BROAD AGENCY ANNOUNCEMENT
NAICS CODE: 541712
FEDERAL AGENCY NAME: Department of the Air Force, Air Force Materiel Command,
AFRL – Rome Research Site, AFRL/Information Directorate, 26 Electronic Parkway,
Rome NY 13441-4514
BROAD AGENCY ANNOUNCEMENT (BAA) TITLE:
Centers of Excellence: Autonomy, Cyber Security, Research Data
Analysis at Historically Black Colleges and Universities and Other
Minority-Serving Institutions of Higher Education
BAA NUMBER: RIK-2014-0008
FISCAL YEAR 2014
This BAA is issued by the Air Force Research Laboratory/Information Directorate on
behalf of the Assistant Secretary of Defense for Research and Engineering (Research
Directorate/Basic Research Office)
Issued: May 1, 2014
Applications Due: July 22, 2014
BROAD AGENCY ANNOUNCEMENT
OVERVIEW INFORMATION
The Air Force Research Laboratory, on behalf of the Office of the Assistant Secretary of Defense for
Research and Engineering (OASD(R&E)), is seeking unclassified, basic research proposals from
Historically Black Colleges and Universities and other Minority-Serving Institutions of higher
education (HBCUs/MIs) to establish Centers of Excellence in the areas of autonomy, cyber security,
and research data analysis. These Centers are a joint project of OASD(R&E), the Air Force, the Army,
and the Navy. The Centers will advance the state of the art and increase the research capabilities of
HBCUs/MIs. They also will contribute to the education of students in science, technology, engineering,
and mathematics (STEM) disciplines, and provide additional research opportunities for faculty. This
broad agency announcement (BAA) is expected to result in the award of three 5-year cooperative
agreements, one each in autonomy, cyber security, and research data analysis.
1. Agency Name(s)
This Department of Defense (DoD) program is administered by the Air Force Research
Laboratory on behalf of the Office of the Assistant Secretary of Defense for Research and
Engineering (OASD(R&E)).
2. Funding Opportunity Title
Centers of Excellence: Autonomy, Cyber Security, and Research Data Analysis at Historically
Black Colleges and Universities and Other Minority-Serving Institutions of Higher Education
3. Announcement Type
Broad Agency Announcement. This is the initial announcement.
4. Funding Opportunity Number
RIK-2014-0008
5. Catalog of Federal Domestic Assistance (CFDA) Number
12.630, Basic, Applied, and Advanced Research in Science and Engineering
6. Response Date
Applications must be received by 3:00PM Eastern Time, July 22, 2014 to be considered. White
papers are not required and will not be reviewed.
A. Additional Overview Information
The OASD(R&E) issued a Call for Description of Research Capabilities on October 17, 2013 and,
after reviewing the responses, has determined that it is feasible to proceed with this BAA. Any
HBCU or MI (see Section III.1, Eligibility Information – Eligible Applicants) may apply under this
BAA even if it did not respond to the Call for Description of Research Capabilities.
1
FULL TEXT OF ANNOUNCEMENT
I. Funding Opportunity Description
1. General
a. DoD announces its intent to establish Centers of Excellence (hereafter, “Center” or
“Centers,” depending on the context) at HBCUs/MIs (see Section III.1, Eligibility
Information – Eligible Applicants, for a definition) in each of the following areas of
importance to the DoD mission and support of the warfighter: autonomy, cyber security,
and research data analysis hereafter, “area(s) of research emphasis.” Each Center will be
funded for a 5-year period of performance.
b. This initiative will serve multiple objectives of benefit to the recipient HBCU/MI and its
research partners, as well as to DoD. Primary among those objectives is strengthening the
recipient’s research capacity through the establishment of a multi-disciplinary center in a
priority scientific and technology area, thereby enhancing the ability of investigators to
compete in the future for individual research project support. Funding will be provided to
develop or expand a coordinated research program to conduct state-of-the-art basic research
and foster innovative research efforts that would not occur without the synergy that a center
of excellence can provide. Research efforts are expected to be broadly based and involve
complementary disciplines, including, but not limited to, engineering, mathematics,
computer science, operations research, statistics, behavioral science, and cognitive
psychology.
c. Each Center will be expected to (1) conduct multidisciplinary, collaborative research within
the HBCU/MI and with up to two other collaborating organizations that can increase
knowledge in the area of research emphasis and have the potential to lead to practical
application to the challenges facing DoD; (2) attract both established and promising earlycareer researchers (in the latter case providing mentoring and opportunities for career
development); and (3) provide opportunities for student participation leading to the next
generation of scientists and engineers. For purposes of this BAA, the Center means all of
the components, including collaborating organizations, operating under the direction
of the HBCU/MI.
d. The Centers are not intended to serve as a series of ongoing, independent research projects,
but rather to propose coordinated research initiatives that offer new avenues for innovative
research. Interactions among the research teams and integration of projects should be clearly
evident. There should be linkages among components that result in levels of productivity,
quality, and progress that will exceed those of a traditional basic research project. The type
of integration proposed may vary and includes, but is not limited to, conceptual integration
or sharing of data, equipment, and other resources. In addition, the Centers are expected to
serve as national resources and provide educational and outreach activities to students and
other researchers in the area of research emphasis.
2
e. The DoD is interested primarily in the collaborative and coordinated research and researchrelated education in which a Center would engage and how those efforts would be managed.
Therefore, the application narrative must clearly describe (1) the research capabilities of the
proposed Center, including the applicant HBCU’s/MI’s planned collaborations with
academia; (2) how the Center funding would be used to augment existing capabilities or
provide new capabilities and how capabilities would be integrated for a coordinated research
approach to the DoD area of research emphasis;
(3) the specific avenues of research that the Center plans to pursue and the multiple
disciplines that would be involved in that research; (4) how the Center would involve early
career researchers and students in the DoD-funded research; and (5) how the HBCU/MI
leader will provide the management support necessary to ensure fiscal and programmatic
oversight of the Center’s activities, including a plan for establishing and maintaining
internal communication and cooperation among Center researchers, for reviewing
productivity and effectiveness of the activities of the Center, and mitigation strategies for
less-than-effective projects. In addition, applications must address inter and/or intradepartmental collaboration within the applicant HBCU/MI and expected means of sharing
research results.
