Basic and Applied Scientific Research

Published on AidPage by IDILOGIC on Jun 24, 2005

Purpose of this program:

To support basic and applied research at educational or research institutions, which has a potential for leading to the improvement of naval operations, and to support training and stimulation of future researchers in science and engineering disciplines.

Possible uses and use restrictions...

Basic and applied research in the physical, mathematical, environmental, engineering and life sciences providing knowledge necessary for the Navy to make informed decisions about further exploratory development to provide the technology base from which naval capabilities are drawn. Partial support of symposia in the listed disciplines. Programs to encourage careers in science and engineering by supporting outstanding graduate, undergraduate and high school students pursuing studies in areas of naval concern. Programs to increase science and engineering graduates from under-represented minority groups. Programs providing means for universities to buy major, high-cost research equipment.

Who is eligible to apply...

Private/public educational institutions; other private/public nonprofit organizations which are operated primarily for scientific, educational, or similar purposes in the public interest, and are not organized primarily for profit. Grants cannot be awarded to individuals. Eligibility requirements for Office of Naval Research's (ONR) training and research instrumentation/ equipment programs are also described in the ONR publication "Guide to Programs".

Eligible Applicant Categories:
Eligible Functional Categories:
Credentials/Documentation

Costs will be determined in accordance with OMB Circular Nos. A-21, A-87, A-88, and A-122 and Subpart 31.2 of the Federal Acquisition Regulation applicable to commercial firms and those nonprofits exempted from OMB Circular No. A-122. The administrative requirements of OMB Circular Nos. A-102, A-110, A-128 and A-133 apply. Patents, inventions and rights in technical data and computer software are subject to 48 CFR 227 and 252, as amended, and 37 CFR 401.14.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

This program is subject to OMB Circular No. A-110. All eligible private/public educational institutions and other private/public nonprofit organizations may submit proposals in response to the relevant Broad Agency Announcement published annually in the Federal Business Opportunities (www.fedbizopps.gov) Information regarding areas of scientific interest and points of contact is contained in the ONR "Guide to Programs". Application and award procedures for ONR's training and research instrumentation/equipment programs is also contained in separate brochures describing these programs.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

Award decisions will be based on a competitive selection of proposals resulting from a peer and/or scientific review. Evaluations will use the criteria contained in the relevant Broad Agency Announcement. If selected for award, the proposal is incorporated into a grant document and the applicant agrees to perform the research described therein.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...

Deadlines

Proposals may be submitted at any time during a year period from the date of publication of the Broad Agency Announcement in the Commerce Business Daily.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

Awards may be made at any time throughout the year for which funding is authorized.

Preapplication Coordination

This program is excluded from coverage under E.O. 12372.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.

Appeals

None.

Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).

Renewals

Reapplication with new proposal is permitted.

Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

Private/public educational institutions; other private/public nonprofit organizations which are operated primarily for scientific, educational or similar purposes in the public interest, and are not organized primarily for profit. Grants cannot be awarded to individuals.

Beneficiaries
About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

Project Grants

The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.

How much financial aid...

Range and Average of Financial Assistance

$1,000 to $15,000,000. Average: $110,907.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.

Obligations

(Grants) FY 02 $470,000,000; FY 03 est $480,000,000; and FY 04 est $480,000,000.

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification

17-1319-0-1-051 (Office of Naval Research).

Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...

1. Historically Black Colleges and Universities (HBCU), and Minority Institutions (MI) Pilot Program to increase minorities trained at graduate level in mathematics, computer science, and the physical sciences; 2. partial funding of symposia on various areas of scientific research of interest to the Navy; 3. cooperative research associateship program, to provide post-doctoral scientists opportunities for research on problems compatible with the research interests of the sponsoring laboratories furthering research on problems of interest to the Navy; 4. providing funds to universities for a multidisciplinary program to provide new knowledge in science and engineering critical to defense technologies, to improve quality of defense research conducted at universities, and to strengthen the numbers and quality of students trained in science and engineering; and 5. research by a university laboratory on preservation of blood platelets in blood bank storage by freeze-drying.

About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

In fiscal year 2001, 1,200 new grants were awarded. In fiscal year 2002, it is estimated that 1,200 new grants will be awarded.

Criteria for selecting proposals...

1. Overall scientific, technical or socio-economic merits of the proposal; 2. potential contributions of the effort to the agency's specific mission; 3. the offeror's capabilities, related experience, facilities, techniques or unique combinations of these, which are integral factors for achieving the proposal objectives; 4. the qualifications, capabilities and experience of the proposed principal investigator, team leader or key personnel who are critical in achieving the proposal objectives; 5. realism of the proposed cost and availability of funds; and 6. the extent to which the cost effectiveness of the proposed research is diminished by expenditures for unproductive administrative and other overhead expenses. Academic institutions are especially encouraged to participate.

Assistance considerations...

Length and Time Phasing of Assistance

Funding will reflect period of performance and may be awarded incrementally.

Formula and Matching Requirements

This program has no statutory formula.

Note:
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...

Reports

Grantee is expected to publish or otherwise make results of work publicly available. Copies of reports are furnished by the grantee to a prescribed list of addressees (as set forth in the grant), which includes the Defense Technical Information Center. Subsequent distribution to DoD agencies and their contractors is made by DTIC on a request basis.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.

Audits

In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $300,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).

Records

Each grantee will maintain accounting records which will permit determination that the funds were used for the grant purposes.

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.

Regulations...

Authorization

Public Law 79-588, 10 U.S.C. 5150-5153; Public Law 87-651, 10 U.S.C. 2358, as amended; Public Law 97-86, 31 U.S.C. 6304.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

ONR website http://www.our.navy.mil. This site lists the points of contact within the various scientific disciplines.

Contact information...

Web Sites
Regional Or Local Office

Not applicable.

Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

Office of Naval Research, 800 North Quincy Street, Arlington, VA 22217-5000. Contact: ONR 22. Telephone: (703) 696-2570. FTS is not available.

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: