N0001426SF001-Amendment 0001.pdf

ONR Announcement N0001426SF001 Amendment 0001

NOTICE OF FUNDING OPPORTUNITY (NOFO)

Fiscal Year (FY) 2027 Department of the Navy (DoN) Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) Program

Deadlines

White Paper Inquiries and Questions 09 September 2026 (Wednesday)

White Papers must be received no later than 18 September 2026 (Friday) at 5:00 PM Eastern Time

Application Inquiries and Questions 04 December 2026 (Friday)

Applications must be received no later than 11 December 2026 (Friday) at 5:00 PM Eastern Time

The purpose of this amendment is to update the Office of Naval Research (ONR) Science and Technology Focus Areas on pages 12-14.

The change within the NOFO is highlighted in yellow.

NOFO N0001426SF001 FY27DON HBCU/MI PROGRAM

Contents Overview of the Research Opportunity A. Basic Information

1. Federal Agency Name

2. Funding Opportunity Title

3. Announcement Type

4. Funding Opportunity Number

5. Assistance Listing Number

6. Funding Details

7. Key Dates

8. Executive Summary

9. Agency Contact Information

B. Eligibility

1. Eligibility for Competition

2. Eligible Applicants

3. Funding Restrictions

4. Contracted Fundamental Research

5. Cost Sharing or Matching

C. Program Description

1. Instrument Type

2. Model Grants

D. Application Content and Format

1. Applications Contents and Format

a. General Information

b. White Papers

c. Full Proposals

E. Submission Requirements and Deadlines

1. Address to Request Application Package

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

3. Submission Instructions

a. White Paper Submission Instructions

b. Full Proposal Submission Instructions

c. Applicant Support

4. Submission Dates and Times

a. Timely Receipt Requirements and Proof of Timely Submission

b. Proposal Receipt Notice

F. Application Review Information

1. Responsiveness Reviews

2. Review Criteria

3. Review and Selection Process

a. Evaluation

b. Options

c. Evaluation Panel

4. Risk Review G. Award Notices

1. Email

2. Electronic Document Access (EDA)

H. Post-Award Requirements and Administration

1. Administrative and National Policy Requirements

a. Export Control

b. Requirements Concerning Live Organisms:

c. Biosafety and Biosecurity Requirements:

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

e. Institutional Dual Use Research of Concern:

f. Department of Defense High Performance Computing Modernization Program:

g. Project Review Meetings and Program Review Meetings:

h. Federal Funding Accountability and Transparency Act of 2006:

i. Financial Assistance Certification:

j. Certifications Regarding Restrictions on Lobbying:

k. Certifications Regarding the Prohibition on Using Funds with Entities that Require Certain Internal Confidentiality Agreements (Grant Information Circular (GIC) 19-02 November 2019) (Supplement to SF 424 (R&R), block 17, Financial Assistance Certifications and Representations) .. 39

l. Certification Regarding Disclosure of Funding Sources (Supplement to SF 424, block 17, Financial Assistance Certifications and Representations

m. Conflict of Interest

n. Code of Conduct

o. Peer Review

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

q. Research Integrity

2. Reporting

a. Reporting Procedures

b. Reporting Frequency

c. Definitions

d. Post Award Reporting Requirements

Overview of the Research Opportunity

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

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

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

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

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

A. Basic Information

1. Federal Agency Name

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

2. Funding Opportunity Title

Fiscal Year (FY) 2027 Department of the Navy (DoN) Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) Program

3. Announcement Type

Amendment 0001

4. Funding Opportunity Number

N0001426SF001

5. Assistance Listing Number

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

6. Funding Details

Under this NOFO, ONR intends to award as follows:

o Total Amount of Funding Available: $1,575,000 o Anticipated Number of Awards: 3 o Anticipated Range of Individual Award Amounts: $450,000 - $525,000 o Previous Year(s) Average Individual Award Amounts: $525,000 o Anticipated Period of Performance: 3 years

7. Key Dates

Anticipated Schedule of Events* Event Date

(MM/DD/YEAR)

Time (Local Eastern Time)

Questions Regarding Eligibility and Technical Requirements **

09/09/2026 (Wednesday)

White Papers Due 09/18/2026 (Friday) 5:00 PM Eastern Time

Notifications of Initial Navy Evaluations of White Papers*

11/06/2026 (Friday)

Questions for Grants Officer Regarding Proposal Submission**

12/04/2026 (Friday)

Invited Proposals Due Date 12/11/2026 (Friday) 5:00 PM Eastern Time

Notification of Selection for Award * 03/26/2027 (Friday)

Start Date of Grant* 07/01/2027 (Thursday) *These dates are estimates as of the date of this announcement.