2. Cooperative Agreement Involvement
a. The DoD expects to be substantially involved in the cooperative agreements established
under this BAA. Such involvement may take one or more of the following forms:
1. Working with staff of the HBCU/MI recipient to promote and facilitate research
collaborations and interactions.
2. Assisting in cross-fertilization of research activities between Centers, as appropriate.
3. Working with the Center Director and other key personnel to develop a joint CenterDoD advisory committee.
4. Facilitating access to intellectual resources, including data sets on which to perform
research, provided by private organizations, DoD intramural scientists, or others.
5. Interacting with the Center to evaluate research goals and objectives, decide optimal
research approaches and protocol designs, and contribute to the adjustment of research
protocols or approaches as warranted.
6. Working with the Center Director to reprogram research efforts, if necessary, including
options to modify or terminate them by mutual consent of the Center and DoD.
7. Participating, where warranted, in data analyses, interpretations, and the dissemination
of research findings to the research community, including co-authorship of the
publication of results of studies conducted by the Center.
3
3. Focus Areas
a. Autonomy
1. The true potential and value of autonomous operations is not to replace the human
operator, but to build man-machine teams that complement each other and extend the
team’s capability to perform a mission. The key is to develop technologies that enable
the right balance of human and machine capability to meet DoD challenges in the
future. The focus is on growing autonomous system capability, integrated with the
human capacity to perform in a high-tempo, complex decision-making environment, and
to optimize human effort working together with machines both effectively and
efficiently. Notionally, automation and autonomy are the two ends of a continuum. In a
static environment with a static mission, automation and autonomy converge. However,
when dynamic missions take place in dynamic environments, automation can only
support a small fraction of autonomy requirements. While the distinction is important,
both have utility within various systems. Increased capability of autonomous operations
will be a critical component to ensure future DoD power in air, space, and cyberspace.
2. An HBCU/MI proposing a center of excellence in autonomy must address one or more
of the following autonomy challenges:
(i) Tools for Test, Evaluation, Validation, and Verification (TEV&V): There is a need
for science and technology tools that will enable TEV&V capabilities in live and
simulated environments across all operational domains. S&T test beds must
incorporate scenario-based testing to enable confidence in autonomous system
performance. Research topics of interest include, but are not limited to: design for
certification (formalized design); licensure versus certification approaches; runtime
verification; synthesis (correct by construct synthesis); methods for
(non)‐deterministic systems in non‐deterministic environments; system of systems
V&V; human-machine interaction; and test (live and simulation). In addressing
V&V of autonomous systems, several core factors must be addressed: decisionmaking and logic of the system; ability to handle the unexpected, information
integrity, and uncertainty; human interaction and trust; and system interactions in an
overall system of systems context.
(ii) Human/Autonomous System Interaction and Collaboration: The keys to maximizing
the human-machine interaction are: instilling confidence and trust among the team
members; understanding of each member’s tasks, intentions, capabilities, and
progress; and ensuring effective and timely communication. All of these activities
must be provided within a flexible architecture for autonomy that facilitates different
levels of authority, control, and collaboration. Research topics of interest include,
but are not limited to: methods to measure and instill calibrated trust; understanding
robustness through cognitive models; integration of artificial intelligence with
human cognitive models; approaches to machine transparency; technologies for
assessing operator state integrated with machine intelligence to augmentation
operator performance/decision-making; approaches to shared problem solving,
4
learning, and reasoning between a human and an intelligent machine; knowledge
representation and transfer (symbolic and sub-symbolic reasoning); and design
understanding for advanced feedback interfaces to optimize operator-machine
interactions.
(iii) Scalable Teaming of Autonomous Systems: Today there is little cross-platform
interaction or coordination without direct human involvement. Advanced
autonomous systems must be able, as individual systems and as part of a team of
systems, to analyze their missions, goals, and responsibilities, and decompose them
into actionable, individual tasks and functions. They must dynamically organize into
a team to effectively perform the mission tasks and to efficiently utilize their
collective resources. Cooperation schemes will allow machines to synchronize
activity and information. Systems that coordinate location, status, mission intent,
intelligence, and surveillance data can provide redundancy, increased coverage,
decreased costs, and increased capability. On-board “intelligence,” such that
machines can negotiate and operate directly with other machines with or without a
centralized planner, is key. Machines must able to share information efficiently and
securely with each other to complete missions in contested environments. Research
topics of interest include, but are not limited to: approaches to shared problem
solving, learning, and reasoning; knowledge representation and transfer (symbolic
and sub-symbolic reasoning); shared perception within the system of systems;
techniques for individual and team system health awareness; methods for shared
mission planning and execution; techniques that allow the team to manage system
attrition; technologies that enable communication links to dynamically adapt to
operational and situational conditions; and other machine intelligence approaches
that enable the individual system to perform in a team.
b. Cyber Security
1. DoD seeks to assure and defend military operations and related functions within and
through cyberspace, amid sophisticated adversary threats and the actions of unwitting
third parties. There are many challenges. Adversaries exploit severe asymmetric
advantages in cyberspace, and a single vulnerability may enable widespread
compromises. The United States’ reliance on globalized commercial hardware and
software of unknown pedigree has reduced transparency of intended system functional
and security design. In addition, meaningful design metrics for DoD software and
hardware have yet to be developed in order to better align and evaluate innovations and
solutions to potential DoD gap areas. Further complicating this design risk assessment is
increased system complexity, convergence, and interconnectedness, at large scales,
which becomes intractable to modeling, simulation, and experimentation with current
tools and technologies, and has resulted in unquantifiable and unacceptable risk within
the underlying cyber infrastructure. Operationally, commanders lack real-time
situational awareness of dynamically generated missions and potential risk/impact
stemming from cyber attacks, limiting any potential evaluation of trade spaces for
operational execution.
5
2. An HBCU/MI proposing a center of excellence in cyber security is expected to leverage
mathematics, computational science, modeling, simulation, reverse engineering, digital
forensics, computer science, computer engineering, high-performance computing, and
advanced computing architectures and must address one or more of the following
cybersecurity challenges:
(i) Cyber Modeling, Simulation, and Experimentation (MS&E): The Cyber MS&E
focus seeks to (a) develop meaningful metrics upon which to quantifiably represent
cyber threats and evaluate against mitigating capabilities in system trust, resilience,
agility, and mission assurance; (b) advance the state-of-the-art in affordably
developing real-world scale models of cyber engagements in mission and adversarial
contexts; and (c) advance high-performance computing support/benchmarks for
cyber M&S applications.
(ii) Embedded, Mobile, and Tactical (EMT) systems: The EMT focus seeks to
(a) ensure proper fail-safe operation of EMT components and systems;
(b) incorporate agility, resilience, anti-tamper and verification techniques into EMT
systems; and (c) develop science and technology solutions for rapid and assured
composition of affordable EMT systems from trusted components.
c. Research Data Analysis
1. DoD seeks ways to reduce the cycle time and manpower required to effectively analyze
and use increasing amounts of information and large data sets. Of particular importance
is the application of data analytic techniques to extend the capabilities of both analysts to
report results and decision-makers to make high-quality decisions at a pace consistent
with the time value of the information available. The key is making certain that the
complex interaction of bits and bytes representing advanced sensors, vast libraries, and
unstructured observations is in harmony with the vision, thoughts, and intuition of
stressed personnel to produce informed, but timely, outcomes.
2. The breadth, scope, and pace of information demanded from strategic (global,
enterprise), operational (theater, organizational), and tactical (local, small group or team)
decision-makers require innovation to analyze and present data effectively in a complex
and dynamic environment. The DoD seeks ever greater mastery over the data unique to
its own missions and partners, but also the data and solution concepts available from
open, publicly available sources that may provide high-value context or clarity at greater
efficiency. The uses of interest span a diverse set of domain areas to support warfighting
missions, such as intelligence, command and control, and logistics, as well as business
areas such as personnel management, personnel readiness, and medical care. Applicants
should emphasize areas where DoD partnerships exist, DoD data sources can be
accessed, and DoD domain area challenges are understood.
6
3. An HBCU/MI proposing a center of excellence in Research Data Analysis is expected to
leverage the use of mathematics, statistics, machine learning, computer science,
cognitive science, advanced visualization, and computational science to address a broad
range of data analytical challenges, and must address one or more of the following
challenge areas: computation, algorithms, visualization and interaction, and decision
making.
(i) Computation: The computation area includes investigation of computer
architectures and system architectures to support static, low-latency, near-real-time,
or streaming data analytics and provide interactive decision-making depending upon
the application or need. Computing platforms can be centrally located, distributed, or
mobile devices and platforms. The computation area needs to integrate the data
analytic with the decision spaces and track decisions for continual learning. It also
needs to address new sources of information, such as the “Internet of Things” where
many common devices now report data to be processed and analyzed.
(ii) Algorithms: The algorithm area includes new and improved ways to solve problems
that are then implemented in software. This area includes the application of
advanced mathematics, statistics and machine learning. The data analytic resulting
from algorithms includes additional data, potentially in the form of information
quality measures, to explain how results were obtained in order to build trust.
Algorithms must advance to use more sensor data as well as seek new open sources,
and blend multiple sources together.
(iii) Visualization and Interaction: The visualization and interaction area seeks ways to
explore and examine increasing amounts of information, high dimensional spaces,
and the results from algorithms. Interaction is an important addition to the
visualization in order to continue data analysis. Additionally, interactions can be
captured and examined to achieve additional knowledge gained.
(iv) Decision Making: The decision making challenge explores ways to create a data
analytic framework to mimic human cognitive and neuroscience processes. Social
sciences can be examined to build a richer understanding of decision making
variables leading to a definition of decision quality metrics and decisions spaces.
II. Award Information
DoD intends to make three awards under this BAA—one in each of the three areas of research
emphasis for a total of approximately $15 million. Each award will be for a 5-year period and will not
exceed $5 million in the aggregate. Awards will be in the form of cooperative agreements and will be
made on behalf of OASD(R&E) by AFRL. The performance period is expected to begin in January
2015.
7
III. Eligibility Information
1. Eligible Applicants
a. Only 4-year degree-granting covered educational institutions (HBCUs/MIs) will be
considered for an award under this BAA. As provided in 10 U.S.C. § 2362, “covered
educational institutions,” are defined as:
1. Institutions of higher education eligible for assistance under Title III or V of the Higher
Education Act of 1965 (20 U.S.C. 1051 et seq.), or
2. Accredited post-secondary minority institutions as determined by the U.S. Department
of Education.
b. With the exception of HBCUs and Tribal Colleges and Universities, any institution whose
eligibility is affected by enrollment and other factors in a given year, must, in order to meet
the eligibility criterion under III.1.a. above, have a current (FY 2014) eligibility designation
from the United States Department of Education (DoEd). A copy of the DoEd letter
certifying eligibility in FY 2014 for Title III or Title V assistance letter must be included
with each application submitted under this BAA. The eligibility letter will not be included in
the page limit (see Section IV.2 below). If a current eligibility letter is not submitted
with the application, the applicant will be deemed ineligible and the application will
not be reviewed.
2. Cost Sharing or Matching. Cost sharing or matching is not required.
3. Dun and Bradstreet Universal Numbering System Number and System for Award
Management Registration
a. Each applicant is required to (1) be registered in the System for Award Management (SAM)
prior to submitting its application; (2) provide a valid Dun and Bradstreet Universal
Numbering System (DUNS) number in its application; and (3) continue to maintain an
active SAM registration with current information at all times during which it has an active
federal award or an application or plan under consideration by a federal agency.
b. AFRL, as the awarding office for awards under this BAA, may not make an award to an
applicant unless the applicant has complied with all applicable DUNS and SAM
requirements. If an applicant has not fully complied with the requirements by the time
AFRL is ready to make an award, AFRL may determine that the applicant is not qualified to
receive an award and use that determination as the basis for making an award to another
applicant.
4. Other
a. The DoD will consider only one application from an eligible institution for each area of
research emphasis. In other words, an HBCU/MI may submit up to three separate
8
applications—one each for autonomy, cyber security, and research data analysis. If an
HBCU/MI submits more than one application for an area of research emphasis, AFRL will
contact the authorized organization representative (AOR) and request that the institution
formally indicate which application should receive further review. If the AOR’s response is
not received within the time specified by AFRL, all of that HBCU’s/MI’s applications in
that emphasis area will be deemed non-responsive and will not be accepted for review.
b. To be responsive, an application must include proposed research collaboration with at least
one, but no more than two, institution(s) of higher education other than the applicant
HBCU/MI, and must include student participation in the research. Notwithstanding the
requirement for research collaboration, the applicant HBCU/MI must propose a budget
showing that at least 60 percent of the total direct costs will be attributable to activities
performed by the HBCU/MI leader for both research and Center management.
c. An application that proposes (1) funding for collaborating organizations that would be
more than 40 percent of the total direct costs included in the overall 5-year budget
and/or (2) more than two collaborating organizations will be deemed non-responsive
and will not be accepted for review. As provided in Section V.1, Application Review
Information – Evaluation Criteria, even if an application is within this budget limit and does
not exceed the allowed number of collaborating organizations, DoD will review the role of
the applicant HBCU/MI in operating the Center. It also should be noted that post-award
changes from an approved application that would transfer part of the programmatic effort
require DoD prior approval. DoD will not approve such changes if they would result in
exceeding this 40 percent limit.
d. The Principal Investigator (PI) must be a United States citizen or permanent resident.
e. The recruitment and selection procedures for students affected by an award under this BAA
must comply with 42 U.S.C. 200d, which states the following:
“No person in the United States shall, on the grounds of race, color, or national origin, be
excluded from participation in, be denied the benefits of, or be subjected to discrimination
under any program or activity receiving Federal financial assistance.”
f. Any application requesting more than $5 million in total for the 5-year period of
performance will be considered non-responsive and will not be accepted for review.
IV. Application and Submission Information
1. Address to Request Application Package
a. Application forms and instructions are available at Grants.gov. To access these materials, go
to http://www.grants.gov, select “Apply for Grants,” and follow the instructions. In the
Grants.gov search function, enter the funding opportunity number for this BAA # “RIK2014-0008”. You can also search for CFDA Number 12.630, Basic, Applied, and Advanced
Research in Science and Engineering. On the Selected Grant Applications for Download
9
page, click on “download” under the heading “Instructions and Applications” to download
the application package.
b. In order to view an application package, and complete and submit an application, you may
need to download the appropriate software packages. Go to
http://www.Grants.gov/applicants/apply_for_grants.jsp for further information.
2. Content and Form of Application Submission
a. All applications must be submitted electronically through Grants.gov. In order to submit an
application through Grants.gov, in addition to obtaining a DUNS number and registering in
SAM (see Section III.3. above), an HBCU/MI that has not already done so must register
with the credential provider and Grants.gov, and obtain approval for an AOR to submit
applications on behalf of the institution. Registration in Grants.gov must be completed
before submitting an application. Go to
http://www.grants.gov/web/grants/applicants/organization-registration.html for further
information. Use the Grants.gov Organization Registration Checklist
(http://www.grants.gov/web/grants/applicants/applicant-resources.html) to guide you
through the process.
b. Questions relating to the registration process, system requirements, or the submission
process should be directed to Grants.gov at 1-800-518-4726 or support@grants.gov. If you
forget your user name or password, follow the instructions provided in the Credential
Provider tutorial. Tutorials may be printed by right-clicking on the tutorial and selecting
“Print.”
c. Applicants must complete all required forms and any optional forms (e.g., SF-LLL
Disclosure of Lobbying Activities) in accordance with the instructions on the forms and the
additional instructions below. The required fields should be completed in accordance with
the “pop-up” instructions on the forms. To activate the instructions, turn on the “Help
Mode” (icon with the pointer and question mark at the top of the form). All attachments
must be in PDF format (Adobe Portable Document Format). To convert attachments into
PDF format, Grants.gov provides a list of PDF file converters at
http://www.grants.gov/help/download_software.jsp. Please ensure that your attachments are
not password protected.
d. The following formatting rules apply for the file attachments except as indicated below:





Paper size when printed – 8.5 x 11-inch white paper, one-sided
Margins – 1 inch
Spacing – single
Font – No smaller than Times New Roman, 12 point font (other than required fillable
forms)
Number of pages – 30 (when printed out). The 30 pages are further limited as
follows:
10
o 20 pages for the technical portion of the application, which includes the project
summary/abstract, technical project narrative, description of facilities, other
resources, and equipment (as described below).
o 10 pages for the Center management plan (as described below).
Pages exceeding these limits will not be read or evaluated. These page limits do not
apply to the SF 424 (R&R) forms that are part of the application. They also do not
include the biographical sketches (curriculum vitae) to be attached under the Research &
Related Senior/Key Person Profile (see below).
e. A complete application consists of the following SF 424 forms and, as applicable,
attachments). Nonconforming applications may be rejected without review.
(1) FORM: SF 424 (R&R) - The SF 424 (R&R) must be used as the cover page. Complete
this form first because it populates data in other forms. To see the instructions and any
additional information about the field, roll your mouse over the applicable field. By
submitting an application through Grants.gov, the AOR (identified by username and
password) is providing an “electronic signature.”
The completion of most fields is self-explanatory, with the possible exception of the
following:
Field 2
The Applicant Identifier may be left blank.
Field 3
The Date Received by State and the State Application Identifier are not
applicable.
Field 4a Leave blank.
Field 4b Leave blank.
Field 7
Complete as indicated. Select “Other,” and under “Other (Specify)” note
Historically Black College and University or the type of other MI, e.g., HispanicServing Institution.
Field 8
Specify “New.”
Field 9
Air Force Research Laboratory. This field is pre-populated in Grants.gov.
Field 11 Specify the area in which the applicant proposes to serve as a center of
excellence. Example: “Center of Excellence in Autonomy.” Please do not enter the
abbreviation HBCU/MI or any individual’s name.
Field 16 Choose “No.” Check “Program is not covered By Executive Order 12372.”
Field 17 By selecting “I Agree” the applicant is providing the certification regarding
lobbying that is required by law (31 U.S.C. § 1352, as implemented by DoD at 32 CFR
part 28). See Section VI.2, Award Administration Information – Administrative and
National Policy Requirements, below for the text of the certification.
Field 18 Attach a completed SF-LLL (Disclosure of Lobbying Activities) (see below)
if your institution has lobbying activities that you are required to disclose under 31
U.S.C. § 1352, as implemented by the DoD at 32 CFR part 28.
Field 20 Not applicable. Leave blank.
11
(2) FORM: SF 424 Research & Related Senior/Key Person Profile – Complete all
information requested. Include biographical sketches (curriculum vitae) (not to exceed
three (3) pages each) for the Center Director and all senior researchers, whether at the
HBCU/MI or a collaborating organization, who are considered key personnel. Please be
sure to include education and years of experience, and current and pending support.
Current and pending support must include the titles of current or pending research
projects (both federal and non-federal), the proportion of time to be devoted to that other
support, the name of the funding agency or organization, and the dates of support.
To attach biographical sketches, click “Add Attachment” for the necessary number of
attachments
(3) FORM: SF 424 Research & Related Other Project Information – Complete
questions 1 through 6 and attach a file for items 7, 8, 9, 10, 11, and, as applicable, 12.
The files must comply with the following instructions:
A. Project Summary/Abstract (Field 7 on the form) – The project abstract must
indicate the area of research emphasis and provides a concise description of the
research and research-related education to be conducted by the Center, including
objectives, approaches, and anticipated outcomes. It should identify the Center
Director and other key personnel. The abstract must not exceed 300 words.
Anything in excess of this limit may be removed for the evaluation of the
application.
Attach the project abstract to Field 7 on the SF-424 Research and Related Other
Project Information form by clicking “Add Attachment.”
B. Project Narrative: Technical and Management Plan (Field 8 on the form) – The
narrative provides key information by which the quality of the application is
determined. The narrative must be complete and self-contained to qualify for review.
The project narrative must include a one-page statement of objectives, entitled
“Statement of Objectives,” summarizing the research and associated goals and
objectives, followed by a complete description of the following:
Technical Narrative
(i) The applicant’s understanding of the current state of the art in the Center’s area
of research emphasis.
(ii) The applicant’s experience in the area of research emphasis, including DoD,
other federally funded, and non-federally funded research within the last 3 years.
This should include any designations related to the area of research emphasis,
e.g., designation as a National Security Agency/Department of Homeland
Security Center of Excellence in Information Assurance Education or Research.
12
(iii) The specific areas of research to be pursued under an award, if made, and how
they relate to existing DoD, other federally funded, or non-federally funded
research.
(iv) The scope of the proposed Center, including the departments/activities within the
HBCU/MI that will engage in the proposed research and planned collaborations
with other institutions of higher education, including letters of commitment for
the latter (NOTE: These letters will not be included in the page count).
(v) The relevance of the proposed research in the Center’s area of research emphasis
to the DoD interest in that area and the potential contribution of the research to
advancing the state of the art.
(vi) Short-term (12-18 months), mid-term (18 months-42 months), and long-term
(42-60 months) research goals and objectives.
(vii) How students at the HBCU/MI and collaborating organizations, as applicable,
will be involved in the research carried out by the Center, including the
estimated number of students expected to participate in Center activities,
separately at the undergraduate and graduate levels.
(viii) How early-career researchers will be involved in the research and any plans for
mentoring or other coaching aimed at preparing them to submit competitive
proposals for individual research projects.
(ix) Any equipment or instrumentation that will be purchased for use in the
HBCU’s/MI’s or collaborators’ research and (A) how it will contribute to the
research and (B) whether it also will be used for instruction.
Management Plan
(x) The management structure the HBCU/MI will use to ensure coordination among
investigators, coordination with DoD, timely reporting, and fiscal integrity.
(xi) A description of the responsibilities of the proposed Center Director, including
the percentage of time to be spent on managing the Center, performing research
under this award, if made, and, as applicable, time spent on other federally or
non-federally supported research, teaching, or other institutional activities.
(xii) A description of planned outreach to organizations and students not directly
involved in the research, e.g., workshops and summer programs, to expose
advancements to the broader community.
(xiii) How the HBCU/MI will share research results and address intellectual property
considerations related to the research.
13
The application narrative must address all of the above, but, within each section of
the narrative (technical and management plan), applicants are encouraged to
communicate this information in a way that demonstrates their understanding of
DoD expectations and requirements rather than simply presenting the information
sequentially based on the outline.
Attach the project narrative to Field 8 of the SF-424 Research and Related Other
Project Information form by clicking “Add Attachment.”
C. Bibliography & References Cited (Field 9 on the form) – Provide lists of any
publications and any patents attributable to the Center Director, other key personnel,
or other proposed Center participants in the area of research emphasis, as well as
citations for any literature referenced in the application narrative. The attachment is
not included in the page limit.
