Research Initiatives at the Naval Postgraduate School

A

Registration Instructions

To apply to DoD for assistance awards you must be registered in the System of Award Management (SAM), Grants.gov and any DoD site(s) listed in this NoFO. Provided here is general information about the processes but they may change at any time during the duration of this NoFO. Please follow directions on each site for registration requirements.

Some aspects of registrations may take several weeks. Therefore, an organization's registration should be done in sufficient time to ensure it does not impact the entity's ability to meet required application submission deadlines. Note: Failure to allow enough time for the systems to complete the registration is not considered a valid explanation for an inability to apply through Grants.gov.

SAM Registration

The System for Award Management (SAM) is an official website of the U.S. government. There is no cost to use SAM. You can use this site for FREE to:

Register to do business with the U.S. government

Update or renew your entity registration

Check status of an entity registration

Search for entity registration and exclusion records

For instructions on how to register, please see:

https://sam.gov/entity-registration

Obtain a UEI number

All entities applying for funding, including renewal funding, must have a Unique Entity ID number

Grants.gov Registration

Before applying for a funding opportunity, you need to register an account with Grants.gov. Whether you are an applicant for an organization or an individual applying for grants on your own, you only need to register one account on Grants.gov.

Read the instructions below about registering to apply for funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

If individual applicants are eligible to apply for this grant funding opportunity, refer to:
https://www.grants.gov/web/grants/applicants/individual-registration.html

Organization applicants can find complete instructions here:
https://www.grants.gov/web/grants/applicants/organization-registration.html

Authorize Grants.gov Roles: After creating an account on Grants.gov, the EBiz POC receives an email notifying them of your registration and request for roles. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online anytime after you have been approved as an AOR.

For more detailed instructions about creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html

Track Role Status: To track your role request, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html

Questions relating to the Grants.gov registration process, system requirements, how an application works, or the proposal submittal process can be answered by email at support@grants.gov, telephone at (800) 518-4726 or (606) 545-5035, or at https://www.grants.gov/web/grants/support.html

How to Submit a Proposal to DoD via Grants.gov

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to:

https://www.grants.gov/web/grants/applicants/workspace-overview.html

For additional training resources, including video tutorials, refer

to: https://www.grants.gov/web/grants/applicants/applicant-training.html

NOTE: Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The applicant’s EBiz POC must designate users who are able to make legally binding commitments and submit applications on behalf of the organization by providing them the AOR role in Grants.gov; this step is often missed, and it is crucial for valid and timely submissions.

Submission Practices

Applicants are responsible for submitting their applications in sufficient time to allow them to reach Grants.gov by the date and time specified in this announcement. It is strongly recommended that applications be uploaded at least 2 days before the closing date and time. This will help avoid problems caused by high system usage or any potential technical and/or input problems involving the applicant’s own equipment. It will also allow any application errors detected by Grants.gov to be corrected in time for the application to be resubmitted. If the application is received by Grants.gov after the exact time and date specified as the deadline for receipt, it will be considered “late” and may not be considered for review.

Acceptable evidence to establish the time of receipt by Grants.gov includes documentary evidence of receipt maintained by Grants.gov, and Grants.gov e-mails to the applicant confirming receipt. These e-mails will indicate 1) the application was received on time, 2) application was rejected due to errors, 3) application was received after the deadline. Note that this Grants.gov response may occur over several e-mails, e.g., one acknowledging on-time receipt, and a later e-mail rejecting for errors the system detected. Applicants can also track the status of their applications at https://www.grants.gov/web/grants/applicants/track-my-application.html.

Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

---

Attachment B

These are DoD-specific instructions when filling out your SF-424 (R&R). If you have experience with DoD grant applications, these may be familiar to you.

Complete all required fields in accordance with the “pop-up” instructions on the SF-424 form in Grants.gov. The completion of most fields is self-explanatory.

The SF-424 must include the signature of an authorized representative from your organization. The signature is affixed electronically by Grants.gov upon submission. This signature is considered the signature for the application as a whole.

We have special instructions for completion of several SF-424 form fields in your application:

SF-424 R&R Application for Federal Assistance

SF-424 R&R Other Project Information Form

Additional Instructions for specific DoD Fields

R&R Senior/Key Person Profile (Expanded) Form: You must attach a short biographical sketch and list of significant publications for each Senior/Key Person, whether or not the individuals’ efforts under project are to be funded by DoD. You must also attach a list of current and pending support as discussed in Principal Investigator (PI), co-PI, and Senior Personnel Time including title and objectives; the percentage per year to be devoted to the other projects; the total amount of support the individual is receiving in connection to each of the other research projects or will receive if other applications are awarded; name and address of the agencies and/or parties supporting the other research projects; and period of performance for the other research projects.

Key persons are generally the PI, any Co-PIs, and senior staff. We use this information to evaluate the qualifications of you and your research team.

R&R Budget Form: You must complete the form entitled “Research & Related Budget” available on Grants.gov. You must provide all information requested. You must estimate the total research project cost. You must categorize funds by year and provide separate annual budgets for projects lasting more than one year. A budget justification must be attached. You must provide a detailed budget justification for each year that clearly explains the need for each item. The entire budget justification and supporting documentation must be combined into a single file and attached to field L of the R&R Budget Form.

You should itemize travel. State the purpose of each trip proposed, the number of trips, the number of travelers, the destination, the duration, and the basis for calculating costs such as airlines and hotels.

You should itemize materials, supplies, and equipment. List all material/equipment by type and kind with associated costs. Indicate what your costs are based on, such as vendor quotes, historical data and/or engineering estimates. You should include vendor quotes and/or catalog pricing data.

If you have any subaward(s), you should describe how you determined subaward costs were determined fair and reasonable. Your business office usually makes this determination. There are Subaward Budget forms that can be included in the Application Package Template and it will generate sub-award budgets and roll the totals into the master budget. The subaward budget should be placed in the optional forms section, and it should match the type of budget form that was used since they are programmed to work together

The Department of Defense is collecting certain demographic and career information. To enable this assessment, each application may include the Research and Related Senior/Key Person Profile (Expanded) form. Submission of this information is strictly voluntary and will not be used in any compliance or evaluation of the application.

Research and Related Senior/Key Person Profile (Expanded) form:

The Degree Type and Degree Year fields on the Research and Related Senior/Key Person Profile

(Expanded) form will be used by DoD as the source for career information. In addition to the required fields on the form, applicants must complete these two fields for all individuals that are identified as having the project role of PD/Pl or Co-PD/Pl on the form. Additional senior/key persons can be added by selecting the "Next Person" button.

Research and Related Personal Data form:

This form will be used by DoD as the source of demographic information, such as gender, race, ethnicity, and disability information for the Project Director/Principal Investigator and all other persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must include this form with the name fields of the Project Director/Principal Investigator and any Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the demographic information in the form is voluntary. If completing the form for multiple individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the "Next Person" button. The demographic information, if provided, will be used for statistical purposes only and will not be made available to merit reviewers. Applicants who do not wish to provide some or all of the information should check or select the "Do not wish to provide" option.

---

Attachment C

Attachment C: Certifications and Representations

When you check “I Agree” on the SF-424 Block 21 or the SF-424 (R&R) Block 17 you certify compliance with the following DoD requirements:

• As the duly authorized agent for my organization I certify that said organization does not require any of its employees, contractors, or subrecipients seeking to report fraud, waste, or abuse to sign or comply with internal confidentiality agreements or statements prohibiting or otherwise restricting those employees, contractors, subrecipients from lawfully reporting that waste, fraud, or abuse to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information;

• As the duly authorized agent for my organization, I certify that all key personnel have disclosed the amount, type, and source of all current and pending research support received by, or expected to be received by, the individual as of the time of the disclosure;

• As the duly authorized agent for my organization I certify that the disclosure is current, accurate, complete;

• As the duly authorized agent for my organization I agree to update such disclosure at the request of the agency prior to the award of support and at any subsequent time the agency determines appropriate during the term of the award;

• As the duly authorized agent for my organization I agree to update such disclosure at the request of the Department of Defense prior to the award of support and at any subsequent time the Department determines appropriate during the term of the award; and

• As the duly authorized agent for my organization I certify that any entity applying for such award has been made aware of the certification requirements above.

---

FOA

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

---

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
Page 2 of 42

---

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.
Page 3 of 42

---

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.
Page 4 of 42

---

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.
Page 5 of 42

---

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:
Page 6 of 42

---

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.
Page 7 of 42

---

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
Page 8 of 42

---

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
Page 9 of 42

---

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)
Page 10 of 42

---

• 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
Page 11 of 42

---

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
Page 12 of 42

---

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.
Page 13 of 42

---

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:
Stated objective(s) of the event, if distinct from project objectives
o
stated in the opening paragraph of the Technical Proposal
Statement of the need for such a gathering
o
Qualifications to Host Event:
Listing of up to three recent meetings on a closely related subject
o
carried out by the Applicant, including dates and locations
Content of Event:
Draft agenda with potential topics and potential list of participants (if
o
known)
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
o
attendees, which includes participation of groups underrepresented
in security studies (e.g., underrepresented minorities, women, and
persons with disabilities)
Event Management:
Statement of how the meeting will be conducted, how the results of
o
the meeting will be disseminated, and how the meeting will
contribute to the enhancement and improvement of the scientific
and/or educational activities
Estimated total budget for the event
o
Measurable Results Expected:
Outputs – Examples include progress reports, steering committee or
o
subcommittee meeting agendas or notes, event programs, participant
biographies, final rosters, concept paper, and conference papers
Page 14 of 42

---

Outcomes – Expected result, effect, or consequence that is
o
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.
Page 15 of 42

---

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
Page 16 of 42

---

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
Page 17 of 42

---

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
Page 18 of 42

---

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:
Page 19 of 42

---

• 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
Page 20 of 42

---

• 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.
Page 21 of 42

---

• 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)
Page 22 of 42

---

• 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. A§ 1681 Et.Seq.), the Department of Defense is collecting certain
demographic and career information to be able to assess the success rates of women
who are proposed for key roles in applications in STEM disciplines. In addition, the
National Defense Authorization Act (NDAA) for FY 2019, Section 1286, directs the
Secretary of Defense to protect intellectual property, controlled information, key
personnel, and information about critical technologies relevant to national security
and limit undue influence, including foreign talent programs by countries that desire to
exploit United States’ technology within the DoD research, science and technology,
and innovation enterprise.
The R&R Senior/Key Person Profile (Expanded) form will be used to collect the
following information for all senior/key personnel, including Project Director/Principal
Investigator and Co-Project Director/Co-Principal Investigator, whether or not the
individuals' efforts under the project are to be funded by the DoD:
• Degree Type and Degree Year fields as the source for career information.
• A list of all current projects the individual is working on, in addition to any
future support the individual has applied to receive, regardless of the source.
• Title and objectives of the other research projects.
• The percentage per year to be devoted to the other projects.
• The total amount of support the individual is receiving in connection to each of
the other research projects or will receive if other proposals are awarded.
• Name and address of the agencies and/or other parties supporting the other
research projects.
Page 23 of 42

