ARMY APPLICATIONS LAB BROAD AGENCY ANNOUNCEMENT FOR DISRUPTIVE APPLICATIONS

AAL BAA W911NF-24-S-0008

ARMY APPLICATIONS LAB
BROAD AGENCY ANNOUNCEMENT FOR
DISRUPTIVE APPLICATIONS
W911NF-24-S-0008
5April 2024 –4April 2029
ISSUED BY:
U.S. Army Contracting Command
Aberdeen Proving Ground
Research Triangle Park Division
P. O. Box 12211
Research Triangle Park, NC 27709-2211
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Special Notes
1. Formatting of the Announcement
The following table provides an overview of the outline structure of this announcement:
I.
A.
1.
a.
i.
(1)
(a)
(i)
2. See Appendix 1 for a Table of Acronyms used in this announcement.
3. See Appendix 2 for a Schedule of Amendments. Applicants are encouraged to frequently
check Grants.gov and SAM.gov for updates and amendments to this BAA.
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TABLE OF CONTENTS
I. OVERVIEW OF THE FUNDING OPPORTUNITY 6
A. Overview 6
1. Agency Name 10
2. Issuing Acquisition Office 10
3. Research Opportunity Title 10
4. Announcement Type 10
5. Research Opportunity Number 10
6. Catalog of Federal Domestic Assistance (CFDA) Number and Title 10
7. Response Dates 10
B. Additional Overview Information 11
II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY 11
A. Program Description 11
1. Autonomous platforms 12
2. Artificial Intelligence and Machine Learning (AI/ML) 12
3. Data visualization and synthetic environments 13
4. Assured Position, Navigation, and Timing (PNT) 13
5. Power generation and management technologies 13
6. Sensing 13
7. Communications & network 14
8. Computation 14
9. Space 14
10. Internet of Things (IoT) 14
11. Quantum Technologies 15
12. Signature reduction 15
13. Protection 15
14. Human Performance 15
15. Contested Logistics 16
16. Kinetic Payload 16
B. Federal Award Information 16
1. Procurement Contract 17
2. Grant 17
3. Cooperative Agreement 17
4. Other Transaction for Research 17
5. Other transaction for prototype 18
6. Governance of Instrument Types
C. Eligibility Information 20
1. Eligible Applicants 20
2. Cost Sharing or Matching 20
3. Other 21
D. Application and Submission Information 21
1. Address to View Broad Agency Announcement 21
2. Content and Form of Application Submission 21
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a. General Information 21
b. The Application Process 22
c. Whitepaper Preparation 24
d. Whitepaper Submission 26
e. Preparation of Proposals 26
f. Submission of Proposals 34
g. Grants.gov Submission 35
h. Grants.gov Registration 37
3. Unique Entity Identifier and System for Award Management (SAM) 37
4. Submission Dates and Times 38
5. Intergovernmental Review 38
6. Funding Restrictions 38
7. Other Submission Requirements 38
E. Application Review Information 40
1. Criteria 40
2. Review and Selection Process 40
3. Recipient Qualification 41
F. Award Administration Information 44
1. Award Notices 44
2. Administrative and National Policy Requirements 44
a. Required Representations and Certifications 44
b. Policy Requirements 50
3. Reporting 58
G. Agency Contacts 59
H. Other Information 60
1. Contract Proposals 60
2. Grant and Cooperative Agreement Proposals 69
3. Other Transaction Proposals 74
APPENDIX 1: TABLE OF ACRONYMS 75
APPENDIX 2: SCHEDULE OF AMENDMENTS 78
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I. OVERVIEW OF THE FUNDING OPPORTUNITY
A. Overview
The Army that fought and won World War II relied on commercial industry and
civilian ingenuity for the machines and technology that enabled Allied victory. Army
investments and civilian know-how set the stage for the high-tech revolution that
continues to fuel global markets over seventy years later. Today, as the accelerated
rate of technological change in areas like artificial intelligence, robotics and
autonomy, and power and energy presages unprecedented opportunities and threats,
the Army seeks to renew its commitment to the revolutionary ideas and civilian
research and development partnerships that will ensure the safety and prosperity of
the nation in the years to come.
