provide grant funds to the recipient. Questions regarding NEPA compliance should be referred to the technical point of contact. Most research efforts funded by ONR will, however, qualify for a categorical exclusion from the need to prepare an EIS.

Navy instructions/regulations provide for a categorical exclusion for basic and applied scientific research usually confined to the laboratory, if the research complies with all other applicable safety, environmental and natural resource conservation laws.

• Field 8 – Project Narrative: Describe clearly the research, including the objective and approach to be performed, keeping in mind the evaluation criteria.

Attach the entire proposal narrative to R&R Other Project Information form in Field 8. To attach a Project Narrative in Field 8 click on “Add Attachment” and attach the technical proposal as a single PDF file. (Save the file as “Technical Proposal,” as typing in the box is prohibited).

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

Cover Page: This must include the words “Technical Proposal” and the following:

(a) FOA Number: N00014-19-S-F003;

(b) Title of Application;

(c) Identity of prime Applicant and complete list of subawards, if applicable;

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

(e) Administrative/business contact (name, address, phone/fax, electronic mail address) and;

(f) Proposed period of performance (identify both the base period and any options, if included).

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Table of Contents: An alphabetical/numerical listing of the sections within the proposal, including corresponding page numbers.

Technical Approach: The proposal must consist of a clear description of the technical approach being proposed and its potential Naval relevance and contribution to the agency’s specific education and science and engineering workforce. Broadly, the proposal may address in some combination as is relevant the following discussion points: 1) Discuss scientific and technical merits and its potential to achieve the objectives of the program, including the extent to which the proposed effort would enhance current capabilities; 2) Identify proposed efforts for increasing or maintaining the educational pathway and the potential of the proposed program to educate future scientists and engineers in STEM disciplines critical to the Naval mission; 3) Discuss increased or enhanced opportunities to disseminate information on Naval programs and careers; and 4) Discuss the potential and extent to which the proposed program engages Naval laboratories as active participants in program execution.

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

Reports: The Applicant must acknowledge that the following reports are required under an ONR funded STEM effort:

• Quarterly Technical and Financial Progress Reports – A template will be provided to each starting grant. This report will include information on current expenses and invoices for the time period, programmatic developments, and major successes or major problems that warrant ONR attention.

• Annual Reports – A template will be provided to each starting grant. A complete annual Research Performance Progress Report is mandated by ONR. This report will be due during the summer months regardless of grant start date.

• Annual Naval STEM Program Data Call Form – A manual and templates will be provided to each starting grant. These forms will include information about the organization and program specifics (overview, metrics, budget information, accomplishments, etc.).

• Final Report – Detail the full programmatic accomplishments summarized from prior reports and a forecast for ongoing program sustainability and contribution to Naval education and workforce need as the funding ends.

Include, as feasible, examples of educational materials produced, links to digital materials, and other resultant material from the award.

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

Management Approach: Describe the overall management approach and provide rationale for participation of key team members. Describe the planned relationships with any subawardees or collaborators.

Metrics and Evaluation: Discuss the metrics and evaluation plans for this project.

Metrics and evaluation components must include but not be limited to:

• Logic models and program operating guidelines.

• Anticipated data collection and results.

• Data instruments as feasible.

Letter(s) of support: There is no specified format or content required for the letter(s) of support other than being authored by the appropriate representative and supporting commitment to the applicant 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 applicant and the overall statement about the relevance of the project to naval science and technology goals.

References: Literature citations.

Current and Pending Project and Proposal Submissions: Applicants are required to provide information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing contracts, grants, and other assistance agreements. Applicants shall provide the following information regarding any related or complementary ongoing projects or pending proposal submissions that are or would be funded by any source(s) (e.g., ONR, Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations):

(Concurrent submission of a proposal to other organizations will not prejudice its review by ONR.)

a. Title of Proposal and Summary;

b. Source and amount of funding (annual direct costs; provide contract and/or grant numbers for current contracts/grants);

c. Percentage effort devoted to each project;

d. Identity of prime Applicants and complete list of subwards, if applicable;

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

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f. Administrative/business contact (name, address, phone/fax, electronic mail address);

g. Period of performance;

h. The proposed project and all other projects or activities requiring a portion of time of the Principal Investigator and other senior personnel must be included, even if they receive no salary support from the project(s);

i. The total award amount for the entire award period covered (including indirect costs) must be shown as well as the number of person-months or labor hours per year to be devoted to the project, regardless of source of support; and

j. State how projects are related to the proposed effort and indicate degree of overlap.

