N00014-21-S-F004 FY-21 DON STEM FOA_Final rev3-25..pdf

FOA N00014-21-S-F004

ONR FOA Announcement N00014-21-S-F004

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) FY21 Department of Navy (DON) Science, Technology, Engineering & Mathematics (STEM), Education and

Workforce Program administered by the Office of Naval Research (ONR)

FOA N00014-21-S-F004

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY

A. OVERVIEW

1. Federal Awarding Agency Name

2. Funding Opportunity Title

3. Announcement Type

4. Funding Opportunity Number

5. Catalog of Federal Domestic Assistance (CFDA) Number

6. Key Dates (See also Section D.4)

7. Grants Officer

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description B. Federal Award Information

1. Eligibility for Competition

2. Contracted Fundamental Research

3. Funded Amount and Period of Performance

4. Instrument Type(s)

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

D. Application and Submission Information

1. Address to Request (Access) Application Package

2. Content and Form of Application Submission

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

4. Submission Dates and Times

5. Intergovernmental Review

6. Funding Restrictions

7. Other Submission Requirements

E. Application Review Information

1. Criteria

2. Review and Selection Process

3. Recipient Qualifications

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Federal Awarding Agency Contacts

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I. OVERVIEW OF THE FUNDING OPPORTUNITY

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). The Office of Naval Research (ONR) reserves the right to fund all, some, or none of the proposals received under this FOA. ONR provides no funding for direct reimbursement of proposal development costs.

Technical and budget proposals (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 proposals submitted under this FOA as sensitive competitive information and to disclose their contents only for the purposes of evaluation.

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

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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

FY21 Department of Navy (DON) Science, Technology, Engineering & Mathematics (STEM), Education and Workforce Program administered by the Office of Naval Research (ONR)

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N00014-21-S-F004

5. Catalog of Federal Domestic Assistance (CFDA) Numbers

12.330 Title: Science, Technology, Engineering & Mathematics (STEM) Education, Outreach and Workforce Program

6. Key Dates (See also Section D.4)

Anticipated Schedule of Events *

Event Date

(MM/DD/YEAR)

Time (Local Eastern Time)

Questions Regarding Eligibility and Technical Requirements **

05/26/2021 5:00 PM Eastern Time

White Papers Due 05/28/2021 11:59 PM Eastern Time Notification of receipt of white paper by the Naval STEM Coordination Office

(NSCO)

06/04/2021 5:00 PM Eastern Time

White Paper Submission Inquiry 06/09/2021 5:00 PM Eastern Time Notifications of Initial Navy Evaluations of White Papers*

08/13/2021 5:00 PM Eastern Time

Questions for Grants Officer Regarding Proposal Submission**

10/01/2021 5:00 PM Eastern Time

Proposals or Invited Proposals 10/08/2021 11:59 PM Eastern Time

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Notification of Selection for Award * 01/14/2022 Start Date of Grant* 04/15/2022

*These dates are estimates as of the date of this announcement.

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

IMPORTANT NOTE: White Papers are MANDATORY. Proposal submission is by invitation only.

7. Grants Officer - The Grants Officer for this announcement is identified under Section subparagraph G.2.

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II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description

The Office of Naval Research (ONR) is interested in receiving a broad range of proposals for augmenting existing and/or developing innovative solutions that directly maintain, and/or cultivate a diverse, world-class Science, Technology, Engineering, and Mathematics (STEM) workforce to maintain the U.S. Navy and Marine Corps’ technological superiority. The goal of proposed efforts must provide solutions that establish, build, and/or maintain STEM educational pathways of U.S. citizens directly relevant to the needs of Department of Navy’s (DON) current and future workforce.

As the capacity of the DON Science and Technology (S&T) workforce is interconnected with the STEM education system, DON recognizes the need to support efforts that can jointly improve STEM student outcomes and align educational and outreach efforts with Naval S&T current and future workforce needs. This announcement explicitly encourages programs that improve the capacity of education systems and communities to create impactful STEM educational experiences for students of all ages and the naval related workforce. Programs must aim to increase engagement in naval relevant STEM, and enhance the corresponding skills, knowledge, and abilities of participants. ONR encourages applicants to utilize current STEM educational research for informing program design and advancing 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; and

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 stakeholder partnerships 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 with stakeholders that must seek to connect relevant people and organizations to explicitly develop broader projects for affecting entire

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communities.

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

Applicants should consider the diversity-equity-inclusion (DEI) of proposed programs.

We encourage applicants to work to develop programs with participant demographics that mirror local communities and/or the results of the US census. Outreach to underrepresented communities and inclusion of underrepresented individuals will be one of the criteria used to evaluate programs.

Underrepresented groups in STEM may include:

Military-connected students (see definition below) Low‐income students (Free and Reduced-price Meals—FARMS) Students belonging to racial and ethnic minorities that are historically underrepresented in STEM (i.e., Alaska Natives, Native Americans, Blacks or African Americans, Latinx/Hispanics, Native Hawaiians and other Pacific Islanders)

Females in certain STEM fields where they remain underrepresented (e.g.

physical sciences, computer science, mathematics, or engineering)

Students with disabilities (Americans with Disabilities Act) Students with English as a second language (English Language Learners) First‐generation college students Students in rural, frontier, or other Federal targeted outreach schools

Military-Connected Students may include:

Military child – dependents of members of the Active Duty Armed Forces Military-connected – military child plus the dependents of members of the

National Guard and Reserves Military-affiliated – military-connected plus the dependents of Veterans Military-connected schools – schools where a minimum of 10% of the student population is military-connected US Military Veterans

Eligible applicants are encouraged under this FOA to form partnerships with Naval STEM Stakeholder Organizations (NSSO) and/or other naval organizations when possible. NSSO carry out localized and community education and outreach efforts

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(SECNAVINST 3900.45A). NSSOs and/or other naval organizations have the option to partner if it is in the best interest of the DON.

With regard to white paper submissions: Applicants should identify potential NSSOs and identify how they would go about identifying and arranging partnerships with NSSOs in their submission. Such partnerships shall not include any funding or similar fee to flow through an awardee to an NSSO.

With regard to invited applications: Letters of Interest (LOI) from NSSOs are not required.

For general information on NSSOs and POCs please contact the NSCO at DON_STEM_grants@navy.mil. The subject line of the email should read “N00014- 21-S-F004: Naval STEM Stakeholder Organization Information Inquiry.” Body of email should include a summary of your proposed project.

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 are required and should:

Align with DONs Mission;

Have scientific and technical merit;

Show program viability during and after the period of performance; and

Consider the DEI of the program.

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

Program overview/white paper information sessions will be held prior to the white paper submission deadline (28 May 2021). Sessions will be open to all eligible applicants and potential partners. Please contact NSCO (DON_STEM_grants@navy.mil) for dates, times, and registration information.

B. Federal Award Information

1. Eligibility for Competition. Proposals for supplementation of existing projects are eligible to compete with applications for new Federal awards under this FOA.

2. Contracted Fundamental Research. With regard to any restrictions on the conduct or outcome of work funded under this FOA, ONR will follow the guidance on and definition of “contracted fundamental research” as provided in the Under Secretary of Defense (Acquisition, Technology and Logistics) (USD AT&L) Memorandum of 24

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May 2010. The memorandum can be found at https://www.acq.osd.mil/dpap/dars/pgi/docs/2012- D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%202 4%202010.pdf

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

Pursuant to DoD policy, research performed under grants and contracts that are (a) funded by Budget Activity 2 (Applied Research) and NOT performed on-campus at a university or (b) funded by Budget Activity 3 (Advanced Technology Development) or Budget Activity 4 (Advanced Component Development and Prototypes) does not meet the definition of “contracted fundamental research.” In conformance with the USD (AT&L) guidance and National Security Decision Directive 189 found at https://fas.org/irp/offdocs/nsdd/nsdd-189.htm, ONR will place no restriction on the conduct or reporting of unclassified “contracted fundamental research,” except as otherwise required by statute, regulation or executive order. The research shall not be considered fundamental in those rare and exceptional circumstances where the applied research effort presents a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense, and where agreement on restrictions have been recorded in the contract or grant. For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting “contracted fundamental research.” In those cases, it is the prime contractor’s responsibility in the proposal to identify and describe the subcontracted unclassified research and include a statement confirming that the work has been scoped, negotiated, and determined to be fundamental research according to the prime contractor and research performer.

