Basic Scientific Research

Published on AidPage by IDILOGIC on Jun 24, 2005

Purpose of this program:

To support basic research that is related to or has potential for leading to the improvement of Army programs or operations.

Possible uses and use restrictions...

Basic Research in the mathematical, physical, engineering, biological and geosciences providing knowledge necessary for the Army to make informed decisions about further exploratory development to provide the technology base from which Army capabilities are drawn. Partial support of symposia in the listed disciplines. Programs to encourage careers in science and engineering by support to outstanding graduate, undergraduate and high school students pursuing studies in areas of Army 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...

Educational institutions and nonprofit scientific research organizations.

Eligible Applicant Categories:
Eligible Functional Categories:
Credentials/Documentation

The following documentation is required to be submitted with offerors proposals: Cover page and information requested thereon (ARO Form 51); Statement of Disclosure Preference (AR Form 52 or 52A); Abstract; Technical Proposal; and Cost Proposal including SF 1411. The technical portion of the proposal should contain the following: A complete discussion stating the background and objectives of the proposed work; information that will identify the magnitude of the research program currently underway by the proposed principal investigator(s) such as (i) description of the work, (ii) the annual dollar volume of the effort, (iii) the names Federal, State, local agencies or other parties presently funding the work or requested to fund such work, and (iv) a complete breakdown of the time of the principal investigator and/or co-principal investigator; brief biographical information and list of recent publications of the offeror's key personnel who will be involved in the research; type of support requested, for example, facilities, equipment, materials; names of other Federal, State, local agencies or other parties receiving the proposal and/or funding the proposed effort; statement regarding possible impact if any of the proposed effort on the environment; brief description of organization; and identity of facilities to be used for the work if appropriate for an understanding of the proposal. The cost proposal must be a complete and thoroughly documented estimate of the proposed costs of the research project.

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 organizations may submit proposals in response to ARO's general and specific broad agency announcements (BAAs) published annually or as the need arises in the Federal Business Opportunities (www.fedbizopps.gov). Information regarding areas of scientific interest and points of contact are contained in the BAAs. Application and award procedures are also contained in the BAA brochures. Pre-proposal contacts are encouraged prior to submission of a formal application.

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:

Upon receipt of a proposal, the ARO scientific staff will perform an initial review of its scientific merit and potential contribution to the Army mission and also determine if funds are expected to be available for the effort. Proposals not considered to have sufficient scientific merit or relevance to the Army's needs or those in areas for which funds are not expected to be available may be declined without further review. Proposals not declined as a result of the initial review may be subject to an extensive peer review by highly qualified scientists from within the government and leading scientists and other preeminent experts outside the government. Each proposal will be evaluated based on how the proposal relates to the overall ARO program rather than against other proposals for research in the same general area normally using the following factors: (1) overall scientific and/or technical merits; (2) military and program relevance; (3) capabilities, related experience, facilities, techniques or unique combinations of these; (4) qualifications, capabilities and experience of the proposed principal investigator, team leader or other key personnel; (5) record of past performance; and (6) reasonableness and realism of proposed costs. If selected for award, the proposal is incorporated into a grant document and the awardee 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 the indicated submission time contained in the BAA.

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

Formal proposals are normally reviewed and notification made within six months from submission. Grant awards are usually made within three months from notification.

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

Not applicable.

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

Once a grant is awarded, any follow-on research proposal is treated as a new request. Follow-on work should allow for the review time noted in the "award procedure" above.

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...

Educational institutions and nonprofit scientific research organizations.

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

$25,000 to $1,000,000.

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 $150,000,000; FY 03 est $150,000,000; and FY 04 est not reported.

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

97-0400-0-1-051.

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. Research entitled Focused Ion Beam Fabrication of Microelectronic Structures at the Massachusetts Institute of Technology; 2. research entitled Manufacturing Science Reliability and Maintainability Technology at the University of Delaware; 3. National Defense Science and Engineering Graduate Fellowship in Materials Science with Dr. Patrick T. Mather at the University of California; 4. Center of Excellence in Rotary Wing Technology at Rensselaer Polytechnic Institute; and 5. Research performed by a historically black college/university entitled Computational Methods for the Simulation of Non- Newtonian Flows at Hampton University.

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...

It is anticipated that approximately 1,200 proposals will be received, and 500 awards will be granted in fiscal year 2002.

Criteria for selecting proposals...

The criteria for selecting proposals are as indicated in the Award Procedures.

Assistance considerations...

Length and Time Phasing of Assistance

The length of time for which support is requested should be consistent with the nature and complexity of the proposed research. It is preferred that proposals submitted cover a three year period with each year proposed as a severable unit. The maximum period acceptable for a research proposal is five years. Funds are normally provided in individual grants according to a quarterly schedule of payments.

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

Quarterly financial reports (SF 272) and a final transactions report (SF 269) are required. Additionally, grants require interim technical, progress and final reports as outlined in ARO Form 18, U.S. Army Research Office Reporting Instructions; a copy of which is provided to each awardee. In addition, awardees are required to provide ARO copies of manuscripts and reprints.

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 Non-Profit Organizations," non federal 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

Recipients are required to maintain records adequate to document costs incurred. Financial records, supporting documents, statistical records and all other records pertinent to an agreement will be retained for a period of 3 years. The retention period starts from the date of the submission of the final expenditure report or, for grants that are renewed annually, from the date of the submission of the annual financial status report. The recipient will allow access to any pertinent books, documents, papers, and records of the recipient organization and their subrecipients to make audits, examinations, excerpts and transcripts.

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 Laws 79-588, 87-651, 97-86, 10 U.S.C. 5150- 5153; 10 U.S.C. 2358, as amended; 10 U.S.C. 2361; 10 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

U.S. Army Research Office Broad Agency Announcement (BAA) is available without cost from the sponsoring agency. OMB Circular Nos. A-110, A- 133, A-88, and A-21; DoD Instruction 3218.2; DoD Directive 3210.2; DoD Directive 3210.6; are applicable to the project grants.

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

Dr. George Neece, U.S. Army Research Office, ATTN: AMXRO-RT, P. O. Box 12211, Research Triangle Park, NC 27709-2211. Telephone: (919) 549-4204; DSN 832-4204.

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: