NPS FOA Announcement #N00244-26-S-NPS-F001

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)

FOR RESEARCH INITIATIVES AT THE

NAVAL POSTGRADUATE SCHOOL

Announcement Type: Initial Announcement

Deadlines

White Papers must be received no later than

13 Jan 2030

Applications must be received no later than 13 Jan 2030

Assistance Listing Number: 12.300

Key Dates: This announcement will be open to receive applications and white papers continuously until 13 Jan 2030, at which point all applications must be received.

Agency Contact: Christine Jordan, Grants

Specialist, christine.jordan@navy.mil

Date Issued: Jan 13, 2025 mailto:christine.jordan@navy.mil

TABLE OF CONTENTS

I. OVERVIEW………………………………………………………………………………………….3

A. BASIC INFORMATION ………………………………………….4

II. DETAILED INFORMATION ABOUT THE RESEARCH OPPORTUNITY……….4

A. PROGRAM DESCRIPTION…………………………………………………………4

B. FEDERAL AWARD INFORMATION…………………………………………….5

C. ELIGIBILITY INFORMATION………………………………………………………8

D. APPLICATION AND SUBMISSION INFORMATION……………………..8

E. APPLICATION REVIEW INFORMATION…………………………………….29

F. FEDERAL AWARD ADMINISTRATION INFORMATION……………….32

G. FEDERAL AWARDING AGENCY CONTACTS………………………………41

H. OTHER INFORMATION…………………………………………………………….43

I. OVERVIEW OF THE RESEARCH OPPORTUNITY

This publication constitutes a Funding Opportunity Announcement (FOA) for awards in accordance with 2 CFR 200.204 “Notices of funding opportunities.” A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued. Neither the Naval Postgraduate School (NPS) nor the Contracting Office of the Naval Supply Systems Fleet Logistics Center San Diego (NAVSUP FLC SD) will issue paper copies of this announcement. Interested parties are responsible for checking https://www.grants.gov/ for possible amendments to this FOA.

The Naval Postgraduate School (NPS) reserves the right to select and fund for award all, some, or none of the proposals received in response to this announcement. NPS provides no funding for direct reimbursement of proposal development costs. Technical and cost proposals (or any other material) submitted in response to this FOA will not be returned. It is the policy of NPS and NAVSUP FLCSD to treat all proposals as sensitive competitive information and to disclose their contents only for the purposes of evaluation. Potential grantees are on notice, however, that the Government may use contractor support personnel, with appropriate non-disclosure agreements on file, to assist in the review of technical submissions.

Awards will take the form of grants and/or cooperative agreements. Any assistance instrument awarded under this announcement will be governed by the award terms and conditions that conform to DoD’s implementation of OMB circulars applicable to financial assistance. Terms and conditions under this FOA will reflect DoD implementation of OMB guidance in 2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.”

The DoD Research and Development (R&D) General Terms and Conditions are located at:

https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

This FOA is intended for proposals related to basic and applied research, and that part of development not related to the development of a specific system or hardware procurement. This Announcement is not for the acquisition of technical, engineering, and other types of support services.

https://www.grants.gov/ https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

A. BASIC INFORMATION

1. Federal Awarding Agency:

Naval Supply Systems Command (NAVSUP) Fleet Logistics Center San Diego (FLCSD)

2. Funding Opportunity Title:

Research Initiatives at the Naval Postgraduate School

3. Announcement Type: Initial Announcement

4. Funding Opportunity Number: N00244-26-S-NPS-F001

5. Catalog of Federal Domestic Assistance (CFDA) Number: 12.300

6. Eligible Applicants: must be a “Nonprofit organization” or “Institution of Higher

Education (IHE)” consistent with the definitions at 2 CFR 200.1

7. Key Dates:

This announcement will remain open until 13 Jan 2030 or until replaced by a successor FOA. White papers and full proposals may be submitted at any time during this period. This announcement replaces N00244-22-S-NPS-F001.

Submission of Late Proposals (Applicable to White Papers and Full Proposals): The Government will not review proposals submitted after 13 Jan 2030; or after a successor to this FOA is issued, whichever occurs first.

8. Agency Contact Information: Please see section G “Federal Awarding Agency Contacts”

II. DETAILED INFORMATION ABOUT THE RESEARCH OPPORTUNITY

A. PROGRAM DESCRIPTION

The Naval Postgraduate School (NPS) is interested in receiving proposals for research initiatives that offer potential for advancement and improvement in the NPS core mission of graduate education and research. Readers should note that this is an announcement to declare NPS’s solicitation in competitive funding of meritorious research initiatives across a spectrum of science and engineering, business, politics and public/foreign policy, operational and information sciences, and interdisciplinary disciplines that are in line with the NPS’s graduate education and research mission.

Additional information on the Naval Postgraduate School’s graduate education and research mission is available at:

General Information: http://www.nps.edu/about NPS Strategic Plan: https://my.nps.edu/web/guest/strategic-plan Academic Programs: http://my.nps.edu/academics Research Programs: https://my.nps.edu/web/research/home

Prior to preparing white papers or full proposals, potential applicants are strongly encouraged to contact a NPS point of contact (POC) whose program and research efforts best match the Applicant’s field of interest. The academic and research programs links above can be used to locate an appropriate POC by exploring the information provided about faculty members in NPS’s schools, research institutes, and interdisciplinary centers and research groups.

THIS ANNOUNCEMENT IS NOT FOR THE ACQUISITION OF TECHNICAL,

ENGINEERING, AND OTHER TYPES OF SUPPORT SERVICES.

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, NPS 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 DoD contractual context, includes research performed under grants and contracts that are (a) funded by Research, Development, Test and Evaluation 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.

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.

http://www.nps.edu/about https://my.nps.edu/web/guest/strategic-plan http://my.nps.edu/academics https://my.nps.edu/web/research/ https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf

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 found at https://www.acq.osd.mil/dpap/dars/pgi/docs/National_Security_Decision_Directiv e_189.pdf

NPS 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 NPS Technical POCs to determine whether the proposed effort would constitute fundamental or non-fundamental research.

3. Funded Amount and Period of Performance

The funded amount and period of performance of each proposal selected for award will vary depending on the research area and the technical approach to be pursued by the applicant selected.

4. Instrument Type(s) Awards may take the form of grants or cooperative agreements, as appropriate.

Contracts will NOT be awarded under this FOA. Before submitting a proposal, applicants should familiarize themselves with these instrument types and the applicable regulations.

The following provides brief descriptions of potential award instrument types:

https://www.acq.osd.mil/dpap/dars/pgi/docs/National_Security_Decision_Directive_189.pdf https://www.acq.osd.mil/dpap/dars/pgi/docs/National_Security_Decision_Directive_189.pdf

5. Assistance Instruments

Grant - A legal instrument, consistent with 31 U.S.C. 6304, is used to enter into a relationship where the following hold true:

• The principal purpose is to transfer a thing of value, such as financial assistance, 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 provide 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 activities contemplated by the grant.

• No fee or profit is allowed.

Grants are distinguished from contracts in that grants provide financial assistance to recipients to conduct relatively autonomous programs of research. With grants, the award recipients bear primary responsibility for the design, management, direction, and conduct of research and exercise judgment and original thought toward attaining the scientific goals within broad parameters of the research areas proposed and the resources provided. Although grants supported by the DoD must be of general interest to and must in some way have the potential to further DoD mission(s), they must only tangentially relate to those missions. In contrast, a contract would be the appropriate instrument for direct support to meet specific DoD and NPS goals and objectives, or to improve specific defense processes, procedures, systems, or policies.

Grant proposals must also clearly define the public benefit that is anticipated to result from broad dissemination of the research results to scientific and professional communities, the private sector, civil society, non-Federal government, and/or foreign governments.