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

3. Funded Amount and Period of Performance

Under this FOA competition, ONR intends to award between 15 to 20 grants with a maximum of $200,000 per year for up to 3 years. Each year will be funded incrementally based on applicant performance and adherence to established execution benchmarks. Each individual award will be up to $600,000 over 3 years. Applications

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for larger amounts must contact the NSCO prior to white paper submission. Projects addressing a larger community effort must consult with the Technical 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.

4. Instrument Type(s)

Grants awarded under this announcement will be governed by the award terms and conditions that conform to DOD’s implementation of Office of Management and Budget (OMB) guidance applicable to financial assistance. The DoD Terms and Conditions are located at https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

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

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

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

No fee or profit is allowed.

C. Eligibility Information

1. Eligible Applicants

All responsible sources from academia, non-profit organizations, and industry (for-profit) organizations may submit white papers under this FOA. Foreign entities will not be considered.

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 DoD 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 a partnership with a proposed project from eligible institution, the organization may contact the Naval STEM Coordination Office (NSCO), DON_STEM_grants@navy.mil, to discuss potential projects. The subject line of the

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email shall read “N00014-21-S-F004 Potential Project Inquiry.” As with FFRDCs, these types of Federal organizations may team with eligible applicants that are submitting white papers under this FOA.

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

2. Cost Sharing or Matching

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

D. Application and Submission Information

1. Address to Request (Access) Application Package

This FOA may be accessed from the sites below. Amendments, if any, to this FOA will be posted to these websites when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

a. Grants.gov (www.grants.gov)

b. ONR website https://www.onr.navy.mil/work-with-us/funding-opportunities

2. Content and Form of Application Submission

a. General Information

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

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

This FOA competition is implemented in two stages:

First – Prospective awardees MUST begin by submitting a white paper using FedConnect; and

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

NOTE TO APPLICANTS:

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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.

White papers must be submitted to FedConnect by 28 May 2021, 11:59 pm Eastern Time. In order to ensure timely receipt and evaluation of white paper submissions, NSCO will send a notification via DON_STEM_grants@navy.mil to the listed Principal Investigator and business contact no later than 04 June 2021. Submitters should contact NSCO no later than 09 June 2021 to submit an inquiry if receipt from NSCO was not received. Failure to submit an inquiry by the date listed will result in the white paper not being evaluated. Note: the notification from NSCO is separate from one that will be received from FedConnect.

b. White Papers

White papers are MANDATORY under this FOA. Any proposal submitted to grants.gov without invitation will not be considered for funding.

i. Content

White papers shall include the following:

Cover Page (MANDATORY): The Cover Page can be found at https://www.onr.navy.mil/work-with-us/how-to-apply/submit-grant-application for grant submissions. Fed Connect will not accept a white paper unless the Cover Sheet is included. The Program Officer’s information is a required field on the cover sheet. Submitters MUST list Dr.

Michael Simpson as the Program Officer and use the email DON_STEM_grants@navy.mil as the Program Officer email. Any cover page listing incorrect program officer information may not be received by

NSCO.

Technical Approach and Justification (1.5-Page Maximum): – A description of the proposed effort. The project idea, technical rationale, and approach must identify a problem(s), arguments to substantiate claims made, and proposed approach to address the issue. The Applicant’s capacities must be discussed as they relate to achieving success in the project. The project must address the Funding Opportunity Description stated in Section II. A

Naval Relevance (0.5 Page Maximum) - A description of how the program aligns with and advances the DON mission. This may include naval partnerships, community partnerships, and the naval need.

Naval Partnerships (0.5 Page Maximum) – Applicants should briefly describe how they plan to go about identifying and arranging partnerships with NSSOs as well as provide a table identifying any potential Naval

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partners, including the organization, name, and contact information (email and phone number), if applicable. If not applicable list N/A.

Management Approach (0.5 Page Maximum) – A brief description of management approach to carry out the program successfully.

Metrics of Evaluation (0.5 Page Maximum) – A description of a set of program specific measures of performance and measures of effectiveness appropriate to the goals of the project.

Rough Order of Magnitude (0.5 Page Maximum) - White Paper submissions shall include a table of rough order of magnitude cost showing requested funding per year, total cost, and suggests spending priorities to satisfy Section II. A.

ii. Format

a. Paper Size – 8.5 x 11 inch

b. Margins – 1 inch

c. Spacing – single-spaced

d. Font – Times New Roman, 12-point

e. Page limit – 4 pages, excluding cover page

iii. Submissions

ONR is utilizing Fed Connect for the submission of white papers. Fed Connect is a web portal that bridges the gap between government agencies and performers to streamline the process of doing business with the government.

