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Catalog of Federal Domestic Assistance

Program Descriptions

12.630:  Basic, Applied, and Advanced Research in Science and Engineering

Popular Name: 

Objectives:  To: (1) Discover new knowledge and gain better understanding in mathematical, physical, engineering, environmental, and life sciences, and other fields with good, long-term potential for contributing to technology for Department of Defense missions; (2) facilitate transition of research results to practical application for defense needs; (3) improve linkages between defense research and the civilian technology and industrial bases, to promote commercial application of the results of defense research and commercial availability of technology for defense needs; (4) foster education of future scientists and engineers in disciplines critical to defense; and (5) strengthen the infrastructure for research and related science and engineering education in those disciplines.

PROGRAM AND AWARD	FINANCIAL AND INFORMATION CONTACTS
ELIGIBILITY REQUIREMENTS	FINANCIAL AND ADMINISTRATIVE INFO.
APPLICATION AND AWARD PROCESS	INFORMATION CONTACTS
RELATED PROGRAMS	ASSISTANCE CONSIDERATIONS
PROGRAM ACCOMPLISHMENTS	POST ASSISTANCE REQUIREMENTS

12.630 ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:  As stated in individual BAAs (generally, competitions are open to private and public educational institutions that carry out science and engineering research and/or related science and engineering education on a nonprofit basis). Awards are not made to individuals.

Beneficiary Eligibility:  Beneficiaries may include individual graduate and undergraduate students (e.g., recipients of fellowships or research traineeships) in science and engineering disciplines important to defense, as well as institutions described under "Applicant Eligibility."

Credentials/Documentation:  Recipient eligibility is contingent upon submission of certifications and representations that are required by Federal statutes, executive orders, Times Vary, but award decisions are typically made within 90 to 120 days of receipt of the proposal.

12.630 APPLICATION AND AWARD PROCESS:

Preapplication Coordination:  This program is excluded from coverage under E. O. 12372.

Application Procedure:  Institutions eligible to compete may submit proposals in response to Broad Agency Announcements (BAAs) that executive agents publish in the Commerce Business Daily and circulate broadly to eligible proposers' sponsored-programs offices. Each BAA tells potential proposers what activities will be supported, in which science and engineering areas they will be supported, and how to apply.

Award Procedure:  Award decisions are based on a competitive selection of proposals, using a technical merit review. Evaluation criteria are specified in the relevant Broad Agency Announcement. If selected for award, the proposal is the basis for the award document and the applicant agrees to perform the research or research-related activities (e.g., science or engineering education or research infrastructure-building activities) described therein.

Deadlines:  Deadlines for submitting proposals are specified in the individual relevant Broad Agency Announcements.

Range of Approval/Disapproval Time:  Times vary, but award decisions are typically made within 90 to 120 days of receipt of the proposal.

Appeals:  Appeal procedures are specified by the executive agents.

Renewals:  Application for a competitive new award is permitted.

Criteria for Selecting Proposals:  Generally, the principal evaluation and selection criteria are the technical merits of the proposed research (or research-related activity) and its potential relationship in the long term to missions of the Department of Defense. Other selection criteria vary with the nature of the specific research or research-related activity. Typical examples include: Qualifications of the principal investigator and other key personnel to perform the proposed activity; adequacy of current or planned facilities and equipment to do so; and realism and reasonableness of proposed costs.

Examples of Funded Projects:  1. University research grants in areas such as: Materials degradation and fatigue; hypervelocity flow; organic superconductors; high-frequency microelectronics; biodegradation of military toxic wastes; blue-green optoelectronic emitters; robust geometric calculations; 3-D visualizations and design of large, manufactured objects; 2. augmentation grants, in conjunction with DoD contracts or grants for research performance, to provide additional research assistantships and increase the number of graduate students receiving research training through defense research; and 3. instrumentation grants, to allow the purchase of more costly items of research equipment ($50,000 and up) that can usually be funded within single-investigator research awards.

Range and Average of Financial Assistance:  $1,000 to $3,000,000; $120,000.

12.630 RELATED PROGRAMS:

• 12.300 Basic and Applied Scientific Research;
• 12.431 Basic Scientific Research;
• 12.800 Air Force Defense Research Sciences Program;
• 12.910 Research and Technology Development.

12.630 PROGRAM ACCOMPLISHMENTS:

Numerous research accomplishments and research training for more than 1,000 graduate students in science and engineering areas with a high potential for long-term benefit to defense needs (areas such as electronics and electro-optics; materials science; fluid dynamics; biotechnology; manufacturing-related research; mathematics and computer sciences; and environmental science).

12.630 FINANCIAL AND ADMINISTRATIVE INFO:

Federal Agency:  OFFICE OF THE SECRETARY OF DEFENSE, DEPARTMENT OF DEFENSE

Type of Assistance:  Project Grants (Cooperative Agreements).

Obligations:  (Cooperative Agreements) FY 99 $224,196,000; FY 00 est $220,000,000; and FY 01 est $215,000,000.

Budget Account Number:  97-0400-0-1-051.

Authorization:  10 U.S.C. 2358, as amended; 10 U.S.C. 2323; 10 U.S.C. 2391 et seq.

Regulations, Guidelines, and Literature:  See program announcements (Broad Agency Announcements) issued by executive agents.

12.630 INFO CONTACTS:

Regional or Local Office:  Not applicable.

Headquarters Office:  For information about open competitions or future opportunities, prospective proposers should contact the agents that execute the program. The executive agents are the Army Research Office (see information contacts in listing 12.431 in this Catalog); the Office of Naval Research (listing 12.300); the Air Force Office of Scientific Research (listing 12.800); and the Advanced Research Projects Agency (listing 12.910).

(See Appendix IV for more contact info.)

12.630 ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:  There are no statutory formulas. Cost-sharing or matching, if required, would be specified in the individual Broad Agency Announcement.

Length and Time Phasing of Assistance:  Funding reflects period of performance and may be awarded incrementally.

Uses and Use Restrictions:  Uses and restrictions are specified in individual program announcements (Broad Agency Announcements, or BAAs) and award documents issued by and codified regulations applicable to awards. These are submitted at the time of proposal or prior to award, as specified by executive agents.

12.630 POST ASSISTANCE REQUIREMENTS:

Reports:  Technical and financial reporting requirements are in accordance with terms and conditions of award documents and with Department of Defense implementation of applicable OMB Circular Nos. A-110 and A-102.

Audits:  Recipients are subject to audit requirements specified in award documents and in accordance with Department of Defense implementation of applicable OMB Circular Nos. A-110, A-133, and A-88.

Records:  Recordkeeping requirements are in accordance with Department of Defense implementation of 12.300; the air force office of Scientific Research (listing 12.800).