---

• Period of performance for the other research projects.
Additional senior/key persons can be added by selecting the “Next Person” button.
Note that, although applications without these fields completed may pass Grants.gov
edit checks, if NPS receives an application without the required information, NPS may
determine that the application is incomplete and may cause it to be returned without
further review. DoD reserves the right to request further details from the applicant
before making a final determination on funding the effort. If the bio-sketch field
requires an attachment, upload the resumes.
(6) RESEARCH AND RELATED PERSONAL DATA
This form will be used by NPS as the source of demographic information, such as
gender, race, ethnicity, and disability information for the Project Director/Principal
Investigator and all other persons identified as Co-Project Director(s)/Co-Principal
Investigator(s). Each application must include this form with the name fields of the
Project Director/Principal Investigator and any Co-Project Director(s)/Co-Principal
Investigator(s) completed; however, provision of the demographic information in the
form is voluntary. If completing the form for multiple individuals, each Co-Director/Co-
Principal Investigator can be added by selecting the “Next Person” button. The
demographic information may be accessible to the reviewer, but will not be considered
in the evaluation. Applicants who do not wish to provide some or all of the information
should check or select the “Do not wish to provide” option.
SF-LLL Form. In the optional section of the application template, please complete this
form if you have reportable lobbying activities. If there is nothing to report, there is no
need to complete the form.
3. Unique Entity Identifier and System for Award Management (SAM) - All
applicants submitting proposals or applications must:
a. Be registered in SAM prior to submission (SEE ATTACHMENT A)
b. Maintain an active SAM registration with current information at all times
during which it has an active Federal award or an application under
consideration by any agency; and
c. Provide its UEI number in each application or proposal it submits to the
agency. (SEE ATTACHMENT A)
SAM may be accessed at https://www.sam.gov/SAM
4. Submission Dates and Times – See Section above, “Key Dates” for information.
5. Intergovernmental Review - Not Applicable
6. Funding Restrictions -
Page 24 of 42

---

a. Award selection notification from NPS shall not be regarded as an authorization to
begin performance or commit/expend funds. The Government is not obligated to
provide any funding until a Government Grant Officer from NAVSUP FLC San Diego
signs the respective award document. Costs incurred in advance of awarded grants
and cooperative agreements are solely the responsibility of the prospective grantee.
b. Pre-Award Costs
(1) Grants include up to ninety (90) calendar days pre-award costs in
accordance with 2 CFR 200.308(d)(4) and/or the DoD Research and Development
General Terms and Conditions, (DoD Ts&Cs).
(2) The date pre-award costs become allowable is determined by subtracting
ninety (90) days from the beginning of the period of performance listed on the
awarded grant unless your grant specifies otherwise.
(3) All costs incurred before grant award are at the recipient risk as described
in 2 CFR 200.308(d)(2). We are under no obligation to reimburse your costs if for any
reason you do not receive an award, or if your award is less than anticipated and
inadequate to reimburse your pre-award costs.
(4) Our prior written approval is required by 2 CFR 200.308(d)(2) for more
than ninety (90) days pre-award costs. Approval of more than ninety (90) days pre-
award costs will only be considered before an award is made. Requests for more
than one hundred-eighty (180) days pre-award costs will not be considered.
Your business office must request prior approval of more than ninety (90) days
pre-award costs during negotiations. This request must be in writing and include a
specific date you want us to consider.
You are responsible for documenting why pre-award costs are necessary and
essential to the effort.
If we approve your request, the date pre-award costs become allowable will be
the specific date specified in the grant document.
7. Other Submission Requirements
Grants.gov Application Submission and Receipt Procedures
NOTE: White Papers must not be submitted through the Grants.gov application
process.
1. Electronic Delivery
Page 25 of 42

---

NPS is participating in the Grants.gov initiative to provide grant community with a
single site to find and apply for grants funding opportunities. NPS encourages
applicants to submit their applications online through GRANTS.gov.
2. How to Register to Apply through Grants.gov
See ATTACHMENT A
3. How to submit an Application to the NPS via Grants.gov
White Papers must NOT be submitted through the Grants.gov application process.
White Papers should be submitted through Grants@nps.edu
All other attachments to grant applications submitted through Grants.Gov must be in
Adobe Portable Document Format. Proposals with attachments submitted in word
processing, spreadsheet, or any format other than Adobe Portable Document Format
will not be considered for award.
Grants.gov applicants can apply online using Workspace. Workspace is a shared,
online environment where members of a grant team may simultaneously access and
edit different web forms within an application. For each funding opportunity
announcement (FOA), you can create individual instances of a workspace.
Below is an overview of applying on Grants.gov. For access to complete instructions
on how to apply for opportunities, refer to:
https://www.grants.gov/web/grants/applicants/apply-for-grants.html
1) Create a Workspace: Creating a workspace allows you to complete it online and
route it through your organization for review before submitting.
2) Complete a Workspace: Add participants to the workspace, complete all the required
forms, and check for errors before submission.
a. Adobe Reader: If you decide not to apply by filling out web forms you can
download individual PDF forms in Workspace so that they will appear similar to
other Standard or NPS forms. The individual PDF forms can be downloaded and
saved to your local device storage, network drive(s), or external drives, then
accessed through Adobe Reader.
NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download
the appropriate version of the software at:
https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html
b. Mandatory Fields in Forms: In the forms, you will note fields marked with an
asterisk and a different background color. These fields are mandatory fields
that must be completed to successfully submit your application.
Page 26 of 42

---

c. Complete SF-424 Fields First: The forms are designed to fill in common
required fields across other forms, such as the applicant name, address, and
DUNS number. To trigger this feature, an applicant must complete the SF-424
information first. Once it is completed, the information will transfer to the other
forms.
3) Submit a Workspace: An application may be submitted through workspace by
clicking the Sign and Submit button on the Manage Workspace page, under the Forms
tab. Grants.gov recommends submitting your application package at least 24-48 hours
prior to the close date to provide you with time to correct any potential technical issues
that may disrupt the application submission.
4) Track a Workspace: After successfully submitting a workspace package, a
Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the
package. The number will be listed on the Confirmation page that is generated after
submission.
For additional training resources, including video tutorials, refer to:
https://www.grants.gov/web/grants/applicants/applicant-training.html
Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number
1-800-518-4726 and email at support@grants.gov. (Foreign applicants should contact
1-606-545-5035.) For questions related to the specific grant opportunity, contact the
number listed in the application package of the grant you are applying for.
If you are experiencing difficulties with your submission, it is best to call the
Grants.gov Support Center and get a number. The Support Center ticket number will
assist NPS with tracking your issue and understanding background information on the
issue.
4. Timely Receipt Requirements and Proof of Timely Submission
a. Online Submission. The applicant AOR will receive an acknowledgement of receipt
and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful
transmission of their application. Applicant AORs will also receive the official date/time
stamp and Grants.gov Tracking number in an email serving as proof of their timely
submission.
When NPS successfully retrieves the application from Grants.gov, and acknowledges
the download of submissions, Grants.gov will provide an electronic acknowledgment of
receipt of the application to the email address of the applicant with the AOR role.
Applicants using slow internet connections should be aware that transmission could
take some time before Grants.gov receives your application. Again, Grants.gov will
provide either an error or a successfully received transmission in the form of an email
sent to the applicant with the AOR role. The Grants.gov Support Center reports that
some applicants end the transmission because they think that nothing is occurring
Page 27 of 42

---

during the transmission process. Please be patient and give the system time to
process the application.
E. APPLICATION REVIEW INFORMATION
1. Evaluation Criteria.
Award decisions will be based on a competitive selection of proposals resulting from a
scientific (technical) and cost review. Evaluations will be conducted using the following
evaluation criteria:
a. Overall scientific and technical merits of the proposal, including:
i. Innovation and creativity
ii. Feasibility and appropriateness of research design and methodology
iii. Potential impact of research results
iv. Academic publication potential of research results
b. Potential expansion of knowledge about issues, technologies, and
phenomena related to national security
c. Anticipated benefits of new knowledge to the general public
d. Potential relevance to U.S. national security, the U.S. Navy, and NPS
research mission
e. The applicant’s institution’s capabilities, related experience, facilities,
techniques or unique combinations of these, which are integral factors for
achieving the proposed objectives
f. The qualifications, capabilities and experience of the proposed principal
investigator, team leader, and/or other key personnel who are critical to
achievement of the proposed objectives and must commit time and attention
to ensure success of the project.
g. Accuracy, allowability, allocability and reasonableness of the cost proposal.
h. Availability of funds.
Awards under this FOA will be made in accordance with 2 CFR 200 and DoDGARS
(DOD Grant and Agreement Regulations, Title 32/Subtitle A/Chapter I/Subchapter
C/Part 21/ Subpart C The primary basis for selecting proposals for acceptance will be
technical merit, importance to agency programs, past performance, and fund
availability. To the extent appropriate, cost realism and reasonableness will also be
considered when selecting proposals. NPS and NAVSUP FLC SD reserves the right to
request and require any additional information and documentation after it makes the
type of award instrument determination. NPS and NAVSUP FLC SD reserves the right
Page 28 of 42

---

to remove Applicants from award consideration when the parties fail to reach agreement
on award terms, conditions, and cost/price within a reasonable time, or when the
Applicant fails to timely provide requested or required additional information.
2. Review and Selection Process
a. Evaluation
Proposals will not be evaluated against each other since they are not submitted in
accordance with a common work statement. NPS’s intent is to review proposals as soon
as possible after they arrive; however, proposals may be reviewed periodically for
administrative reasons.
NPS’s scientific/technical community makes the ultimate recommendation for award of
proposals. Recommended proposals will then be forwarded to the NAVSUP FLC San
Diego Contract and Grant Awards office. Any notification received from NPS that
indicates that the Applicant's full proposal has been recommended does not ultimately
guarantee an award will be made. This notice indicates that the proposal has been
selected in accordance with the evaluation criteria stated above and has been sent to
the Contracting Department to conduct cost analysis, determine the Applicant’s
responsibility, to confirm whether funds are available, and to take other relevant steps
necessary prior to commencing negotiations with the applicant.
b. Options
The Government will evaluate options (i.e., any proposed optional research efforts
under the same grant proposal) for award purposes by adding the total cost for all
options to the total cost for the basic requirement. Evaluation of options will not obligate
the Government to exercise the options during grant performance. The Government
reserves the right to fund any options at time of award.
c. Evaluation Panel
Technical and cost proposals submitted under this FOA will be protected from
unauthorized disclosure in accordance with 2 CFR 200. The cognizant Program Officer
and/or other Government scientific experts will perform the evaluation of technical
proposals. Restrictive notices notwithstanding, one or more support contractors may be
utilized as subject-matter-expert technical consultants. However, proposal selection and
award decisions are solely the responsibility of Government personnel. Each support
contractor’s employee having access to technical and cost proposals submitted in
response to this FOA will be required to sign a non-disclosure agreement (NDA) for
Contractor Support prior to receipt of any proposal submissions. This NDA includes
third-party beneficiary language giving the submitter of proprietary information a right of
direct action against the contractor employee and/or his/her employer in the event that
the NDA is violated.
Page 29 of 42

---

3. Recipient Qualifications
a. Recipient Qualifications:
The Grants Officer is responsible for determining a
recipient’s qualification prior to award. In general, a Grants Officer will award
grants or cooperative agreements only to qualified recipients that meet the
standards at 32 CFR 22.415. To be qualified, a potential recipient must:
(1) Have the management capability and adequate financial and technical
resources, given those that would be made available through the grant or
cooperative agreement, to execute the program of activities envisioned under
the grant or cooperative agreement;
(2) Have a satisfactory record of executing such programs or activities (if a prior
recipient of an award);
(3) Have a satisfactory record of integrity and business ethics; and
(4) Be otherwise qualified and eligible to receive a grant or cooperative
agreement under applicable laws and regulations.
Applicants are requested to provide information with proposal submissions to
assist the Grants Officer’s evaluation of recipient qualification.
b. SAM: In accordance with Office of Management and Budget (OMB) guidance in
parts 180 and 200 of Title 2, CFR, in its DoD policy that DoD Components must
report and use integrity and performance information in the System for Award
Management (SAM.gov), or any successor system designated by OMB,
concerning grants and cooperative agreements as described below.
If the total Federal share will be greater than the simplified acquisition threshold
on and Federal award under a notice of funding opportunity, (see 2 CFR
200.320 Simplified Acquisition Threshold):
i. The Federal awarding agency, prior to making a Federal award with a
total amount of Federal share greater than the simplified acquisition
threshold, will review and consider any information about the applicant
that is in the designated integrity and performance system accessible
through SAM.gov (see 41 U.S.C. 2313);
ii. An applicant may review information in the designated integrity and
performance systems accessible through SAM and comment on any
information about itself that a Federal awarding agency previously entered
and is currently in the designated integrity and performance system
accessible through SAM; and
iii. The Federal awarding agency will consider any comments by the
applicant, in addition to the other information in the designated integrity
and performance system, in making a judgment about the applicant’s
integrity, business ethics, and record of performance under Federal
Page 30 of 42

---

awards when completing the review of risk posed by applicants as
described in 2 CFR 200.205 Federal awarding agency review of risk
posed by applicants.
F. FEDERAL AWARD ADMINISTRATION INFORMATION
1. Federal Award Notices
Applicants whose proposals are recommended for award may be contacted by a
Contract or Grant Specialist to discuss additional information required for award
processing. This may include representations and certifications, revised budgets or
budget explanations, certificate of current cost or pricing data, and/or other information
as applicable to the proposed award.
The notification e-mail must not be regarded as an authorization to commit or expend
funds. The Government is not obligated to provide any funding until a Government
Contracting Officer or Grants Officer, as applicable, signs the award document.
The award document signed by the Grants Officer is the official and authorizing award
instrument.
Costs incurred in advance of the awarded grants and cooperative agreements are
solely the responsibility of the prospective award recipient.
Unsuccessful applicants will be notified upon review of their proposal via an e-mail from
Grants@nps.edu to the email address they provided to inform them that NPS is unable
to support the request.
2. Post-Award Requirements
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. 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
Interim Reports: Interim performance and financial reports must be submitted at the end
of each quarter unless otherwise specified in grant award-specific terms and conditions
found in the “Special Requirements” of the grant award. Quarters are defined as 30
March, 30 June, 30 September, and 31 December. The due date for each interim report
is 30 calendar days after the close of each quarter
Interim performance reports must cover the research progress for the current reporting
period, which is defined as the first day following the end of the previous quarter until
the last day of the current quarter period. Interim financial reports must be submitted on
Page 31 of 42

---

the Standard Form 425 (SF 425), “Federal Financial Report,” including block 11
“Indirect Expense”.
3. Administrative and National Policy Requirements
a. Export Control:
Applicants should be aware of recent changes in export control laws. Applicants are
responsible for ensuring compliance with all U.S. export control laws and regulations,
including the International Traffic in Arms Regulation (ITAR)(22 CFR Parts 120 - 130)
and Export Administration Regulation (EAR) (15 CFR Parts 730 – 774), as applicable.
In some cases, developmental items funded by the Department of Defense are now
included on the United States Munition List (USML) (22 CFR Part 121) and are
therefore subject to ITAR jurisdiction. In other cases, items that were previously
included on the USML have been moved to the EAR Commerce Control List (CCL).
Applicants should address in their proposals whether ITAR or EAR restrictions apply to
the work they are proposing to perform for NPS. The ITAR and EAR are available online
at https://www.ecfr.gov/. Additional information regarding the President's Export Control
Reform Initiative can be found at https://export.gov/ecr/index.asp.
Applicants must comply with all U.S. export control laws and regulations, including
the ITAR and EAR, in the performance of any award or agreement resulting from this
FOA. Applicants shall be responsible for obtaining any required licenses or other
approvals, or license exemptions or exceptions if applicable, for exports of hardware,
technical data, and software (including deemed exports), or for the provision of
technical assistance.
b. Requirements Concerning Live Organisms:
i. Use of Animals:
The DoD policies and requirements for the use of animals in DoD-supported research
are described in the current version of DoD Instruction 3216.01, Use of Animals in DoD
Conducted and Supported Research and Training and its implementing instruction,
DHA-MSR 6025.02, “The Care And Use Of Animals In DoD Research, Development,
Test, And Evaluation (RDT&E) Or Training Programs,” the version of which is current at
the time of award. If animals are to be utilized in the research effort proposed, the
Applicant must submit a Full Appendix or Abbreviated Appendix (see Guidance link
below) with supporting documentation (such as copies of Institutional Animal Care and
Use Committee (IACUC) Approval, IACUC Approved Protocol, and most recent United
States Department of Agriculture (USDA) Inspection Report) prior to award. For
assistance with submission of animal research related documentation, contact NPS
Grant Management Specialist at grants@nps.edu.
ii. Use of Human Subjects in Research:
Page 32 of 42

---

1. Applicants must protect the rights and welfare of individuals who participate as
human subjects in research awarded pursuant to this FOA and must comply with the
requirements of the Common Rule at 32 CFR part 219 (the DOD implementation of 45
CFR part 46) and applicable provisions of DoD Instruction 3216.02, Protection of
Human Subjects and Adherence to Ethical Standards in DoD-Conducted and -
Supported Research (April 15, 2020, the DON implementation of the human research
protection program contained in SECNAVINST 3900.39E Change 1, (or its
replacement), 10 USC 980 “Limitation on Use of Humans as Experimental Subjects,”
and when applicable, Food and Drug Administration (FDA) and other federal and state
law and regulations.
2. 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
documentation of:
i. Approval from an Institutional Review Board (IRB) (IRB-approved research
protocol, IRB- approved informed consent document, documentation showing the
IRB considered the scientific merit of the research and other material considered
by the IRB); proof of completed human research training (e.g., training certificate
for the principal investigator, and institutional verification that the principal
investigator, co-investigators and research support personnel have received
appropriate training to be considered qualified to execute the research); and the
Applicant’s Department of Health and Human Services (DHHS)-issued Federal
Wide Assurance (FWA#), including notifications of any FWA suspensions or
terminations.
ii. Any claimed exemption under 32 CFR 219.104), including the category of
exemption, supporting documentation considered by the Applicant’s institution in
making the determination (e.g., protocol, data collection tools, advertisements,
etc.). The documentation shall include a short rationale supporting the exemption
determination. The IRB Chair or IRB vice Chair, designated IRB administrator or
official of the Applicant’s human research protection program, should sign this
documentation.
iii. Any determinations that the proposal does not contain activities that constitute
research involving human subjects or contains only activities that are deemed not
to be research under 32 CFR 219.102(1), including supporting documentation
considered by the Applicant’s institution in making the determination. This
documentation should be issued by the IRB Chair or IRB vice Chair, designated
IRB administrator or official of the Applicant’s human research protection
program.
iv. Documentation must be submitted to the NPS Human Research Protection
Official (HRPO), by way of the NPS Grants Management Specialist at
grants@nps.edu. The HRPO retains final judgment on whether the
documentation satisfies the use of human subjects in research requirements. For
assistance with submission of human subject research related documentation,
contact the NPS Human Research Protection Official (HRPO) at IRB@nps.edu.
Page 33 of 42

---

v. Grant awards and any sub awards or modifications will include a statement
indicating successful completion of the HRPO review. Research involving human
subjects must not be commenced under any contract award or modification or
any subcontract or grant sub award or modification until awardee receives
notification from the Contracting or Grants Officer that the HRPO has approved
the assurance as appropriate for the research under the award or modification
and that the HRPO has reviewed the protocol and accepted the IRB approval or
determination for compliance with Federal, DoD and DON research protection
requirements. The Government will not reimburse or otherwise pay for work
performed in violation of this requirement. See 32 CFR 219.
c. Biosafety and Biosecurity Requirements: Applicants must comply with applicable
provisions of the current version of DODM 6055.18, Safety Standards for
Microbiological and Biomedical Laboratories, including ensuring compliance with
standards meeting at least the minimum applicable requirements of the current edition
of Centers for Disease Control and Prevention, “Biosafety in Microbiological and
Biomedical Laboratories (BMBL),” and National Institutes of Health, “The NIH
Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules
(NIH Guidelines).”
d. Research Involving Recombinant (rDNA) or Synthetic Nucleic Acid
Molecules: Applicants must not begin performance of research within the scope of
“The NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid
Molecules (NIH Guidelines)” until receiving notice from the Contracting or Grants
Officer that NPS has reviewed and accepted the Applicant’s documentation. In order
for NPS to accomplish that review, an applicant must provide the Contracting or
Grants Officer, generally as part of an original proposal prior to award, sufficient
documentation to enable the review, including:
(1) A written statement that the Applicant complies with NIH Guidelines. This
statement should be made by an official of the institution other than the Principal
Investigator and should be on university or company letterhead.
(2) Evidence demonstrating that the proposed research protocol has been
approved (or determined exempt from the NIH Guidelines) by an Institutional
Biosafety Committee (IBC); and a copy of the Department of Health and Human
Services (DHHS) Letter of Approval of the IBC, or the most recent letter from
DHHS stating the IBC is in compliance with the NIH Guidelines. For assistance
with requirements involving countries outside the United States, please contact
the NPS HRPO at (831) 656-2998.
e. Institutional Dual Use Research of Concern: As of September 24, 2015, all
institutions and United States Government (USG) funding agencies subject to the
United States Government Policy for Institutional Oversight of Life Sciences Dual Use
Research of Concern must comply with all the requirements listed therein. If your
research proposal directly involves certain biological agents or toxins, contact the
Page 34 of 42

---

cognizant Technical Point of Contact. U.S. Government Science, Safety, Security (S3)
guidance may be found at https://www.phe.gov/s3/dualuse/Documents/durc-policy.pdf
f. Department of Defense High Performance Computing Program: The DoD High
Performance Computing Program (HPCMP) furnishes the DoD S&T and RDT&E
communities with use-access to very powerful high performance computing systems.
Awardees of NPS grants and other assistance instruments may be eligible to use
HPCMP assets in support of their funded activities if NPS Program Officer approval is
obtained and if security/screening requirements are favorably completed. Additional
information and an application may be found at https://www.hpc.mil/
g. Federal Funding Accountability and Transparency Act of 2006:
The Federal Funding Accountability and Transparency Act of 2006 (Public Law 109-
282), as amended by Section 6202 of Public Law 110-252 and expanded by the Digital
Accountability and Transparency Act of 2014 (Public Law 113-101), requires that all
agencies establish requirements for recipients reporting information on sub awards and
executive total compensation as codified in 2 CFR Part 170. Any company, non-profit
agency or university that applies for financial assistance (either grants, cooperative
agreements or TIAs) as either a prime or sub-recipient under this FOA must provide
information in its proposal that describes the necessary processes and systems in place
to comply with the reporting requirements identified in 2 CFR Part 170 Appendix A.
Entities are required to meet reporting requirements unless an exception or exemption
applies. Please refer to 2 CFR Part 170, including Appendix A, for a detailed
explanation of the requirements, exceptions, and exemptions.
h. Certification regarding Restrictions on Lobbying:
Grant awards greater than $100,000 require a certification of compliance with a national
policy mandate concerning lobbying. Grant applicants shall provide this certification by
electronic submission of SF424 (R&R) as a part of the electronic proposal submitted via
https://www.grants.gov . The following certification applies likewise to each grant
seeking federal assistance funds exceeding $100,000:
(1) No Federal appropriated funds have been paid or will be paid by or on behalf of the
applicant, to any person for influencing or attempting to influence an officer or employee
of an agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
Page 35 of 42

---

agency, a Member of Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with the Federal contract, grant, loan, or
cooperative agreement, the applicant shall complete and submit Standard Form-LLL,
“Disclosure Form to Report Lobbying,” in accordance with its instructions.
(3) The applicant shall require that the language of this certification be included in the
award documents for all sub awards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all sub recipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any
person who fails to file the required certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
By checking “I Agree” on the SF 424 (R&R), you agree to abide by the following
statement: “By signing this application, I certify (1) to the statements contained in the list
certifications and (2) that the statements herein are true, complete and accurate to the
best of my knowledge. I also provide the required assurances and agree to comply with
any resulting terms if I accept an award. I am aware that any false, fictitious, or
fraudulent statements or claims may subject me to criminal, civil, or administrative
penalties. (U.S. code, Title 218, Section 1001).
The certification reads as follows:
By submission of its proposal or application, the applicant represents that it does not
require any of its employees, contractors, or sub recipients seeking to report fraud,
waste, or abuse to sign or comply with internal confidentiality agreements or statements
prohibiting or otherwise restricting those employees, contractors, sub recipients from
lawfully reporting that waste, fraud, or abuse to a designated investigative or law
enforcement representative of a Federal department or agency authorized to receive
such information.
i. Code of Conduct:
Applicants for assistance are required to comply with 2 CFR 200.318(c), Codes of
Conduct, to prevent real or apparent conflicts of interest in the award and administration
of any contracts supported by federal funds. This provision will be incorporated into all
assistance instruments awarded under this FOA.
j. Peer Review
In the case of proposals funded as basic research, NPS may utilize peer reviewers from
academia, industry, and Government agencies to assist in the periodic appraisal of
performance under the awards. Such periodic peer reviews monitor the quality of
funded basic research efforts. The reviews are used in part to determine which basic
Page 36 of 42

---

research projects will receive continued NPS funding. Peer reviewers who are not U.S.
Government employees must sign nondisclosure agreements before receiving full or
partial copies of proposals and reports submitted by the basic research performers.
Applicants may include travel costs for the Principal Investigator to attend the peer
review. Peer reviews may consider information derived from individual project or
program review meetings (see FOA Section F.2.a.viii for further guidance).
l. Section 889 of the National Defense Authorization Act (NDAA) for Fiscal
Year (FY) 2019 (Public Law 115-232) prohibits the head of an executive agency from
obligating or expending loan or grant funds to procure or obtain, extend or renew an
award to procure or obtain, or enter into a Grant or Cooperative Agreement (or extend
or renew a Grant or Cooperative Agreement) to procure or obtain the equipment,
services, or prohibited systems as identified in section 889 of the NDAA for FY 2019.
(a) In accordance with 2 CFR 200.216 and 200.471, all awards that are issued on or
after August 13, 2020, recipients and sub recipients are prohibited from obligating or
expending loan or grant funds to:
(1) Procure or obtain
(2) Extend or renew a contract to procure or obtain; or
(3) Enter into a contract (or extend or renew a contract) to procure or obtain
equipment, services, or systems that uses covered telecommunications
equipment or services as a substantial or essential component of any system, or
as critical technology as part of any system. As described in Public Law 115-232,
section 889, covered telecommunications equipment is telecommunications
equipment produced by Huawei Technologies Company or ZTE Corporation (or
any subsidiary or affiliate of such entities).
(i) For the purpose of public safety, security of government facilities,
physical security surveillance of critical infrastructure, and other national
security purposes, video surveillance and telecommunications equipment
produced by Hytera Communications Corporation, Hangzhou Hikvision
Digital Technology Company, or Dahua Technology Company (or any
subsidiary or affiliate of such entities).
(ii) Telecommunications or video surveillance services provided by such
entities or using such equipment.
(iii) Telecommunications or video surveillance equipment or services
produced or provided by an entity that the Secretary of Defense, in
consultation with the Director of the National Intelligence or the Director of
the Federal Bureau of Investigation, reasonably believes to be an entity
owned or controlled by, or otherwise connected to, the government of a
covered foreign country.
(b) In implementing the prohibition under Public Law 115-232, section 889, subsection
(f), paragraph (1), heads of executive agencies administering loan, grant, or subsidy
programs shall prioritize available funding and technical support to assist affected
businesses, institutions and organizations as is reasonably necessary for those affected
entities to transition from covered communications equipment and services, to procure
Page 37 of 42

---

replacement equipment and services, and to ensure that communications service to
users and customers is sustained.
(c) See Public Law 115-232, section 889 for additional information.
COVERED FOREIGN COUNTRY means the People’s Republic of China.
3. Reporting
a. Reporting of Matters Related to Recipient Integrity and Performance.
If the Federal share of any Federal award may include more than $500,000 over the
period of performance, the post award reporting requirements, Award Term and
Condition for Recipient Integrity and Performance Matters (2 CFR Part 200 Appendix
XII), are applicable as follows:
1. General Reporting Requirement. If the total value of your currently active grants,
cooperative agreements, and procurement instruments from all Federal awarding
agencies exceeds $10,000,000 for any period of time during the period of performance
of this Federal award, then you as the recipient during that period of time must maintain
the accuracy of information reported to the System for Award Management (SAM). This
information available in the designated integrity and performance system (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in paragraph 2 of this award terms
and conditions. This is a statutory requirement under 41 U.S.C. 2313. All information
posted in the designated integrity and performance system on or after April 15, 2011,
except past performance reviews required for Federal procurement contracts, will be
publicly available.
2. Proceedings about Which You Must Report. Submit the information required about
each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative
agreement, or procurement contract from the Federal Government;
b. Reached its final disposition during the most recent five-year period; and
c. Is one of the following:
(1) A criminal proceeding that resulted in a conviction, as defined in
paragraph 5 of this award term and condition
(2) A civil proceeding that resulted in a finding of fault and liability and
payment of a monetary fine, penalty, reimbursement, restitution, or
damages of $5,000 or more
Page 38 of 42

