Basic Scientific Research

Number: 12.431
Agency: Department Of Defense
Office: U.s. Army Materiel Command

Program Information 

Program Number/Title (010):
12.431 Basic Scientific Research

Federal Agency (030):
ARMY RESEARCH OFFICE, ARMY MATERIAL COMMAND

Authorization (040):
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.

Objectives (050):
To support basic research that is related to or has potential for leading to the improvement of Army programs or operations.

Types of Assistance (060):
Project Grants (Cooperative Agreements).

Uses and Use Restrictions (070):
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.

Eligibility Requirements (080)

Applicant Eligibility (081):
Educational institutions and nonprofit scientific research organizations.

Beneficiary Eligibility (082):
Educational institutions and nonprofit scientific research organizations.

Credentials/Documentation (083):
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.

Application and Award Process (090)

Preapplication Coordination (091):
This program is excluded from coverage under E.O. 12372.

Application Procedures (092):
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.

Award Procedure (093):
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.

Deadlines (094):
Proposals may be submitted at any time during the indicated submission time contained in the BAA.

Range of Approval/Disapproval Time (095):
Formal proposals are normally reviewed and notification made within six
months from submission. Grant awards are usually made within three
months from notification.

Appeals (096):
Not applicable.

Renewals (097):
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.

Assistance Consideration (100)

Formula and Matching Requirements (101):
This program has no statutory formula.

Length and Time Phasing of Assistance (102):
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.

Post Assistance Requirements (110)

Reports (111):
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.

Audits (112):
In accordance with the provisions of OMB Circular No. A- 133 (Revised,
June 27, 2003), “Audits of States, Local Governments, and Non-Profit
Organizations,” non federal entities that expend financial assistance of
$500,000 or more in Federal awards will have a single or a
program-specific audit conducted for that year. Nonfederal entities
that expend less than $500,000 a year in Federal awards are exempt from
Federal audit requirements for that year, except as noted in Circular
No. A-133.

Records (113):
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.

Financial Information (120)

Account Identification (121):
97-0400-0-1-051.

Obligations (122):
FY 07 est not reported; FY 08 est not reported; and FY 09 est not reported.

Range and Average of Financial Assistance (123):
$25,000 to $1,000,000.

Program Accomplishments (130):
None.

Regulations, Guidelines, and Literature (140):
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.

Information Contacts (150)

Regional or Local Office (151) :
Not applicable.

Headquarters Office (152):
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.

Website Address (153):
http://www.amc.army.mil.

Regional or Local Office:
Not applicable.

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.

General Information

Assistance Types:
B – PROJECT GRANTS

Applicant Eligibilty:
14 – State (includes District of Columbia, public institutions of higher
education and hospitals)/42 – Higher Education (includes Research)
14 – State (includes District of Columbia, public institutions of higher education and hospitals)/66 – Science and Technology
15
– Local (includes State-designated lndian Tribes, excludes institutions
of higher education and hospitals/42 – Higher Education (includes
Research)
15 – Local (includes State-designated lndian Tribes,
excludes institutions of higher education and hospitals/66 – Science and
Technology
20 – Public nonprofit institution/organization (includes
institutions of higher education and hospitals)/42 – Higher Education
(includes Research)
20 – Public nonprofit institution/organization
(includes institutions of higher education and hospitals)/66 – Science
and Technology
21 – Other public institution/organization/42 – Higher Education (includes Research)
21 – Other public institution/organization/66 – Science and Technology
36
– Private nonprofit institution/organization (includes institutions of
higher education and hospitals)/42 – Higher Education (includes
Research)
36 – Private nonprofit institution/organization (includes
institutions of higher education and hospitals)/66 – Science and
Technology

Beneficiary Eligibilty:
14 – State, 15 – Local, 20 – Public nonprofit institution/organization, 36 – Private nonprofit institution/organization