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12.431 Basic Scientific Research




Public Laws 79-588, 87-651, 97-86, 10 U.S.C. 5150- 5153; 10 U.S.C. 2358, as amended; 10 U.S.C. 2361; 10 U.S.C. 6304.
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To support basic research that is related to or has potential for leading to the improvement of Army programs or operations.


Project Grants.
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Basic Research in the mathematical, physical, engineering, biological and geosciences providing knowledge necessary for the Army to make informed decisions about further exploratory development to provide the technology base from which Army capabilities are drawn. Partial support of symposia in the listed disciplines. Programs to encourage careers in science and engineering by support to outstanding graduate, undergraduate and high school students pursuing studies in areas of Army concern. Programs to increase science and engineering graduates from under-represented minority groups. Programs providing means for universities to buy major, high-cost research equipment.


Applicant Eligibility:   Educational institutions and nonprofit scientific research organizations.

Beneficiary Eligibility:   Educational institutions and nonprofit scientific research organizations.

Credentials/Documentation:   The following documentation is required to be submitted with offerors proposals: Cover page and information requested thereon (ARO Form 51); Statement of Disclosure Preference (AR Form 52 or 52A); Abstract; Technical Proposal; and Cost Proposal including SF 1411. The technical portion of the proposal should contain the following: A complete discussion stating the background and objectives of the proposed work; information that will identify the magnitude of the research program currently underway by the proposed principal investigator(s) such as (i) description of the work, (ii) the annual dollar volume of the effort, (iii) the names Federal, State, local agencies or other parties presently funding the work or requested to fund such work, and (iv) a complete breakdown of the time of the principal investigator and/or co-principal investigator; brief biographical information and list of recent publications of the offeror's key personnel who will be involved in the research; type of support requested, for example, facilities, equipment, materials; names of other Federal, State, local agencies or other parties receiving the proposal and/or funding the proposed effort; statement regarding possible impact if any of the proposed effort on the environment; brief description of organization; and identity of facilities to be used for the work if appropriate for an understanding of the proposal. The cost proposal must be a complete and thoroughly documented estimate of the proposed costs of the research project.

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Pre-application Coordination:   This program is excluded from coverage under E.O. 12372.

Application Procedure:   This program is subject to OMB Circular No. A-110. All eligible organizations may submit proposals in response to ARO's general and specific broad agency announcements (BAAs) published annually or as the need arises in the Federal Business Opportunities ( Information regarding areas of scientific interest and points of contact are contained in the BAAs. Application and award procedures are also contained in the BAA brochures. Pre-proposal contacts are encouraged prior to submission of a formal application.

Award Procedure:   Upon receipt of a proposal, the ARO scientific staff will perform an initial review of its scientific merit and potential contribution to the Army mission and also determine if funds are expected to be available for the effort. Proposals not considered to have sufficient scientific merit or relevance to the Army's needs or those in areas for which funds are not expected to be available may be declined without further review. Proposals not declined as a result of the initial review may be subject to an extensive peer review by highly qualified scientists from within the government and leading scientists and other preeminent experts outside the government. Each proposal will be evaluated based on how the proposal relates to the overall ARO program rather than against other proposals for research in the same general area normally using the following factors: (1) overall scientific and/or technical merits; (2) military and program relevance; (3) capabilities, related experience, facilities, techniques or unique combinations of these; (4) qualifications, capabilities and experience of the proposed principal investigator, team leader or other key personnel; (5) record of past performance; and (6) reasonableness and realism of proposed costs. If selected for award, the proposal is incorporated into a grant document and the awardee agrees to perform the research described therein.

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

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

Appeals:   Not applicable.

Renewals:   Once a grant is awarded, any follow-on research proposal is treated as a new request. Follow-on work should allow for the review time noted in the "award procedure" above.


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

Length and Time Phasing of Assistance:   The length of time for which support is requested should be consistent with the nature and complexity of the proposed research. It is preferred that proposals submitted cover a three year period with each year proposed as a severable unit. The maximum period acceptable for a research proposal is five years. Funds are normally provided in individual grants according to a quarterly schedule of payments.


Reports:   Quarterly financial reports (SF 272) and a final transactions report (SF 269) are required. Additionally, grants require interim technical, progress and final reports as outlined in ARO Form 18, U.S. Army Research Office Reporting Instructions; a copy of which is provided to each awardee. In addition, awardees are required to provide ARO copies of manuscripts and reprints.

Audits:   In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Non-Profit Organizations," non federal entities that expend financial assistance of $300,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.

Records:   Recipients are required to maintain records adequate to document costs incurred. Financial records, supporting documents, statistical records and all other records pertinent to an agreement will be retained for a period of 3 years. The retention period starts from the date of the submission of the final expenditure report or, for grants that are renewed annually, from the date of the submission of the annual financial status report. The recipient will allow access to any pertinent books, documents, papers, and records of the recipient organization and their subrecipients to make audits, examinations, excerpts and transcripts.


Account Identification:   97-0400-0-1-051.

Obligations:   (Grants) FY 01 $144,759,000; FY 02 est $150,000,000; and FY 03 est $150,000,000.

Range and Average of Financial Assistance:  
Range: $1,374,000.00-$1,500,000.00/ARRA and Average Award: $1,457,744.00/ARRA.

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In fiscal year 2001, a total of 1,111 proposals were received, of these 531 were funded. It is anticipated that approximately 1,200 proposals will be received, and 500 awards will be granted in fiscal year 2002.


U.S. Army Research Office Broad Agency Announcement (BAA) is available without cost from the sponsoring agency. OMB Circular Nos. A-110, A- 133, A-88, and A-21; DoD Instruction 3218.2; DoD Directive 3210.2; DoD Directive 3210.6; are applicable to the project grants.


Regional or Local Office:   Not applicable.

Headquarters Office:  
Ernest Dixon, Army Research Office, 4300 South Miami Blvd. , Durham, North Carolina 27703 Email: Phone: (919) 549-4270 Fax: (919) 549-4388.

Web Site Address:


1. Research entitled Focused Ion Beam Fabrication of Microelectronic Structures at the Massachusetts Institute of Technology; 2. research entitled Manufacturing Science Reliability and Maintainability Technology at the University of Delaware; 3. National Defense Science and Engineering Graduate Fellowship in Materials Science with Dr. Patrick T. Mather at the University of California; 4. Center of Excellence in Rotary Wing Technology at Rensselaer Polytechnic Institute; and 5. Research performed by a historically black college/university entitled Computational Methods for the Simulation of Non- Newtonian Flows at Hampton University.


The criteria for selecting proposals are as indicated in the Award Procedures.

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