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

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

8. Executive Summary

The Department of Navy's (DoN) Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) program is designed to increase the participation of HBCU/MIs in the Navy's research, development, test, and evaluation (RDT&E) programs and activities. As part of its mission, the program seeks to strengthen the capabilities of institutions to conduct basic and applied research, and increase the quality and quantity of science, technology, engineering, and mathematics (STEM) programs. A key priority of the program is funding research with a clear vision for maturing resulting technologies and transitioning them to the Fleet in support of our nation’s Sailors, Marines, and Joint Warfighters.

Key programmatic objectives of the DoN HBCU/MI Program are achieved through the implementation and performance of three program goals:

enhancing the research and educational capabilities of HBCU/MIs in scientific and engineering disciplines critical to the defense mission of the U.S. Navy and U.S. Marine Corps, encouraging cross-institutional, collaborative efforts that explore innovative solutions to naval science and technology (S&T) challenges, and increasing the engagement of students in STEM fields important to the U.S. Navy and U.S.

Marine Corps.

This particular NOFO aims to enhance the research capacity and research infrastructure for HBCU/MIs.

Competitive white papers and invited full proposals submitted to this NOFO must clearly and succinctly describe efforts that advance basic naval-relevant S&T, engage faculty and students in STEM discovery, and expand the research capacity of participant institutions. This announcement is only for research efforts that also promote student/faculty engagement, and expand the institution’s research capacity. This announcement is not intended for projects that focus on non-research STEM activities.

The technical content of any proposed effort must contribute to the S&T mission and vision of the DoN.

9. Agency Contact Information

All UNCLASSIFIED communications shall be submitted via e-mail as designated below.

Comments or questions submitted regarding this NOFO should be concise and to the point, eliminating any unnecessary verbiage. In addition, the relevant part and paragraph of the NOFO should be referenced.

Questions submitted past the deadlines stated may not be answered. The due date for white paper and/or full proposal submission will not be extended.

Questions of a technical nature:

Applicants are strongly encouraged to discuss their research ideas with a cognizant Naval Technical Point of Contact (to include a Subject Matter Expert, Program Officer, or Program Manager) in advance of white paper submission. Such discussion should aim to clarify the content and breadth of priority research areas and enhance the match between the Navy’s research needs and the approach/direction of the proposed effort.

Naval Technical Points of Contact (TPoCs) should be affiliated with a Navy command, warfare center or lab to include the Office of Naval Research (ONR), the Naval Sea Systems Command (NAVSEA), the Naval Information Warfare Systems Command (NAVWAR), or U.S. Naval Research Laboratory (NRL) as examples. A list of ONR’s Technology and Research Areas can be found at the following link along with contact information for cognizant TPoCs:

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

Questions of a programmatic nature shall be submitted to:

Point of Contact Name: Mr. Anthony C. Smith, Sr.

Point of Contact Occupation Title: Program Director Division Title: DoN HBCU/MI Program Division Code: 34 Warfighter Performance Address: 875 N. Randolph Street, Arlington, VA 22203-1995 Email Address: don_hbcufoa@navy.mil

Questions regarding grant proposal submission shall be submitted to:

Point of Contact Name: Ms. Veronica Lacey Point of Contact Occupation Title: Grants Officer Department: ONR Code 253 Address: 875 N. Randolph Street, Arlington, VA 22203-1995 Email Address: veronica.y.lacey.civ@us.navy.mil

B. Eligibility

1. Eligibility for Competition

Proposals for supplementation of existing projects are eligible to compete with applications for new Federal awards under this NOFO.

2. Eligible Applicants

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

As provided in 10 U.S.C. §4144, eligibility for this competition is only open to “covered educational institutions,” which are defined as:

A. institutions of higher education eligible for assistance under Title III or V of the Higher Education Act of 1965 (20 U.S.C. 1051 et seq.); or

B. accredited post-secondary minority institutions.

The Principal Investigator (PI) and all proposed personnel must be U.S. citizens on September 18, 2026 (Friday), the date white papers are due. In addition, the PI must have a full-time tenured, tenure- track, or tenure-track equivalent academic appointment at one of the seven types of covered educational institutions.

This is a single PI award. No Co-PIs and no sub-awards will be permitted.

Limitations on Number of Applications – There is no limitation on the number of applications an applicant (organization) may submit in response to this NOFO.

3. Funding Restrictions

Under this NOFO, approximately three (3) awards are anticipated. The estimated total value of each award is $525,000, subject to the availability of funds. Each individual award will be up to a maximum of $150,000 per year with additional funding for materials, equipment, and supplies for a maximum of up to three (3) years. As shown in the table below, in the first year, up to $35,000 can be allocated for materials, equipment, and supplies; in year two, up to $25,000 can be allocated for materials, equipment, and supplies; and in year three, up to $15,000 can be allocated for materials, equipment, and supplies.

Option years will be funded incrementally based on applicant performance and adherence to established execution benchmarks. In summary, the limit for the maximum allocation for each year will be $185,000 (for the first year), $175,000 (for the second year), and $165,000 (for the third year). The maximum allocation per year includes all funds awarded to the university, including indirect costs. White papers and full proposals with budgets that exceed $525,000 will be considered non-responsive.

YEAR 1 YEAR 2 YEAR 3

BASE REQUEST $150,000.00 $150,000.00 $150,000.00

MATERIALS/EQUIPMENT/

SUPPLIES

$35,000.00 $25,000.00 $15,000.00

TOTAL $185,000.00 $175,000.00 $165,000.00

GRANT TOTAL $525,000.00

*Note that this table is an example of maximum allowable funding per year and category. This does not represent a guarantee of maximum funding.

Projects selected for funding must be completed within the 3-year performance period. Any requests for no-cost extensions (NCEs) must be fully justified and submitted sufficiently no later than 90 days before the end of the period of performance. Automatic NCEs will not be approved. No applications for renewal or supplemental awards will be considered under any circumstance.

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

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

(1) Procure or obtain;

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

(3) Enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Public Law 115-232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

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

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

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

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

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

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

4. Contracted Fundamental Research

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

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

Pursuant to DoW policy, research performed under grants and contracts that are (a) funded by Budget Activity 2 (Applied Research) and NOT performed on-campus at a university or (b) funded by Budget Activity 3 (Advanced Technology Development) or Budget Activity 4 (Advanced Component Development and Prototypes) does not meet the definition of “contracted fundamental research.” In conformance with the USD (AT&L) guidance and National Security Decision Directive 189 found at https://www.acq.osd.mil/dpap/dars/pgi/docs/National_Security_Decision_Directive_189.pdf. ONR will place no restriction on the conduct or reporting of unclassified “contracted fundamental research,” except as otherwise required by statute, regulation or executive order. The research shall not be considered fundamental in those rare and exceptional circumstances where the applied research effort presents a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense, and where agreement on restrictions have been recorded in the contract or grant. For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting “contracted fundamental research.” In those cases, it is the prime contractor’s responsibility in the proposal to identify and describe the subcontracted unclassified research and include a statement confirming that the work has been scoped, negotiated, and determined to be fundamental research according to the prime contractor and research performer.

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

5. Cost Sharing or Matching

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

C. Program Description

This NOFO is executed under policy and guidance of the DoN HBCU/MI Program and is administered by the Office of Naval Research (ONR). Competitive white papers and invited full proposals submitted to this NOFO must clearly and succinctly describe efforts that advance basic naval-relevant S&T, engage faculty and students in STEM discovery, and expand the research capacity of participant institutions. This announcement is only for research efforts that also promote student/faculty engagement and expand the institution’s research capacity. This announcement is not intended for projects that focus on non-research STEM activities.

Applicants are strongly encouraged to discuss their research ideas with a cognizant Naval Technical Point of Contact (to include a Subject Matter Expert, Program Officer, or Program Manager) in advance of white paper submission. Such discussion should aim to clarify the content and breadth of priority research areas and enhance the match between the DoN’s research needs and the approach/direction of the proposed effort.

Naval Technical Points of Contact (TPoCs) should be affiliated with a Navy command, warfare center or lab to include the Office of Naval Research (ONR), the Naval Sea Systems Command (NAVSEA), the Naval Information Warfare Systems Command (NAVWAR), or U.S. Naval Research Laboratory (NRL) as examples. A list of ONR’s Technology and Research Areas can be found at the following link along with contact information for cognizant TPoCs:

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

The technical content of any proposed effort must contribute to the S&T mission and vision of the DoN and must align with ONR’s S&T Focus Areas. The remainder of this section provides a list of Focus Areas and applicable areas of research. As an important note, the research areas presented in this section provide insight into key naval S&T challenges of interest but should not be considered an exhaustive list of eligible topics.

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

Command, Control, Communications, Computers, Cyber, Intelligence, Surveillance, and Reconnaissance (C5ISR) and Naval Space o Electromagnetic Warfare o Surveillance, Sensors, and Phenomenology o Quantum Positioning, Navigation, and Timing (PNT) o Communications and Networking o Intelligence, Decision Superiority, Command and Control (C2), and Combat Systems

Command, Control, Communications, Computers, Cyber, Intelligence, Surveillance, and Reconnaissance (C5ISR) and Naval Space (continued) o Full-Spectrum Cyber o Maritime Rocket Logistics o Maritime Space Payload Technology and Exploitation o Space-Based Maritime Domain Awareness o Space-Based Alt PNT

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

Materials and Electronics o Sensor Materials o Extreme Environment Materials and Processes o Sustainable and Operationally Robust Materials o Integrated Materials Systems Technology o RF Electronics o Nanoelectronics o Quantum Science & Technology o Analog & Mixed Signal Devices and Circuits o Power Electronics o EO/IR Sensor Components o Plasma Science o Electric Weapons

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

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

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

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

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

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

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

1. Instrument Type

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

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

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

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

No fee or profit is allowed.

b. Cooperative Agreement: A legal instrument which, consistent with 31 U.S.C 6305, is used to enter into the same kind of relationship as a grant, except:

Substantial involvement is expected between the Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. (For information on the substantial involvement ONR expects to have in cooperative agreements, prospective applicants should contact the TPoCs identified in the research area of interest.)

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

No fee or profit is allowed.

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

§552, the Freedom of Information Act (FOIA), for a period of five years from the date the Department receives the information. Offerors should mark the following documents with a legend asserting that they are submitted on a confidential basis:

o A proposal, proposal abstract, and supporting documents;

o A business plan submitted on a business proprietary basis;

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

Statements on Technical Documents.

2. Model Grants

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

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

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

D. Application Content and Format

1. Applications Contents and Format

a. General Information

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

White paper and full proposal titles should be descriptive of the proposed effort and not merely a copy of the NOFO’s title.

White papers are a mandatory part of the application process for this NOFO.

b. White Papers

i. Format Paper size – 8.5x11-inch Margins – 1 inch Spacing – single-spaced Font – Times New Roman, 12-point Page limit – 5 pages (exclusions listed below)

Note: The following components are excluded from the 5-page limit:

o Cover page, o Cited references, and o PI’s curriculum vitae (CV)

ii. Content White papers shall include the following:

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

o NOFO Number: N0001426SF001;

o Title of proposal;

o PI’s name, telephone number, and e-mail address;

o PI’s Institution and the Institution’s MI Status;

o Focus Area;

o Naval TPoC’s name, e-mail address, and Navy affiliation o Summary (0.5 Page Maximum): A one- to two- paragraph summary of the proposed effort. The summary should succinctly describe the research problem and objectives, technical approach, naval relevance, and anticipated outcomes of the research. A brief discussion of how the proposed effort will advance the state of the art should also be included. The summary should not include any proprietary or confidential information and should be suitable for public release.