Through this portal, performers will be able to review opportunities and submit white papers. To access Fed Connect go to https://www.fedconnect.net/FedConnect/default.htm.

1. How to Register for Fed Connect

Fed Connect how to guide can be found at:

https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnec t_Ready_Set_Go.pdf.

A. Obtain a DUNS Number: All entities submitting a proposal, must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet (D&B). Proposers must enter the DUNS number in the data entry field labeled "Company DUNS". If you do not have a DUNS number, one can be obtained at http://fedgov.dnb.com/webform.

B. 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

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with SAM in order to apply online. If you have not registered in SAM, go to https://www.sam.gov/SAM/.

If you are the first person in your organization to register in Fed Connect, your SAM Marketing Partner ID (SAM MPIN) will also be required. It is the number that is set up by your organization as part of the registration in SAM.gov.

C. Create a Fed Connect account: The next step in the registration process is to create an account with Fed Connect.

2. Fed Connect Assistance

If you need assistance, the Fed Connect Support Team is standing by to assist you.

Email: support@fedconnect.net Phone: 1-800-899-6665 Hours: Monday – Friday, 8 a.m. to 8 p.m. EDT. Closed on Federal holidays.

Fed Connect Frequently Asked Questions can be found on the ONR website at https://www.onr.navy.mil/work-with-us/how-to-apply/frequently-asked-questions.

Do not use the Message Center within Fed Connect to submit questions, please email the technical point of contact identified in Section G Federal Awarding Agency Contacts.

b. Full Proposals

Prospective applicants must complete the mandatory forms in accordance with the instructions provided on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (.PDF);

cannot contain macros; and cannot be password protected. If your attachments are not PDF, contain macros or are password protected, they will not pass ONR’s automated acceptance check and will need to be resubmitted. Block 2, “Type of Application” on the SF 424 should be marked “New” on the resubmission.

i. Format

Paper Size – 8.5 x 11inch paper Margins – 1 inch Spacing – single spaced Font – Times New Roman, 12 point Page limit –27 pages

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A technical proposal must include the following sections:

Cover page

Table of Contents

Technical Approach – no more than 13 pages

Naval Relevance and Partnerships – no more than 1 and one-half pages

Project Schedule and Milestones – no more than 2 pages

Management Approach – no more than 2 pages

Metrics and Evaluation – no more than 2 pages

Qualifications – no more than 2 pages

Responsibilities – no more than 2 pages

Facilities and Equipment – no more than 2 page

Reports – no more than one-half page

NOTE: The following components are excluded from the 27-page limit:

- Cover page,

- Table of Contents,

- Curriculum Vitae (CV),

- Letters of support and interest,

- Cited references,

- Current/pending project submissions

ii. Content

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

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

The mandatory forms are found at https://www.grants.gov/web/grants/forms.html.

1. SF-424 (R& R)

The SF-424 (R&R) form must be used as the cover page for all proposals.

Complete all required fields in accordance with the “pop-up” instructions on the form and the following instructions for specific fields. Please complete the SF-424 first, as some fields on the SF-424 are used to auto-populate fields on other forms. Guidance: https://www.grants.gov/web/grants/forms/r-r-family.html.

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

Field 3 - Date Received by State: Leave Blank

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

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

Office Code and the Program Officer’s name, last name first, in brackets (e.g., 331 [Smith, John]). Go to the Technology areas that ONR is pursuing at https://www.onr.navy.mil/our-research/technology-areas. Click on the technology area of interest and the Program Officer’s name and code will be found under the Program Contact Information Section.

o Where the Program Office Code only has two digits, add a “0” directly after the Code (e.g., Code 31 would be entered as 310) o Use Code 600 for ONRG.

Applicants who fail to provide a Program Officer Code identifier 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 5 – Application Information: Email address entered by the grantee on the SF424 application to create the EDA notification profile.

ONR recommends that organizations provide a global business address.

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

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

Field 11 – Descriptive Title of Applicant’s Project: Include the ONR

White Paper Tracking Number provided to the applicant by ONR.