To attach a bibliography, literature citations, and list of patents, click “Add
Attachment.”
D. Facilities and Other Resources (Field 10 on the form) – Describe the facilities and
equipment available for the proposed Center and for performing the proposed
research, whether at the applicant HBCU/MI or at a collaborator’s site.
To attach information on facilities and other resources, click “Add Attachment.”
E. Equipment (Field 11 on the form) – Specifically identify (by manufacturer, catalog
number, and/or other identifier(s)) each item of equipment included in the budget
and explain the need for the equipment and how it will be used in the proposed
research and research-related education. Indicate whether it will be used in support
of a new capability or will replace or upgrade existing equipment. Also indicate any
special circumstances regarding installation of the equipment or training required to
ensure optimum use of the equipment. Costs related to these special circumstances
should be included in the budget consistent with the institution’s accounting
practices.
To attach equipment information, click “Add Attachment.”
F. Other Attachments (Field 12 on the form) – To include any other relevant
attachments, e.g., letters of commitment, click “Add Attachment.”
(4) FORM: SF 424 Project Performance Site Location(s) – This form is selfexplanatory.
(5) FORM: SF 424 (R&R) Research & Related Budget
14
A. This form allows for entry of a budget of up to 5 years. The budget must be
consistent with a 5-year period of performance and include a breakdown by year and
a breakdown by cost category. The cumulative budget is generated by Grants.gov
based on the year-by-year input. For budgeting purposes, assume a cooperative
agreement start date of January 15, 2015, although the actual start date is subject to
negotiation.
B. Funds may be requested for salaries of faculty, postdoctoral associates, or students;
equipment and supplies; travel; subawards; and other direct costs. See Section IV.5,
Funding Restrictions, for restrictions.
C. Complete Sections A through I and attach a budget justification in Section K. The
budget justification should provide an explanation of the data included in Sections A
through I by category of cost that is sufficient to meet the guidance provided below
(which applies equally to subaward budgets) and allow for meaningful evaluation.
DoD does not pay fees under its financial assistance awards, whether at the prime
level or to collaborators. Therefore, Section J must not have any entry.
(i) Salary Costs: For all employees/labor categories, in the Senior/Key and Other
Personnel sections, indicate the amount of time to be charged to the Center
award (e.g., number of months) and show associated costs based on current or
projected salary and fringe benefits.
(ii) Equipment: List in Section C, Equipment, any equipment to be acquired, using
an attachment as necessary, depending on the length of the list. In Section K,
provide the basis for the cost estimates, e.g., quotation from the manufacturer or
distributor, and the date of the quote. Describe the use of the equipment and
attach copies of the quotes in the attachments to Field 11 on the Research &
Related Other Project Information form (see above).
(iii) Travel: Identify in Section D, Travel, the total estimated costs of all travel
(local, domestic non-local, and foreign) by employees (see below for trainees).
For other than local travel (as defined by the institution in its institutional
policies), in Section K, list each proposed destination, purpose of the travel and
its relationship to the research or Center’s operation, duration of the travel,
number of travelers, cost estimate, and basis for the estimate. Note that, unless
included in the approved budget, prior approval must be obtained from the
Government Grants Officer for foreign travel for employees.
No breakout of local travel is required.
(iv) Participant/Trainee Support Costs: Estimate amounts for the categories shown
in Section E, Participant/Trainee Support Costs. Domestic, non-local travel may
be included for a student’s travel to a professional technical meeting, a
collaborator’s site, or other venue that may enhance achievement of the Center’s
goals and objectives. For students, in Section K, list each proposed destination,
15
purpose of the travel, duration of the travel, cost estimate, and basis for the
estimate. Foreign travel is unallowable for these individuals.
(v) Other Direct Costs: In Section F, Other Direct Costs, include the following, as
applicable:
Materials and Supplies: Estimate costs of materials and supplies. In Section K,
list categories of materials and supplies and the basis for the cost estimates (e.g.,
vendor website).
Publication Costs: Estimate the costs associated with publishing and reporting
research results (this does not include the costs of preparing reports for
submission to DoD).
Consultants: Consultant costs are not allowable under this BAA.
ADP/Computer Services: Estimate the costs of any contractual services directly
related to maintaining or servicing computers used in carrying out the research.
Subaward/Consortium/Contractual Costs: This category includes only those
agreements with collaborating organizations to carry out part of the substantive
programmatic activity. It should include all costs of the agreement, including
indirect costs. It does not include other types of contractual arrangement, e.g.,
service agreements or purchase of equipment. The estimate shown in the
recipient (“Project”) budget should be the sum of all “Subaward/Consortium”
budgets (see below). The direct costs for subawards may not exceed 40
percent of the overall total direct costs. In Section K, provide information
relevant to the duration of each proposed subaward and justification similar to
that for the HBCU’s/MI’s costs. The research activity should be fully described
in the narrative portion of the application.
Equipment Rental/User Fees: Estimate anticipated direct costs for rental of
equipment, such as computers, and facility or equipment usage fees. In Section
K, explain the basis for the decision to rent rather than purchase equipment and
explain and provide quotes for unusual or costly items or fees.
Alteration and Renovation: Alteration and renovation is not an allowable cost
under this BAA.
Other: In the blank spaces provided, include an estimate for any types of direct
costs that do not fit into any of the previous categories.
16
(vi) Indirect Costs: Under Section H, Indirect Costs, provide the most recent
rate(s), date of the facilities and administrative costs/indirect cost rate agreement
for the applicant HBCU/MI, name of cognizant agency for indirect costs, the
period to which the rate(s) apply, and a statement indicating whether the
propose rates are provisional, final, fixed, or pre-determined.
To add the budget justification at Section K, click “Add Attachment.”
Note: The total amount requested in the budget must agree with the amount in
Block 16 of the SF 424 R&R (application cover page).