---

(3) An administrative proceeding, as defined in paragraph 5. of this award
term and condition, that resulted in a finding of fault and liability and your
payment of either a monetary fine or penalty of $5,000 or more or
reimbursement, restitution, or damages in excess of $100,000; or
(4) Any other criminal, civil, or administrative proceeding if:
(i) It could have led to an outcome described in paragraph 2.c. (1),
(2), or (3) of this award term and condition;
(ii) It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part; and
(iii) The requirement in this award term and condition to disclose
information about the proceeding does not conflict with applicable
laws and regulations.
3. Reporting Procedures. Enter in the SAM Entity Management area the information that
SAM requires about each proceeding described in paragraph 2 of this award term and
condition. You do not need to submit the information a second time under assistance
awards that you received if you already provided the information through SAM because
you were required to do so under Federal procurement contracts that you were
awarded.
4. Reporting Frequency. During any period of time when you are subject to the
requirement in paragraph 1 of this award term and condition, you must report
proceedings information through SAM for the most recent five-year period, either to
report new information about any proceeding(s) that you have not reported previously
or affirm that there is no new information to report. Recipients that have Federal
contracts, grants, and cooperative agreement awards with a cumulative total value
greater than $10,000,000 must disclose semiannually any information about the
criminal, civil, and administrative proceedings.
5. Definitions. For purposes of this award term and condition:
a. Administrative proceeding means a non-judicial process that is adjudicatory in
nature in order to make a determination of fault or liability (e.g., Securities and
Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals
proceedings, and Armed Services Board of Contract Appeals proceedings). This
includes proceedings at the Federal and State level but only in connection with
performance of a Federal contract or grant. It does not include audits, site visits,
corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term and condition, means a judgment
or conviction of a criminal offense by any court of competent jurisdiction, whether
entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo
contendere.
c. Total value of currently active grants, cooperative agreements, and
procurement contracts includes—
Page 39 of 42

---

(i) Only the Federal share of the funding under any Federal award with a
recipient cost share or match; and
(ii) The value of all expected funding increments under a Federal award and
options, even if not yet exercised.
4. Conflicts of Interest
Organizational Conflicts of Interest
All Applicants, principal investigators, and proposed subcontractors shall affirm
whether they are providing scientific, engineering, and technical assistance
(SETA) or similar support to any Naval Postgraduate School (NPS) school/office,
or to the underlying sponsor of this research through an active contract or
subcontract. All affirmations shall state which office(s) the Applicant supports and
identify the prime contract numbers. Affirmations shall be furnished at the time of
proposal submission. All facts relevant to the existence or potential existence of
organizational conflicts of interest shall be disclosed. The disclosure shall include
a description of the action the Applicant has taken or proposes to take to avoid,
neutralize, or mitigate such conflict. Without prior approval, a contractor cannot
simultaneously be a SETA and a research and development performer.
Proposals that fail to fully disclose potential conflicts of interests shall be rejected
without technical evaluation and withdrawn from further consideration for award.
Post-Employment Conflict of Interest
There are criminal laws and standards of conduct regulations that may apply to
current or former Government employers/military officers who draft or assist in
the drafting of grant proposals, or are named as principal investigators/alternates
in grant proposals. See 18 United States Code (U.S.C. 203 - 207). These
restrictions may apply to reservists on active duty, or to employees who served
on a Federal Advisory Board/Council within the last 365 days, i.e. Special
Government Employees. Accordingly, Applicants submitting grant proposals are
required to identify any potential post-employment or current conflicts of interest
to the Grants Officer if a Government employee or former Government employee
(broadly defined above to include military members, Special Government
employees or reservists) participated in proposal drafting and/or is listed as a
principal investigator or alternate principal investigator.
If a prospective Applicant believes a conflict of interest exists or may exist
(whether organizational or otherwise) or has questions on what constitutes a
conflict of interest, the proposer shall send his/her contact information and
summary of the potential conflict(s) to grants@nps.edu before time and effort
are expended in preparing a proposal and mitigation plan.
Be advised that the Grants Officer reserves the right in his/her discretion to
withhold award if he/she determines after consultation with the Applicant and
Navy Legal Counsel that there is a conflict of interest or standards-of-conduct
violation, whether organizational or otherwise.
Page 40 of 42

---

5. Acknowledgement of Naval Postgraduate School (NPS) Support
NPS’s full or partial support shall be acknowledged in journal articles, books, oral
and poster presentations, news releases, interviews with reporters and other
communications. Any documents developed under an award agreement
resulting from this FOA that are intended for distribution to the public or inclusion
in a scientific, technical, or other journal shall include the following statement:
This publication was developed under research supported by the
Naval Postgraduate School No. [Insert award number] awarded by
the NAVSUP Fleet Logistics Center San Diego (NAVSUP FLC San
Diego). It has not been formally reviewed by NPS. The views and
conclusions contained in this document are those of the authors
and should not be interpreted as necessarily representing the
official policies, either expressed or implied, of NAVSUP FLC San
Diego or NPS. NAVSUP FLC San Diego and NPS do not endorse
any products or commercial services mentioned in this publication.
G. FEDERAL AWARDING AGENCY CONTACTS
Any questions regarding this announcement must be provided to the points of contact
listed below. All questions must be submitted in writing by email. The specific points of
contact for this announcement are listed below:
1. Questions of a technical nature should be submitted to:
Grants@nps.edu
2. Questions of a business nature should be submitted to:
Mr. Robbie Johnson
Contracting Specialist
Acquisition Support Directorate
Naval Postgraduate School
Email: grants@nps.edu
3. Questions regarding Grants proposal submission should be submitted to:
Ms. Christine Jordan
Grants Specialist
NAVSUP Fleet Logistics Center San Diego
Email: christine.jordan@navy.mil
Phone: 619-556-6121
Page 41 of 42

---

4. Questions or assistance needed regarding Grants.gov’s registration process,
system requirements, or submittal process should be directed to:
Grants.gov
Phone: 1-800-518-4726
Email: support@grants.gov
H. OTHER INFORMATION
Full Proposal Package:
The following documents with attachments comprise a complete Full Proposal package:
Mandatory
SF424 (R & R) [V5.0]
Attachments [V1.2]
Project Abstract [V1.2]
Research & Related Budget [V3.0]
Research and Related Senior/Key Person Profile (Expanded) [V4.0]
Research and Related Personal Data [V1.2]
Budget Excel
Optional:
Disclosure of Lobbying Activities (SF-LLL) [V2.0]
R & R Subaward Budget Attachment(s) Form [V3.0]
NOTE: Failure to provide any of the above-required documentation can result in rejection
of application package without further review.
Page 42 of 42