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

Field 16 - Is Application Subject to Review by State Executive Order

12372 Process? Choose “No”. Check “Program is Not Covered by Executive Order 12372.”

Field 17 – Certification: All awards require some form of certifications of compliance with national policy requirements. By checking “I Agree” on the SF 424 (R&R) block 17 you agree to abide by the following statement: “By signing this application, I certify (1) to the statements contained in the list of certifications and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U.S. code, Title 218, Section 1001).

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

2. PROJECT/ABSTRACT

The project summary/abstract must identify the problems being addressed 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 one page or 4,000-character including spaces limit whichever is less.

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

3. RESEARCH AND RELATED OTHER PROJECT INFORMATION

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

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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 F).

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

Federal agencies making grant or cooperative agreement awards and recipients of such awards must comply with all applicable environmental planning and regulatory compliance requirements. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. § 4321 et seq. , for example, requires that agencies consider the environmental impact of “major Federal actions” prior to any final agency decision.

With respect to those awards which constitute “major Federal actions,” as defined in 40 CFR 1508.18, federal agencies may be required to comply with NEPA and prepare environmental planning documentation such as an environmental impact statement (EIS), even if the agency does no more than provide grant funds to the recipient. Most field research funded by ONR, however, constitute activities covered by a NEPA categorical exclusion that do not require preparation of further environmental planning documentation. This is particularly true with regard to basic and applied scientific research conducted entirely within the confines of a laboratory, if the research complies with all other applicable safety, environmental and natural resource conservation laws. Questions regarding NEPA or other environmental planning or regulatory compliance issues should be referred to the technical point of contact.

Field 7 – Project Summary/Abstract: Leave Field 7 blank; complete Form SF424, Project Abstract. If an error message occurs when leaving Block 7 blank, upload the Project Abstract.

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

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below:

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

(a) FOA Number: N00014-21-S-F004

(b) Title of Proposal;

(c) Identity of prime Applicant and complete list of sub awards, 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).

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 agency’s specific science and engineering workforce. Broadly, the proposal may address in some combination as is relevant the following discussion points:

o 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;

o 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;

o Discuss increased or enhanced opportunities to disseminate information on Naval programs and careers;

o Discuss the potential and extent to which the proposed program engages Naval laboratories as active participants in program execution;

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o Discuss the DEI of the program including outreach to underrepresented communities and inclusion of underrepresented individuals.

Future Naval Relevance and Partnerships* o Describe specifically how the program aligns with and will advance the DON mission.

o List of any proposed Naval Partnerships in a table along with the name, organization, and email and telephone number.

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:

o Quarterly Technical – A template will be provided to each starting grant. The report will include programmatic developments, and major successes or major problems that warrant ONR attention;

o Monthly Financial Progress Reports – This report will include information on current expenses and invoices (with numbers) for each month;

o Annual Research Performance Progress Report – A template will be provided to each starting grant. A complete annual Research Performance Report is mandated by ONR. This report will be due during the summer months regardless of grant start date; and o Final Report – Detail the full programmatic accomplishments and a forecast for ongoing program sustainability and contribution to Naval Education and Workforce needs as the funding ends. Include, as feasible, examples of educational materials produced, links to digital materials, and other resultant material from the award.

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 sub awardees or collaborators. This is a single PI award; if there are sub awardees or collaborators, explain how the proposed team fits the single PI structure. If appropriate, briefly describe anticipated schedule.

Metrics and Evaluation: Discuss the metrics and evaluation plans for

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

o Logic models and program operating guidelines o Anticipated data collection and results o Data instruments as feasible

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 of any related or complementary proposal submissions from whatever sources (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.

o Title of Proposal and Summary;

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

o Percentage of effort devoted to each project;

o Identity of prime applicant and complete list of sub awards, if applicable;

o Technical contact (name, address, phone, electronic mail address);

o Period of performance (differentiate basic effort);

o 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);

o 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 o State how project(s) is/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.

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Responsibility: Applicants must provide the following information to

ONR in order to assist in ONR’s evaluation of the applicant’s responsibility:

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

o 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.

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

o Describe your record of integrity and business ethics.

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

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

Facilities and Equipment: Describe facilities available for performing the proposed research and any additional facilities or equipment the applicant 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.)

Letter(s) of support or interest: There is no specified format or content required for the letter(s) other than being authored by the appropriate representative.