o Technical Concept (1.5 Page Maximum): A description of the research including the objective, proposed approach, and technology innovation. Discussion of the project idea, technical rationale, and approach should clearly yet succinctly identify the naval S&T challenge(s) addressed, describe the methods that will be applied, and outline key limitations/constraints of the proposed solution. The applicant’s capacities should be discussed as they relate to achieving success in the project and it should be clear how the proposed project will advance the state of the art in the context of related work. As a reminder, cited references will not be included in the 5- page limit of the white paper.

o Student Engagement Strategy (1.0 Page Maximum): A description of the plan to fully integrate undergraduate students, graduate students, post-docs, or some combination of each in planned research activities. A pool of students should be identified and a detailed discussion of their expected roles and contributions should be provided. This section should explicitly list the number of students who will contribute to the project at each level. Competitive white papers will provide an explicit list of tasks for each student who will contribute to the project.

o Future Naval Relevance (1.0 Page Maximum): A description of potential naval relevance and contributions of the effort toward addressing specific naval S&T challenges. Applicants are strongly encouraged to communicate with a Navy TPoC about the naval relevance of their proposed work prior to white paper submission. Such discussion should aim to clarify the content and breadth of priority research areas and enhance the match between the DoN’s research needs and the approach/direction of the effort. In this section of the white paper, applicants must address whether they have discussed the proposed research effort with a Navy TPoC, provide the individual’s name and contact information, and list the affiliated Navy command, warfare center or lab. For evaluation purposes, failure to provide contact information and discussion results will be evaluated as an indicator that there was no contact with a Navy TPoC. If an applicant tried to engage a Navy TPoC and did not receive a response, that should be explicitly stated in this section. As a reminder, competitive white papers will also include the outcome of discussions;

namely, whether a white paper was encouraged, if the initial approach was modified as a result of the discussion, or some other outcome.

o Rough Order of Magnitude (ROM) (1.0 Page Maximum): An overview of proposed costs.

The ROM should be segmented into categories of salaries and benefits, materials and supplies, travel, costs associated with student participation (i.e., tuition and fees, etc.) and indirect costs.

The ROM must be formatted as a table that summarizes projected costs per category, per year and provides the totals of both columns and rows.

o Curriculum Vitae (2.0 Page Maximum; not included in page limit): The white paper must include the abbreviated CV of the Principal Investigator. The CV will not be included in the 5-page limit of the white paper but must not exceed the 2.0 page maximum.

c. Full Proposals

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

i. Format for Technical Proposal

Paper size – 8.5 x 11 inch Margins – 1 inch Spacing – single-spaced Font – Times New Roman, 12-point Page Limit – Technical Proposal: No more than 15 single-sided pages

NOTE: The following components are excluded from the page limit

Cover page Table of contents Project Overview Responsibility Data Management Plan Bibliography & Referenced Cited

NOTE: There are no page limitations for the budget.

ii. Content

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

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

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

i. SF 424 (R&R)

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

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

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

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

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

For this NOFO, please use the following: 340 [Smith, Anthony]

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 SF 424 application to create the EDA notification profile. ONR recommends that organizations provide a global business address.

Field 7 - Type of Applicant. Complete as indicated: If the organization is a Minority Institution, select

“Other” and under “Other (Specify)” note that the institution is a Minority Institution (MI).

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

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

Field 14 – Project Director/Principal Investigator: Email address entered by the grantee on the SF 424 application to create the EDA notification profile

Field 16 - Is Application Subject to Review by State Executive Order 12372 Process? Choose “No”.

Check “Program is Not Covered by Executive Order 12372.”

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

Field 19 – Authorized Representative: Email address entered by the grantee on the SF 424 application to create the EDA notification profile.

ii. PROJECT SUMMARY/ABSTRACT

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

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

As an important note: the Project Summary/Abstract is distinct from the Project Overview described below in Field 8 of the next section.

iii. RESEARCH AND RELATED OTHER PROJECT INFORMATION

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

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

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

Federal agencies making grant or cooperative agreement awards and recipients of such awards must comply with all applicable environmental planning and regulatory compliance requirements. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. § 4321 et seq. for example, requires that agencies consider the environmental impact of “major Federal actions” prior to any final agency decision. With respect to those awards which constitute “major Federal actions,” as defined in 40 CFR 1508.18, federal agencies may be required to comply with NEPA and prepare environmental planning documentation such as an environmental impact statement (EIS), even if the agency does no more than provide grant funds to the recipient. Most field research funded by ONR, however, constitute activities covered by a NEPA categorical exclusion that do not require preparation of further environmental planning documentation.

