Basic, Applied, and Advanced Research in Science and Engineering


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

General information about this opportunity
Last Known Status
Program Number
Federal Agency/Office
Agency: Department of Defense
Office: Office of the Secretary of Defense
Type(s) of Assistance Offered
Cooperative Agreements; Project Grants
Program Accomplishments
Fiscal Year 2009: Accomplishments include approximately 50 grants awarded to Institutions of Higher Education (IHE) that support scientific research and education in topical areas important to the defense mission (areas such as electronics and electro-optics; materials science; fluid dynamics; biotechnology; manufacturing-related research; mathematics and computer sciences; nanoscale photonic; aerospace composites; microwave effect for chemical synthesis; biodiesel and biopower from waste materials to improve energy security; and environmental science). Fiscal Year 2010: Accomplishments include approximately 50 grants awarded to IHEs that support scientific research and education in topical areas important to the defense mission (see FY09 list). Fiscal Year 2011: Accomplishments will include approximately 50 grants awarded to IHEs that support scientific research and education in topical areas important to the defense mission (see FY09 list).
10 U.S.C. 2358; 10 U.S.C. 2362.
Who is eligible to apply/benefit from this assistance?
Applicant Eligibility
As stated in individual BAAs (generally, competitions are open to private and public educational institutions that carry out science and engineering research and/or related science and engineering education; however, competition may be limited to a class of such institutions, such as Historically Black Colleges and Universities or other minority institutions (HBCUs/MIs). Some awards are made to other organizations. Awards are not made to individuals.
Beneficiary Eligibility
Beneficiaries may include individual graduate and undergraduate students (e.g., recipients of fellowships or research traineeships) in science and engineering disciplines important to defense, as well as organizations described under "Applicant Eligibility.".
Recipient eligibility is contingent upon submission of certifications that are required by Federal statutes and executive orders. As research recipients most commonly are institutes of higher education, other non-profits, and for-profit firms, OMB Circulars A-21 and A-122 and the cost principles in the Federal Acquisition Regulation apply. To the extent that any awards are made to states subject to those cost principles,. OMB Circular No. A-87 applies to this program.
What is the process for applying and being award this assistance?
Pre-Application Procedure
Individual BAAs and grants state whether-. An environmental impact assessment is required for this program. This program is excluded from coverage under E.O. 12372.
Application Procedure
OMB Circular No. A-102 applies to this program. OMB Circular No. A-110 applies to this program. Which of these circulars or alternative administrative requirements, as implemented by the DoD Grants and Agreement Regulations, applies is dependent on the type of recipient. Each BAA tells potential proposers who is eligible to apply, what activities will be supported, in which science and engineering areas they will be supported, and how to apply. Some BAAs also may require white papers before submission of full proposals.
Award Procedure
Award decisions are based on a competitive selection of proposals, using a technical merit review. Evaluation criteria are specified in the relevant BAA. If selected for award, the proposal is the basis for the award document and the applicant agrees to perform the research or research-related activities (e.g., science or engineering education or research infrastructure-building activities) described therein.
Contact the headquarters or regional office, as appropriate, for application deadlines.
Approval/Disapproval Decision Time
Award decision time from receipt of the proposal varies.
Appeal procedures are stated in applicable BAAs.
As specified in individual BAAs, applications for competitive new awards are permitted.
How are proposals selected?
As specified in individual BAAs. Generally, the principal evaluation and selection criteria are the technical merits of the proposed research (or research-related activity) and its potential relationship in the long term to missions of the Department of Defense.

Other selection criteria vary with the nature of the specific research or research-related activity. Typical examples include: Qualifications of the principal investigator and other key personnel to perform the proposed activity; adequacy of current or planned facilities and equipment to do so; and realism and reasonableness of proposed costs.
How may assistance be used?
Uses and restrictions are specified in individual program announcements (Broad Agency Announcements, or BAAs) and award documents and codified regulations applicable to awards.
What are the requirements after being awarded this opportunity?
Individual BAAs specify report requirements for program reports,. cash reports,. progress reports,. expenditure reports, and. performance reports, as consistent with the DoD Grant and Agreement Regulations.
In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. Individual BAAs cite terms and conditions that will apply to resultant awards. Audit requirements for the types of recipients (e.g., for-profit firms) not subject to OMB Circular A-133 are consistent with the DoD Grant and Agreement Regulations.
Record keeping requirements are in accordance with the DoD Grant and Agreement Regulations.
Other Assistance Considerations
Formula and Matching Requirements
Statutory formulas are not applicable to this program.
This program has no matching requirements. that apply to all awards. Cost-sharing or matching, if required, would be specified in the individual BAAs.
MOE requirements are not applicable to this program.
Length and Time Phasing of Assistance
Assistance is available for the length stated in individual BAAs. See the following for information on how assistance is awarded/released: As stated in individual BAAs.
Who do I contact about this opportunity?
Regional or Local Office
Headquarters Office
Office of the Secretary of Defense (OSD) OSD does not directly execute programs within this listing. For information about open competitions or future opportunities involving OSD funding, prospective proposers should consult the BAAs issued by the agents that execute the program, listed below. No central phone number is available:
- Army Research Office (For contact info, see listing 12.431)
- Office of Naval Research (For contact info, see listing 12.300)
- Air Force Office of Scientific Research (For contact info, see listing 12.800)
, Arlington, Virginia 22203 Phone: 000-000-0000
Website Address;;
Financial Information
Account Identification
97-0401-0-1-051 - ARRA account for FY10; 97-0400-0-1-051.
(Project Grants) FY 09 $35,616,000; FY 10 est $78,000,000; and FY 11 est $50,000,000. (Project Grants (Cooperative Agreements)) FY 09 $0; FY 10 est $3,000,000; and FY 11 est $0
Range and Average of Financial Assistance
See individual BAAs for expected range of award accounts (generally vary from $50,000 to $3,000,000 over 1 to 5 year periods of performance).
Regulations, Guidelines and Literature
See BAAs issued by executive agents, which implement applicable portions of the DoD Grant and Agreement Regulations.
Examples of Funded Projects
Fiscal Year 2009: (1) University research grants in areas such as: Materials degradation and fatigue; hypervelocity flow; organic superconductors; high-frequency microelectronics; biodegradation of military toxic wastes; blue-green optoelectronic emitters; robust geometric calculations; 3-D visualizations and design of large, manufactured objects; biometric signature for ultra-wideband radar; laser ablation of hard materials; bio-inspired self-healing of polymers and composites; and (2) instrumentation grants, to allow the purchase of more costly items of research equipment ($50,000 and up) that can usually be funded within single-investigator research awards. Fiscal Year 2010: Same. Fiscal Year 2011: Same.


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