Principal Investigator Qualifications: A discussion of the qualifications of the proposed Principal Investigator and any other key personnel. Include resumes or curricula vitae for the Principal Investigator, other key personnel and consultants.

The resumes/curricula vitae shall be attached to the proposal.

Responsibility: Applicants must provide the following information to ONR in order to assist in ONR's evaluation of the applicant’s responsibility:

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

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

c. 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;

d. Describe your record of integrity and business ethics;

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

f. 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).

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

(Additional facilities and equipment will not be provided unless the research cannot be completed by any other practical means.)

(4) R&R Form: Research & Related Budget

The applicant must use the Grants.gov forms from the application package template associated with the BAA on the Grants.gov web site located at https://www.grants.gov/.

If options are proposed, the budget must provide the pricing information for the option periods; failure to include the proposed costs for the option periods will result in the options not being included in the award.

A separate Adobe .pdf document 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.

The itemized budget should include the following:

• 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 proposal 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.

https://www.grants.gov/

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• Travel – The proposed travel cost 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 principles.

• Subawards/Subcontracts – Provide a description of the work to be performed by the subrecipient/subcontractor. For each subaward, a detailed budget is required to be submitted by the subrecipient(s). A proposal and any supporting documentation must be received and reviewed before the Government can complete its cost analysis of the proposal. ONR's preferred method of receiving subcontract information is for this information to be included with the Prime's proposal. However, a subcontractor's budget can be provided via email directly to the Program Officer at the same time the prime proposal is submitted. The email should identify the proposal title, the prime Applicant and that the attached proposal is a subcontract.

• 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 proposal.

• 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).

• 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.

• Other Direct Costs – Provide an itemized list of all other proposed other 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).

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

3. Grants.gov Application Submission and Receipt Procedures

NOTE: White Papers must not be submitted through the Grants.gov application process. White paper submissions must be emailed directly to Dr. Michael Simpson at onr_stem@navy.mil. The subject line of the email shall read “N00014-19-S-F003 White Paper Submission.” White paper format requirements are found in Section II.D.2.a.

How to Register to Apply through Grants.gov

a. Instructions: Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

If individual applicants are eligible to apply for this grant funding opportunity, refer to:

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

Organization applicants can find complete instructions here:

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

(1) Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet (D&B). Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form.

For more detailed instructions for obtaining a DUNS number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

(2) Register with SAM: In addition to having a DUNS number, organizations applying online through Grants.gov must register with the System for Award Management (SAM). All organizations must register with SAM in order to apply online. Failure to register with SAM will prevent your organization from applying through Grants.gov.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

(3) Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their organization's mailto:onr_stem@navy.mil https://www.grants.gov/web/grants/applicants/individual-registration.html https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

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DUNS number to complete this process. Completing this process automatically triggers an email request for applicant roles to the organization's E-Business Point of Contact (EBiz POC) for review. The EBiz POC is a representative from your organization who is the contact listed for SAM. To apply for grants on behalf of your organization, you will need the Authorized Organizational Representative (AOR) role.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html

(4) Authorize Grants.gov Roles: After creating an account on Grants.gov, the EBiz POC receives an email notifying them of your registration and request for roles.

The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been approved as an AOR.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html

5) Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization's AOR that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must specifically authorize the AOR to make legally binding commitments on behalf of the organization;

this step is often missed and it is crucial for valid and timely submissions.

How to Submit an Application to ONR via Grants.gov

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

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

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

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

b. Complete a Workspace: Add participants to the workspace, complete all the required forms, and check for errors before submission.

https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html

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

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

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

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

3. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

c. Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

d. Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

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

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

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

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

Timely Receipt Requirements and Proof of Timely Submission

a. Online Submission. All applications must be received by 11:59pm Eastern time on the due date established. Proof of timely submission is automatically recorded by Grants.gov.

An electronic date/time stamp is generated within the system when the application is successfully received by Grants.gov. The applicant AOR will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the…