(6) FORM: SF 424 (R&R) Subaward Budget Attachment Form(s)
A subaward budget form (including the budget justification section) must be completed
for each collaborating organization. The budget is completed as for the HBCU/MI, but
“Subaward” is marked under “Budget Type.” The budget must be inclusive of each year
of the proposed collaboration, which may be less than, but cannot exceed, the 5-year
duration of the Center cooperative agreement. The budget period start/end dates
reflected in each period should reflect the corresponding budget period start/end dates
for the HBCU’s/MI’s budget. Attach each subaward budget and budget justification to
one of the blocks provided on the form.
(7) FORM: Disclosure of Lobbying Activities (SF LLL) – This form must be completed
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 agency,
a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the application for a cooperative agreement
under this BAA.
f. DoD will make every effort to protect the confidentiality of the application and its
evaluation. However, under the requirements of the Freedom of Information Act (FOIA),
such information (or portions thereof) may be potentially subject to release. It is the
applicant’s responsibility to notify AFRL of applications containing proprietary information
or confidential information and identify the relevant portions of the application that require
protection. Notwithstanding such marking, an application may be released to individuals
outside of DoD for purposes of application review and evaluation. In the absence of any
such markings, DoD will treat the entire application as not subject to restriction for DoD
purposes.
17
3. Submission Dates and Times
a. Applications must be received no later than 3:00 PM Eastern Time on July 22, 2014.
b. Applicants are responsible for submitting their applications in sufficient time to allow them
to reach Grants.gov by the deadline date and time specified above. If the application is
received by Grants.gov after the exact date and time specified as the deadline for receipt, the
application will be considered “late” and will not be accepted by DoD. The only acceptable
evidence to establish the time of receipt by Grants.gov includes documentary evidence
maintained by Grants.gov.
c. To avoid the possibility of late receipt, whether caused by high system usage or any
potential technical and/or input problems involving the applicant’s own equipment,
and ineligibility for consideration, it is strongly recommended that applications be
uploaded at least 2 days before the deadline established in the BAA.
d. If an emergency or unanticipated event interrupts normal federal government processes so
that applications cannot be received by Grants.gov by the deadline specified in this BAA,
and the situation precludes amendment of the BAA closing date/time, the deadline for
receipt of applications will be deemed to be extended to the same time of day specified in
the BAA on the first work day on which normal federal government processes resume.
e. Application Receipt Notices
After an application is submitted to Grants.gov, the AOR will receive a series of three
e-mails from Grants.gov. The first two e-mails should be received within 24-48 hours after
submission. The first e-mail will confirm receipt of the application by Grants.gov, and the
second will indicate that the application either has been successfully validated by
Grants.gov before transmission to AFRL or has been rejected due to errors. Once AFRL has
confirmed receipt of the application, within 10 days of the application due date, the AOR
should receive a third e-mail. That e-mail notes that the application has been received and
provides the assigned tracking number. The application is not considered received until the
AOR receives the third e-mail. Applications may be tracked at
http://www.grants.gov/web/grants/applicants/grant-application-process/tracking-asubmission.html.
4. Intergovernmental Review – Not applicable.
5. Funding Restrictions
a. Funds awarded under this BAA may not be used for the construction or alteration or
renovation (modification) of buildings, building support systems (e.g.,
heating/ventilation/air conditioning, plumbing, and electrical), or fixed equipment (e.g.,
clean rooms and fume hoods).
18
b. Funds awarded under this BAA may not be used to obtain consultant services. Subawards
are not considered consultant services.
c. Funds awarded under this BAA may not be used to pay fee to any collaborating
organization.
6. Other Submission Requirements
An applicant may withdraw a proposal at any time before award by written notice, including email, sent to the Government Grants Officer (see Section VII). Withdrawals are effective upon
receipt of the notice by the Government Grants Officer.
V. Application Review Information
1. Evaluation Criteria
Applications submitted under this BAA will be evaluated through a merit review process. The
primary evaluation criteria, which are of equal importance, are as follows:
a. The capability of the applicant HBCU/MI and proposed collaborators to carry out the
research in the area of research emphasis, including demonstrated understanding of the state
of the art and experience in the area of research emphasis.
b. The potential of the proposed research program to advance the state of the art in the area of
research emphasis for the Center and contribute to DoD’s objectives in supporting the
research.
(1) Are the goals and objectives of the proposed research clearly stated?
(2) Does the proposed research offer new or innovative approaches to the research?
c. The qualifications of the Center Director and other key personnel (NOTE: The Center
Director and all senior researchers will be considered key personnel).
d. Adequacy of the proposed Center’s management plan.
e. The feasibility of achieving the Center’s short-term, mid-term, and long-term objectives.
The other evaluation criteria, which are of lesser importance than the primary criteria but of
equal importance to each other, are:
f. Adequacy of the facilities and equipment to be used in carrying out the research (apart from
equipment to be acquired under the award, if made).
g. The soundness of the approach to involving early-career researchers and students in the
research.
19
h. Realism and reasonableness of cost. Cost sharing is not an evaluation factor.
2. Review and Selection Process
Applications will undergo a multi-stage evaluation procedure. Cognizant DoD research program
managers and/or other technical experts will evaluate applications received in their area of
research emphasis consistent with the above criteria and recommend applications for award.
OASD(R&E) will make final award decisions to ensure the broadest possible impact with the
funds available. Therefore, DoD may make an award to other than the highest ranked
technically meritorious application if needed to establish Centers at three different HBCUs/MIs.