United States Army Futures Command (AFC) is focused on modernizing the Army
and focuses on seven priorities:
‐ Long-Range Precision Fires
‐ Next Generation of Combat Vehicles
‐ Future Vertical Lift Platforms
‐ Army Network
 Network Command, Control, Communications, and Intelligence
 Assured Position Navigation and Timing
‐ Air and Missile Defense Capabilities
‐ Soldier Lethality
 Soldier Lethality
 Synthetic Training Environment
‐ Contested Logistics
AFC's cross-functional teams (CFTs) are the Army’s vehicle for force modernization,
ensuring capability overmatch for Army forces on future battlefields.
While the Army plays a unique role in our society to deploy, fight, and win decisively
against any adversary, anytime, and anywhere, many of the technologies that the
Army relies on to accomplish this mission are being propelled by the civilian world.
Army modernization priorities related to manned and unmanned vehicles, space
systems, sensing, networks and connectivity, data visualization and gaming, space,
and human performance monitoring (to name a few) all have substantial overlap with
civilian sources, uses, and markets.
To capitalize on opportunities for breakthrough research and development in key
civil-military technology areas relevant to the Army’s modernization priorities, AFC
has established the Army Applications Lab (AAL) to capitalize on the extended
marketplace of ideas in government, academia, industry, and civilian innovation
ecosystems and lead the research and development of disruptive innovations – i.e.,
technology demonstrators and early-stage products that revolutionize Army
capabilities and corresponding civilian industries and create a first-mover advantage
for the Army across a full spectrum of missions.
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The three main lines of effort associated with this BAA are discovery, acceleration,
and translation of disruptive technology applications:
‐ Discovery of novel capability concepts that capitalize on emerging technologies
and application insights from the widest possible range of sources.
‐ Acceleration of disruptive applications of technology that delivers a 2-4 times
improvement over current or planned Army capabilities through the research,
development, and validation of technology demonstrators.
‐ Translation of breakthrough innovations that create a scalable, first-mover
advantage for the Army in strategic technology areas by synchronizing knowledge
generated in the discovery and acceleration phases with key decision points across
the Army Future Force Modernization Enterprise (FFME).
Solutions consistent with these three functions and reflective of priorities, technical
challenges, and problems associated with the FFME will be solicited through this
BAA.
AAL is seeking technologies that address a wide range of Army needs consistent with
CFT capability focus areas and associated programs and lines of effort as well as
potentially disruptive new capabilities that augment or enhance Army capability
overmatch. A key focus for AAL is to identify and transition new technologies,
methodologies, and concepts related to:
‐ Translational Research - Approaches and methodologies that accelerate the
Army’s innovation cycle through the translation of emerging technologies to
Army capability objectives, including the Army’s six modernization priorities and
associated programs and lines of effort.
‐ Fourth Industrial Revolution Technologies - Approaches and methodologies that
are characterized by a fusion of technologies in the physical, digital, and
biological spheres. Specific technologies of interest include robotics; artificial
intelligence; autonomy; augmented and virtual reality; nanotechnology; quantum
information systems; synthetic biology and biotechnology; Internet of Things
(IoT); space systems; advanced networking, communications, and command and
control technology; additive manufacturing; and power and energy systems.
‐ Commercialization - Approaches and methodologies that support the research and
development of dual-use solutions - i.e., solutions that support both emerging
Army needs and scalable commercial markets.
This BAA may be used to award procurement contracts, grants, cooperative
agreements, Other Transactions for Research and Other Transactions for Prototypes.
AAL will entertain discussions with applicants to consider a wide range of funding
constructs which might include but are not limited to Government funding, cost
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sharing, in-kind labor or facility sharing by all parties, or any other allowable
mechanism. Applicants may propose cost sharing approaches, but they are not
required.