Proposals should not focus on potential benefits to the DoD, although these should be mentioned briefly in the White Paper’s Technical Concept section and the Full Proposal’s Statement of Work.

Cooperative Agreement - A legal instrument which is consistent with 31 U.S.C. 6305 and is used to enter into the same kind of relationship as a grant, except that substantial involvement is expected between the Federal Government and the recipient when carrying out the activities contemplated by the cooperative agreement. No fee or profit is allowed. This instrument type does not include “cooperative research and development agreements” as defined in 15 U.S.C. 3710a. (For information on the substantial involvement NPS expects to have in cooperative agreements, prospective applicants should contact the NPS Technical Point of Contact identified in the research area of interest.)

NAVSUP FLC SD reserves the right to determine which award instrument is appropriate, given the proposed Statement of Work.

C. ELIGIBILITY INFORMATION

1. Eligible Applicants

All responsible sources from U.S. academia, U.S. non-profit research institutions, U.S.

laboratories outside of the Federal Government, and accredited foreign universities may submit proposals under this FOA.

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

Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories, are not eligible to receive awards under this FOA.

Navy laboratories, military universities and warfare centers, as well as other Department of Defense and civilian agency laboratories also are not eligible to receive awards under this FOA and should not directly submit either White Papers or Full Proposals in response to this FOA. If any such organization is interested in research described herein, the organization should contact research@nps.edu or grants@nps.edu .

Individuals and industry are not eligible to apply and should not submit a White Paper or Full Proposal in response to this FOA.

2. Cost Sharing or Matching

Cost sharing is not expected under grants and cooperative agreements, and will not be used as a factor during the merit review of any proposal 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 at Grants.gov (www.grants.gov). Interested parties are encouraged to periodically check the website for updates and amendments.

2. Content and Format of Application Submission The proposal submission process has two stages:

I. Applicants are encouraged to submit a white paper; and

II. Applicants must submit a full proposal through Grants.gov

Applicants are highly encouraged to submit a White Paper in advance of a Full Proposal to minimize the labor and other costs associated with the production of detailed full proposals that have little chance of being selected for funding. Based on an assessment of the white papers, the responsible Research Program Officer will provide informal feedback notification to the prospective awardees to encourage or mailto:research@nps.edu mailto:grants@nps.edu http://www.grants.gov/ discourage submission proposals. The Research Program Officer may also, on occasion, provide feedback encouraging re-work to strengthen a proposal.

All proposals should describe how the research would advance knowledge in the field of study, enhance understanding, and have the potential to provide a direct benefit to the public.

White papers and full proposals submitted under this FOA are required to be unclassified. The research proposed is also required to be unclassified. No classified proposals shall be submitted.

All proposal 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.

IMPORTANT NOTE: Titles given to the White Paper and Full Proposal should be descriptive of the activities proposed and not be merely a copy of the title of this FOA.

I. CONTENT AND FORMAT OF WHITE PAPERS

i. White Paper Submission

DO NOT submit white papers via Grants.gov. Only submissions made via email to NPS will be considered. The white paper must be sent as an email attachment directly to grants@nps.edu . The email’s subject line must read: “N00244-26-S-NPS-F001, White Paper Submission.”

If the Applicant has not identified an NPS TPOC, send the White Paper to grants@nps.edu. The White Paper must be a Microsoft Word or Adobe PDF document attachment to the email. White Papers may be submitted at any time during the open period of this FOA. A separate White Paper is required for each research proposal.

ii. White Paper Format

• Paper Size – 8.5 x 11 inch paper

• Margins – 1 inch

• Spacing – single or double-spaced

• Font – Times New Roman, 12 point

• Page limit – 5 pages, single-sided pages (excluding cover page, abstract, and resumes/curriculum vitae/bios). White papers exceeding the page limit will not be evaluated

• Only Microsoft Word or Adobe PDF file format

iii. White Paper Content

Cover Page – The Cover Page must be labeled “WHITE PAPER,” and include:

• FOA number: N00244-26-S-NPS-F001

• Proposed project title, descriptive of the topic or question to be researched

• If the proposal is for a grant or a cooperative agreement

• Proposed length of project in months

• State if the applicant is an eligible non-profit

• Name of Applicant’s administrative point of contact with title, telephone number(s), facsimile number, and email address listed

• Applicant’s technical point of contact (Principal Investigator) with title, telephone number(s), facsimile number, and email address listed

• The NPS’s Principal Investigator’s point of contact information, name, title, telephone numbers, and email address

• Signature and printed name of an authorized officer of the Applicant’s institution

Technical Concept – This brief project description should include:

• Research objective, including the problem the proposed research will address

• Assessed need and importance

• Summary of key background research to inform the proposed project

• Research design/methodology

• Anticipated results

• Anticipated public benefits beyond the needs of the Departments of Defense or Navy. For example, the results of drone research can be used by the agricultural, marketing, resource management, and public safety sectors of society to provide better goods and services to the public. Please contact NPS if you are unsure what is meant by public benefit or purpose.

• Sample of references from the scientific literature used to inform the study

• Names and titles of all investigators and key personnel, including any doctoral students, if known

• General schedule of activities

• Rough cost estimate (total amount only)

• Identification of any Organizational Conflict(s) of Interest (if any)

• Identification of anticipated human or animal subject research

II. CONTENT AND FORMAT OF FULL PROPOSALS SUBMISSION

i. Full Proposals:

Prospective offerors 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).

ii. Full Proposal Format:

• Paper Size – 8.5 x 11 inch paper

• Margins – 1 inch

• Spacing – single spaced

• Font – Times New Roman, 12 point

• Page limit - Technical Proposal is limited to no more than 40 single-sided pages.

NOTE: The following components are excluded from the 40-page limit:

- Cover page

- Table of Contents

- Curriculum Vitae (CV)

- Letter of support,

- Cited references,

- Current/pending project submissions

• There are no page limitations to the Budget Justification

• Budget shall include an excel spreadsheet that is unlocked with unhidden formulas that addresses each proposed cost element (i.e..

personnel, materials, equipment, indirect rates, etc.)

REQUIRED FORMS:

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

(2) Project/Abstract https://www.grants.gov/web/grants/forms.html https://www.grants.gov/web/grants/forms/r-r-family.htmL

The project summary/abstract must identify the research problem and objectives, technical approaches, anticipated outcome of the research, if successful, and impact on DoD capabilities. Use only characters available on a standard QWERTY keyboard.

Spell out all Greek letters, other non-English letters, and symbols. Graphics are not allowed and there is a 4,000-character limit including spaces.

Do not include proprietary or confidential information. The project 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

There is a separate form for uploading your project abstract.

(3) RESEARCH AND RELATED OTHER PROJECT INFORMATION

• Each proposal must address human subject involvement in the research by completing the R&R Other Project Information form. For proposals containing activities that include or may include “research involving human subjects” as defined in DoDI 3216.02, prior to award, the Applicant must submit the documentation under “Use of Human Subjects in Research”.

• Vertebrae Animal Use: Each proposal must address animal use protocols by completing the R&R Other Project Information form. If animals will be utilized in the research effort proposed, the applicant must submit the documents described under “Use of Animals”.

• 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 NPS, however, constitute activities covered by a NEPA categorical exclusion that do not require preparation of further https://dodgrantawards.dtic.mil/grants 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.

• 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 the “attachments” form. To attach a Project Narrative click on “Add Attachment” and attach the technical proposal as a single PDF file.

• Cover Page: This must include the words “TECHNICAL PROPOSAL” at the top and the following information:

• FOA number: N00244-26-S-NPS-F001;

• Title of Proposal;

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

• Technical contact (name, title, address, phone/fax, email address);

• Administrative/business contact (name, address, title, phone/fax, email address);

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

• Total proposed budget.