3. Recipient Qualification
a. There is a pending government-wide policy on the use of the Federal Awardee Performance
and Integrity Information System (FAPIIS) in the award of grants and cooperative
agreements that may affect DoD’s process for judging proposed recipients to be qualified to
receive financial assistance awards (note that the current process and standards for a Grants
Officer’s determination of a recipient’s qualification are described in the DoD Grant and
Agreement Regulations, in subpart D of 32 CFR part 22). The policy will implement
requirements of section 872 of the Duncan Hunter National Defense Authorization Act for
Fiscal Year 2009 (Public Law 110-417). For additional background information, see the
Supplementary Information section in Office of Management and Budget’s (OMB) proposal
of the policy for comment, which appeared in the Federal Register on February 18, 2010
[75 FR 7316]. Note that the particulars of the proposed guidance may change when OMB
issues the final guidance.
b. If the policy is finalized by OMB and implemented by DoD prior to making awards under
this announcement, then we anticipate that the following will occur:
(1) The Government Grants Officer, prior to making an award with a total amount of federal
funding greater than the simplified acquisition threshold, will be required to review and
consider any information about the proposed recipient entity that is in FAPIIS (including
any information entered either by a federal government official or the entity) before
determining that the entity is qualified to receive the award;
(2) An entity, at its option, may go to FAPIIS (url to be specified upon implementation) at
any time to comment on any information about itself that a federal government official
previously entered and is currently in FAPIIS; and
(3) The Government Grants Officer will consider any comments by the proposed recipient
entity, in addition to the other information in FAPIIS, in making a judgment about the
entity’s integrity, business ethics, and record of performance under federal awards that
may affect the official’s determination that the proposed recipient is qualified to receive
an award.
20
VI. Award Administration Information
1. Federal Award Notices
a. Notification of selection of applications will be e-mailed by AFRL to successful applicants;
however, that notice is not an authorization to begin work. The notification e-mail must not
be regarded as an authorization to commit or expend funds (except at the HBCU’s/MI’s own
risk, to the extent that the institution elects to charge up to 90 days of pre-award costs, as
permitted under 32 CFR 32.25(d)(2)(i)).
b. A cooperative agreement award signed by an AFRL Contracting/Grants Officer is the legal
document indicating that an award has been made. Applicants whose applications were
selected will be contacted by an AFRL Contracting/Grants Officer, who will indicate what
additional information is required, if any, and by what date, including, as applicable, a
revised budget. As part of that process, DoD will determine the award start date.
c. Unsuccessful applicants will be notified shortly after notification to successful applicants.
2. Administrative and National Policy Requirements
a. Information is available on-line regarding AFRL administrative and national policy
requirements. Go to http://www.wpafb.af.mil/shared/media/document/AFD-080228008.PDF.
b. In keeping with the provisions of 31 U.S.C. § 6306 and with the intent of this program to
increase the capabilities of institutions of higher education (IHE) to conduct DoD-relevant
research and research-related education, title to equipment will be vested in the HBCU/MI
or a subrecipient IHE or non-profit research organization without further obligation to DoD.
c. Certification Required for Grant and Cooperative Agreement Awards
(1) The certification at Appendix A to 32 CFR part 28 regarding lobbying is the only
certification required at the time of application submission for a grant or cooperative
agreement award. The certification is as follows (“grant” should be read to include
“cooperative agreements”):
“By signing and submitting an application that may result in the award of a grant
exceeding $100,000, the prospective awardee is certifying, to the best of his or her
knowledge and belief, that:
(a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, 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,
21
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
(b) 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
agency, a Member of Congress, an officer or employee of Congress, or an employee
of a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard FormLLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
(c) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, and loans, or cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
(2) 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 section 1352, Title
31, U.S. Code. Any person who fails to file the required certification shall be subject to a
civil penalty or not less than $10,000.00 and not more than $100,000.00 for each such
failure.”
(3) Reporting Requirements
a. Recipients must submit
(1) annual and final financial reports using the Standard Form (SF)-425;
(2) annual performance progress reports using the Research Performance Progress Report to
indicate the progress of the research and other information as specified in the award.
(3) a final technical report;
(4) copies of publications as specified in the award; and
(5) if applicable, patent and invention reports as specified in the award.
b. As specified in 2 CFR part 170, recipients must report first-tier subawards as provided in
Appendix A to that part (http://www.ecfr.gov/cgi-bin/textidx?SID=dd82984d1748ef11700b5d5346ab9ba4&node=2:1.1.1.1.10.3.1.8.2&rgn=div9).
c. If the pending government-wide policy on FAPIIS is finalized and implemented by DoD
before awards are made, then it is expected that the terms and conditions of any award up to
$500,000 will include an additional post-award reporting requirement for any recipient that
has federal awards (which includes grants, contracts, and cooperative agreements) with a
cumulative total value greater than $10,000,000. Based on the policy as it was proposed for
comment in February 2010 (see background in Section V.3 of this BAA and the Federal
22
Register notice to which that section refers), DoD anticipates that the additional requirement
will be to report information to FAPIIS about certain civil, criminal, and administrative
proceedings that reached disposition within the most recent 5-year period and were
connected with the award of performance of a federal or State award.
VII. Agency Contacts
For questions concerning programmatic content, potential applicants are advised to contact the
following DoD program managers:
Autonomy:
Kristen Kearns
Air Force Material Command 711 HPW/CL
kristen.kearns@us.af.mil
Cyber Security:
Chester Maciag
Air Force Research Laboratory/RIGB
chester.maciag@us.af.mil
Research Data Analysis:
Jon Jones
Air Force Research Laboratory/RIE
jon.jones.6@us.af.mil
For help with administrative questions or problems, points of contact are as follows:
Questions regarding program policy should be directed to:
Evelyn Kent
Office of the Assistant Secretary of Defense for Research and Engineering
Evelyn.w.kent.civ@mail.mil
Questions regarding program execution and administration should be directed to:
The AFRL Contracting/Grants Officer is:
Gail Marsh
Air Force Research Laboratory/RIKA
gail.marsh@us.af.mil
23
VIII. Additional Information
Applications must not include any information that has been identified as classified national
security information under authorities established in Executive Order 12958, Classified National
Security Information. Applicants are advised that employees of commercial firms under contract to
the government may be used to administratively process applications. By submitting an application,
an applicant consents to allowing access to its application(s) by these support contractors. These
support contracts include nondisclosure agreements prohibiting their contractor employees from
disclosing any information submitted by applicants.
24