References: Literature citations

4. RESEARCH & RELATED BUDGET

The applicant must use the Grants.gov forms (including the Standard Form (SF) Research and Related (R&R) Budget Form) from the application

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package template associated with the FOA on the Grants.gov web site located at http://www.grants.gov/. If options are proposed, the cost proposal must provide the pricing information for the option periods; failure to include the proposed costs for the option periods will result in the options not being included in the award.

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

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.

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

o Direct Labor – Individual labor categories or persons, with associated labor hours and unburdened direct labor rates.

Provide escalation rates for out years.

o 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.

o Fringe Benefits and Indirect Costs – (Facilities and Administration

(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 allow ability, 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.

o 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

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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. Applicants may include travel costs for the Principal Investigator to attend the peer reviews described in Section II of this FOA.

o Sub awards/Subcontracts – Provide a description of the work to be performed by the sub recipient/subcontractor. For each sub award, a detailed cost proposal is required to be submitted by the sub recipient(s). A proposal and any supporting documentation must be received and reviewed before the Government can complete its cost analysis of the proposal and enter negotiations. ONR's preferred method of receiving subcontract information is for this information to be included with the Prime's proposal. However, a subcontractor's cost proposal can be provided in a sealed envelope with the recipient's cost proposal or via e-mail directly to the Program Officer at the same time the prime proposal is submitted.

The e-mail should identify the proposal title, the prime Applicant and that the attached proposal is a subcontract.

o Consultants – Provide a breakdown of the consultant’s hours, the hourly rate proposed, and 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.

o Materials & Supplies – Provide an itemized list of all proposed materials and supplies including quantities, unit prices, and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

o Recipient Acquired Equipment or Facilities – Equipment and/or facilities are normally furnished by the Recipient. If acquisition of equipment and/or facilities is proposed, a justification for the purchase of the items must be provided. Provide an itemized list of all equipment and/or facilities costs and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

Allowable items normally are limited to research equipment not already available for the project. General purpose equipment (i.e., equipment not used exclusively for research, scientific or other technical activities, such as personal computers, laptops, office equipment) should not be requested unless they will be used primarily or exclusively for the project. For computer/laptop purchases and other general purpose equipment, FOA N00014-21-S-F004 DON STEM FOA 24 if proposed, include a statement indicating how each item of equipment will be integrated into the program or used as an integral part of the research effort.

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

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

5. RESEARCH AND RELATED SENIOR/KEY PERSON

PROFILE (EXPANDED)

To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et. seq.), DoD is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in STEM disciplines. In addition, the National Defense Authorization Act (NDAA) for FY 2019, Section 1286, directs the Secretary of Defense to protect intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security and limit undue influence, including foreign talent programs by countries that desire to exploit United States’ technology within the DoD research, science and technology, and innovation enterprise.

The R&R Senior/Key Person Profile (Expanded) form will be used to collect the following information for all senior/key personnel, including Project Director/Principal Investigator and Co-Project Director/Co-Principal Investigator, whether or not the individuals' efforts under the project are to be funded by the DoD:

Degree Type and Degree Year fields as the source for career information.

A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.

Title and objectives of the other research projects.

The percentage per year to be devoted to the other projects.

The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.

Name and address of the agencies and/or other parties supporting the other research projects

Period of performance for the other research projects.

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Additional senior/key persons can be added by selecting the “Next Person” button. Note that, although applications without these fields completed may pass Grants.gov edit checks, if ONR receives an application without the required information, ONR may determine that the application is incomplete and may cause it to be returned without further review. DoD reserves the right to request further details from the applicant before making a final determination on funding the effort. If the bio-sketch field requires an attachment, upload the resumes.

6. RESEARCH AND RELATED PERSONAL DATA

This form will be used by ONR as the source of demographic information, such as gender, race, ethnicity, and disability information for the Project Director/Principal Investigator and all other persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must include this form with the name fields of the Project Director/Principal Investigator and any Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the demographic information in the form is voluntary. If completing the form for multiple individuals, each Co-Director/Co-Principal Investigator can be added by selecting the “Next Person” button. The demographic information may be accessible to the reviewer, but will not be considered in the evaluation. Applicants who do not wish to provide some or all of the information should check or select the “Do not wish to provide” option.

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

All applicants submitting proposals or applications must:

a…