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

Technical Approach: Describe the scientific or technical concepts that will be investigated, providing the complete research plan. Describe what is innovative about the proposed approach. Provide the proposed approach compared to alternate approaches other researchers in this field have taken.

Given the successful completion, describe the results, new knowledge, or insight.

A research description clearly detailing the scope and objectives of the effort and the technical approach. The proposed technical statement of work (SOW) may be incorporated as an attachment to the resultant award instrument.

Thus, full proposals must include a severable, stand-alone work plan without any proprietary restrictions or controlled unclassified information.

A major portion of the proposal should consist of a clear description of the proposed technical approach. This discussion should provide the technical foundation and justification for pursuing this particular approach and why one would expect it to enable the research objectives of the proposal to be met.

Within the technical approach, include a detailed list of the research tasks and subtasks organized chronologically.

If the SOW is proposing a conference, symposium, workshop, or strategic dialogue as part of the research methodology, the SOW must describe the need for such a gathering and how the meeting results are expected to support the project objective.

For Statements of Work proposing conferences, symposia or workshops as a part of its research methodology, the SOW must include the following information:

Event Rationale:

o Stated objective(s) of the event, if distinct from project objectives stated in the opening paragraph of the Technical Proposal o Statement of the need for such a gathering

Qualifications to Host Event:

o Listing of up to three recent meetings on a closely related subject carried out by the Applicant, including dates and locations

Content of Event:

o Draft agenda with potential topics and potential list of participants (if known) o Location and probable date(s) of the meeting o Reason(s) for event location o Plan for recruitment of and support for speakers and other attendees, which includes participation of groups underrepresented in security studies (e.g., underrepresented minorities, women, and persons with disabilities)

Event Management:

o Statement of how the meeting will be conducted, how the results of the meeting will be disseminated, and how the meeting will contribute to the enhancement and improvement of the scientific and/or educational activities o Estimated total budget for the event

Measurable Results Expected:

o Outputs – Examples include progress reports, steering committee or subcommittee meeting agendas or notes, event programs, participant biographies, final rosters, concept paper, and conference papers o Outcomes – Expected result, effect, or consequence that is anticipated from the event as related to programmatic goals and objectives.

• Project Schedule and Milestones: A table summarizing the schedule of research and reporting activities and milestones. Because the date of award is not known at time of application, we recommend a “month 1,” “month 2,” or “quarter 1,” “quarter 2” format, as opposed to naming specific months and dates.

• Reports: The following are required reports that are provided under grant-funded research efforts (do not include software, prototypes, hardware as deliverables). The reports must be prepared and submitted in accordance with the procedures contained in the award document.

• Technical and financial progress reports, quarterly

• Presentation materials

• Technical and financial reports, final

• Patent report, final

• Additional reports based upon the research conducted

• Public Purpose: For all types of research, include a concise statement of how the proposed research supports or stimulates a public purpose, rather than providing a specific benefit to DoD/DoN. The public benefits statement is an important part of the evaluation and award process.

• Management Approach: A discussion of the overall approach to the management of this effort, including brief discussions of required facilities;

relationships with any sub awardees and with other organizations; availability of personnel; and planning, scheduling and control procedures.

Describe the facilities available for the accomplishment of the proposed research and related education objectives. Describe any capital equipment planned for acquisition under this program and its application to the proposed research. If possible, budget for capital equipment should be allocated to the first budget period of the grant. Include a description of any government furnished equipment/hardware/software/information that are required for the proposed effort.

Describe in detail proposed sub awards to the other eligible universities or with other eligible institutions. If sub awards to other universities are proposed, make clear the division of research activities, to be supported by detailed budgets for the proposed sub awards.

Briefly describe the research activities of the Principal Investigator (PI) and co-investigators in on-going and pending research projects, the time charged to each of these projects, and their relationship to proposed effort.

Detail should be included in the individual CVs. Provide percentage of the PI’s time, which will be allotted to this research project by year, and the percentage of his time, which is specifically committed or obligated to other activities (e.g. teaching, other grants, contracts, consultancies).

Describe plans to manage the interactions among members of the proposed research team.

• Curriculum Vitae (CV): Include curriculum vitae of the Principal Investigator and key co-investigators. Please utilize the Senior/Key persons (Expanded) form to complete this.

• Applicant Qualifications: A discussion of previous accomplishments and research by the Applicant’s institution in this or closely related areas; and a discussion of the qualifications of the proposed Principal Investigator and other key personnel. Brief curricular vitae are to be attached separately in Grants.gov.

• Statement of Research Status: Concise statement that identifies whether the proposed research is a follow-on effort from a prior NPS award, and if so, describes how the proposed project extends or enhances the prior effort.

Identify whether applicants have received prior awards through the Naval Postgraduate School, and if so, give the status of all deliverables for those awards.

• Current and Pending Project and Proposal Submissions: Principal Investigators and Key Personnel 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 must provide the following information of any related proposal submissions from whatever sources (e.g., NPS, Federal, state, local or foreign government agencies; public or private foundations; and industrial or other commercial organizations). The following information must be provided for proposals already submitted or submitted concurrently to other possible sponsors, including NPS. Concurrent submission of a proposal to other organizations will not prejudice its review by NPS.

Include the following for any funded research projects that take or will take the Principal Investigator’s time or that of any other Key Personnel, even if they receive no salary support from the project(s).

1. Title of proposal and summary

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

3. Percentage effort devoted to each project;

4. Identify of prime applicant and complete list of sub awards, if applicable;

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

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

7. Period of performance (differentiate basic effort from any proposed optional efforts);

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

9. Total award amount for the entire 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

10. State how the project(s) is/are related to the proposed effort and indicate degree of overlap.

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

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

2. 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.

3. 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.

4. Describe your record of integrity and business ethics;

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

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

• Facilities & Equipment – Describe facilities available for performing the proposed effort and any additional facilities or equipment the organization proposes to acquire at its own expense. Indicate government-owned facilities or equipment item. (Additional facilities and equipment will not be provided unless the proposed effort cannot be completed by any other practical means.)

(4) 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 FOA on the Grants.gov web site located at https://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.

In addition to a narrative, applicants shall include as part of their cost proposal a spreadsheet showing calculations, unit price, and number of units in more detail than is possible in the required Standard Form (SF) Research and Related (R&R) Budget Form. However, inclusion of a more detailed spreadsheet is not a substitute for a detailed narrative that explains calculations, justifies inclusion of budget items, and states the basis for the amounts listed. Nor it is a substitute for the required Standard Form Research & Related Budget Form found at Grants.gov.

Notional Schedule. The following provides notational schedule to determine proposed period of performance and associated budget for Grant submissions.

Once a White Paper has been reviewed, and the Grantee has submitted a package on Grants.gov, NPS will notify NAVSUP FLC San Diego when funding will be available for the application/research project. Funding should arrive at NAVSUP FLC San Diego 120 days BEFORE Period of Performance start date.

Example: The desired period of performance start date is Jan 01 on a given year.

Applications should be prepared and submitted by the Grantee on Grants.gov NLT August 01 the year prior, and funding should be received at NAVSUP FLC San Diego NLT 01 Oct the year prior.

This allows for an administrative lead time of 120 days for evaluation and award of proposal for a grant or cooperative agreement.".

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 and labeled “Budget Justification” of the Research and Related Budget form. Click “Add Attachment” to attach.

The Budget Justification, which is a narrative explaining and justifying the budget figures in detail, must include all figures, calculations, and supporting documentation for determining cost allowability, allocability, and reasonableness. Justifications for costs must be explicitly stated.