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

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

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

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

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

NOFO Number: N0001426SF0001;

Title of proposal;

PI’s name, telephone number, and e-mail address;

PI’s institution and the institution’s MI Status;

Naval TPoC’s name, e-mail address, and Navy affiliation o Table of Contents (not included in page limit): An alphabetical/numerical listing of the sections within the proposal, including corresponding page numbers.

o Project Overview (not included in page limit): A one-page overview of the proposal. Note, the project overview is different from the Project Summary/Abstract. The overview must include a succinct discussion of the proposed research, a statement of naval relevance, and a statement of student engagement; each statement must be preceded by an appropriate heading. The discussion of the proposed research must succinctly describe the problem addressed, research objectives, proposed approach, and expected outcomes. The statement of naval relevance must describe how the proposed work will address a well-defined naval S&T challenge. The statement of student engagement must provide an overview of the number of students who will contribute to the project, distinguish whether students will be undergraduate students, graduate students, post-docs or some combination of each and discuss how students will advance implementation of the proposed work.

o Technical Approach (included in page limit): The scientific or technical concepts that will be investigated, providing the complete research plan. The technical approach must describe what is innovative about the proposed research, discuss the proposed approach in relation to alternate approaches, and describe the results, new knowledge, or insights that will result from successful completion of the project.

o Future Naval Relevance (included in page limit): A description of potential naval relevance and contributions of the effort to the agency’s specific mission.

o Goals and Benchmarks (included in page limit): An overview of the goals for the project, schedule of events, and milestones. Describe the goals of the research and the benchmarks that will be used to measure the progress and success of those goals. A Gantt chart or other summarizing visual is encouraged for this section.

o Student Engagement Strategy (included in page limit): A description of how undergraduate students, graduate students, post-docs, or some combination of each will be fully integrated into the proposed research activities, contribute to the proposed research, and advance the proposed effort. A pool of students must be identified and an explicit discussion of the expected roles, tasks, and contributions to research outcomes of each individual student should be provided. This section should explicitly state the number of students who will contribute to the project at each level.

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

o Principal Investigator Qualifications and Gold Standard Science (included in page limit): A discussion of the qualifications of the proposed Principal Investigator and their ability to implement Gold Standard Science. In addition to providing insight into the expertise and capabilities that will be critical in moving the proposed effort forward, the PI must also discuss their success in implementing Gold Standard Science in accordance with Executive Order 14303 – Restoring Gold Standard Science:

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

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

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

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

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

Describe your record of integrity and business ethics.

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

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

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

In no more than 2 pages, discuss the following:

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

o How the data will be acquired.

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

o How the data will be processed.

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

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

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

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

o Appropriate timeframe for preservation.

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

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

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

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

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

Field 11 – Equipment: Describe any equipment available or any additional equipment the application proposes to acquire at its own expense. Indicate government owned equipment that will be used. Justify the need for each equipment item and provide vendor quotes. (Additional equipment will not be provided unless the research cannot be completed by any other practical means.)

Field 12 – Other Attachments: Optional, as necessary

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

iv. RESEARCH AND RELATED BUDGET

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

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

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

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

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

Administrative and Clerical Labor – Salaries of administrative and clerical staff are normally indirect costs (and included in an indirect cost rate). Direct charging of these costs may be appropriate when a major project requires an extensive amount of administrative or clerical support significantly greater than normal and routine levels of support. Budgets proposing direct charging of administrative or clerical salaries must be supported with a budget justification which adequately describes the major project and the administrative and/or clerical work to be performed.

Fringe Benefits and Indirect Costs (Facilities and Administration (F&A), Overhead, G&A, etc.)

The proposal shall show the rates and calculation of the costs for each rate category. If the rates have been approved/negotiated by a Government agency, provide a copy of the…