Costs proposed must conform to the following principles and procedures:

• Educational Institutions: 2 CFR 200 - Uniform Guidance, Subpart E

• Non-Profit Organizations: 2 CFR 200 – Uniform Guidance, Subpart E* *For those Non-Profit Organizations specifically exempt from the provisions of Uniform Guidance, 2 CFR 200 Subpart E, these entities must operate under Federal Cost principles applicable to for-profit entities located at 48 CFR 31.2.

The budget cost proposal narrative must provide appropriate justification and supporting documentation for each element of cost proposed as described below:

• Direct Labor: Individual labor categories or persons, with associated percent of annual effort and unburdened direct labor rates by annual salary (alternatively, number of total hours and hourly rate may be provided). If proposal period crosses fiscal years, then provide escalation rates for each fiscal year period. Clearly state any escalation rates used in calculations.

Provide supporting documentation verifying individual labor rates for each known individual; this may include a recent payroll receipt for individuals or a signed statement of salary rate or hourly rate and level of appointment from the Applicant’s Sponsored Programs Office or Human Resources Office. For persons yet to identified, provide general tables or schedules by labor category, which labor category will be used, and why that labor category is appropriate.

• 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: The Cost Proposal narrative must include the rates and calculations of the costs for each labor category/person, the salary amounts to which they are applied, and the sum total for each labor category/person.

If the rates have been approved/negotiated by a Government agency, provide a copy of the memorandum/agreement. This is usually referred to as a NICRA (Negotiated Indirect Cost Rate Agreement) letter. If the rates applied are composition rates, or the rates have not been approved/negotiated, provide sufficient detail to enable a determination of allowability, allocability, and reasonableness of the allocation bases, and how the rates are calculated according to applicable 2 CFR 200 - Uniform Guidance. Applicable rates must be broken out by each budget year and clearly identify bases used.

• Travel: The proposed travel cost must include the following for each trip:

• The purpose of the trip/how it supports the research objectives

• Origin and destination, if known (origin is typically known; if destination is unknown, state basis for estimating travel costs)

• Estimated duration

• Number of travelers

• Estimated cost per trip

The costs must be justified based on the organization’s 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.

Explain why travel is a necessary and/or cost-effective component of the technical approach/methodology, as well as why the travel destination was chosen, if known.

Provide a copy of applicant institution’s travel policy. Provide documentation for proposed airfare costs (such as internet quotes from a travel website).

If hosting a workshop or other type of meeting for which participant travel costs are requested in the budget, outline those costs here, including best estimates for origin and destination, approximate duration, number of travelers, and estimated cost per trip. If available, include a tentative agenda and roster of participants by organizational affiliation. If not available, state how many participants are anticipated from the U.S. Government and how many from outside the U.S. Government.

Funds provided cannot be used for payment to any Federal Government employee for support, subsistence, or services in connection with participation at a meeting sponsored through this award.

• Sub awards/Subcontracts: Sub awards (typically a grant or cooperative agreement from the prime Applicant to another institution but may include a subcontract) should be utilized only when the Applicant deems them necessary for achieving the project objectives. Provide a description of the work to be performed by the sub recipient/subcontractor. For each sub award, a detailed cost proposal is required by the sub recipient and must be included in the proposal by the prime Applicant.

Alternatively, the proposed subawardeeʼs or subrecipientʼs cost proposal can be provided via email directly to the NPS General POC at grants@nps.edu at the same time the prime proposal is submitted. The email must identify the proposal title, the prime Applicant, and that the attached proposal is either a sub-contract or a sub-agreement. This proposal and supporting documentation must be received and reviewed before the Government can complete its cost analysis of the prime Applicant’s proposal and enter into negotiations.

Provide specific information as follows:

• Description of the work to be performed

• If known, the identification of the proposed sub-awardee and an explanation of why and how the sub-awardee was selected or will be selected

• The identification of the type of award to be used (grant, contract, cost reimbursement, fixed price, etc.)

• Whether or not the award will be competitive and, if noncompetitive, rationale to justify the absence of competition

• A detailed cost summary

• Consultants: Applicants are expected to utilize the services of their own staff to the maximum extent possible in managing and performing the project’s effort. If the need for consultant services is anticipated, the nature of the proposed consultant services must be justified and included in the Technical Proposal.

The Cost Proposal must include the name of the consultant(s), primary organizational affiliation, each individual’s expertise, and a breakdown of the consultant’s hours, the hourly rate proposed, and any other proposed consultant costs, such as estimated travel costs and per diem rates. Provide 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 not already separately identified in the prime contractor’s proposal.

• Materials & Supplies: Provide an itemized list of proposed materials and supplies including quantities, unit prices, proposed vendors (if known), and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists). Include supporting documentation for the estimates. Provide a copy of your organization’s purchasing policy/processes.

• 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 as well as the basis for them and supporting documentation for the estimate (e.g., quotes, prior purchases, catalog price lists).

Allowable items normally would be 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, office equipment and furnishings, etc.) should not be requested unless they will be used primarily or exclusively for the project. For computer/laptop purchases and other general-purpose equipment, if proposed, include a statement indicating how each item of equipment will be integrated into the program or used as an integral part of the research effort.

• Other Direct Costs: Provide an itemized list of all other proposed direct costs such as graduate assistant tuition, laboratory fees, report and publication costs, and the basis for the estimate (e.g., tuition schedules, quotes, prior purchases, catalog price lists). In addition to stating the basis for the cost estimates, include supporting documentation where possible.

If the technical approach includes a hosted conference, workshop, dialogue, or other type of meeting, include the estimated costs of the meeting venue. Describe how the venue will be selected, by what criteria, and what will be requested in the conference package. To support cost estimates, include past venue invoices or initial quotes from likely venues. In rare instances, meals may be provided to participants and funded with grant funds if they are essential to the workshop goals and objectives;

however, and to repeat, the payment of meals as part of a workshop should be the exception, not the rule. To use federal grant money, the applicant must justify the expenditure as a research necessity and the meals or refreshments must be part of a working session.

If honoraria will be offered to workshop participants, provide the unit cost and expected number of honoraria. State the basis for the cost estimate, such as experience hosting similar events with similar caliber of presenters in the past, or honoraria received by the Principal Investigator for a similar research presentation.

Government participants may not receive honoraria.

• Indirect Costs (i.e., F&A, Overhead, G&A, etc.): Describe the rates and calculation of the costs for each rate category, listing the base on which the rate is applied. If the rates have been approved/negotiated by a Government agency, provide a copy of the memorandum/ agreement.

IAW 2 CFR 200.414(f), any non-Federal entity that has never received a negotiated indirect cost rate, except for those non-Federal entities described in Appendix VII to 2 CFR 200, may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely.

If the rates have not been approved/negotiated, provide sufficient detail to enable a determination of allowability, allocability and reasonableness of the allocation bases, and how the rates are calculated according to applicable OMB Circulars or 2 CFR 200, Uniform Guidance, Subpart E

Applicant’s disclosure should be sufficient to permit a full understanding of the rate content and how it was established. At a minimum, the submission should identify:

• All individual cost elements included in the forecast rate(s)

• Bases used to prorate indirect expenses to cost pools, if any

• How the rate(s) was calculated

• Distribution basis of the developed rate(s)

• Bases on which the overhead rate is calculated, such as “salaries and wages” or “total costs”

• The period of the Applicant's fiscal year.

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

• Fee/Profit: Fee/profit is unallowable under grants or cooperative agreements at either the prime or sub award level but may be permitted on any subcontracts issued by the prime awardee.

NOTE: Failure to adequately provide detailed cost data may result in your application subsequently being rejected. All Applicants are required to submit a thoroughly detailed cost breakdown. The FLC San Diego Grant Officer must be able to determine that all proposed costs are allocable, allowable and reasonable. A detailed budget and budget narrative will facilitate this cost analysis.

(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.