There are two approaches AAL will use to engage with potential applicants under this
BAA.
Ongoing Topics - AAL does not necessarily have funding for any particular research
area at any given time. Those contemplating submission of a whitepaper or proposal
are strongly encouraged to review the AAL website to understand AAL priorities,
submit questions, and submit whitepapers and proposals. Whitepapers and proposals
should be prepared in accordance with the instructions contained in this BAA and
submitted according to guidelines found on https://aal.army. AAL will review and
assess whitepapers for market and focus area relevance and state of technology. AAL
will return feedback on applicant’s whitepaper within 30 days if requested through
the "contact us" form.
Special Topics - As a part of this BAA, AAL will post specific areas with strong
potential for funding on its website https://aal.army and on http://www.grants.gov.
These topics will generally have clear deadlines for submission and may have other
specific preparation guidelines.
Proposals and whitepapers that demonstrate significant innovation are sought from
institutions of higher education, nonprofit organizations, state and local governments,
foreign organizations, foreign public entities, and for-profit organizations (i.e. large
and small businesses) for scientific research in technology areas that will enhance the
capabilities the Army desires as outlined in this solicitation. Proposals and
whitepapers may include studies, modeling & simulation, development of
methodologies and approaches, technology demonstrators and prototypes,
experiments, or feasibility analyses that are consistent with advancing the scientific
state of the art or increasing basic knowledge and understanding. Applicants may
also propose that AAL support the research with the use of Government-furnished
facilities, Army expertise or other Government assets. Proposals will only be
considered for the acquisition of basic and applied research and work not related to
the development of a specific system or hardware procurement.
Proposals and whitepapers are expected to be for cutting-edge innovations that could
produce discoveries with the potential for significant impacts to enable new and
improved Army operational capabilities. The specific research areas and topics of
interest described in this document should be viewed as suggestive, rather than
limiting. AAL is always interested in considering new innovative research concepts
of relevance to the Army. Additional information about AAL areas of interest can be
found on the AAL website: https://aal.army.
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Applicants whose whitepapers receive a favorable evaluation may be encouraged to
prepare a proposal in accordance with instructions contained in this BAA. The costs
of whitepapers and/or proposals in response to this BAA are not considered an
allowable direct charge to any award resulting from this BAA or any other award. It
may be an allowable expense to the normal bid and proposal indirect costs specified
in Federal Acquisition Regulation (FAR) 31.205-18. AAL prefers proposals that
incorporate intermediate milestones to assess progress. Proposals may be submitted
at any time while this BAA, including any amendments, is valid.
In accordance with federal statutes, regulations, and Department of Defense (DoD)
and Army policies, no person on grounds of race, color, age, sex, national origin, or
disability shall be excluded from participation in, be denied the benefits of, or be
subjected to discrimination under any program or activity receiving financial
assistance from the Army. Applicants submitting proposals are cautioned that only a
Contracting or Grants Officer can obligate the Government to any legal instrument
involving expenditure of Government funds. All administrative inquiries regarding
this BAA shall be submitted in email to: aal-baa@army.mil
Scientific and technical questions should be referred to the provided contact form on
the AAL website. Interested parties are encouraged to periodically check any of the
following websites for updates and amendments to this BAA: www.grants.gov,
www.sam.gov, and the (AAL) website https://aal.army .
Director
Army Applications Laboratory
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1. Agency Name
U.S. Army Futures Command, Army Applications Laboratory
2. Issuing Acquisition Office
U.S. Army Contracting Command-Aberdeen Proving Ground, Research
Triangle Park (ACC-APG-RTP) Division
3. Research Opportunity Title
AAL Broad Agency Announcement (BAA) for Disruptive Applications
for 5 April 2024 – 4 April 2029
4. Announcement Type
Initial Announcement
5. Research Opportunity Number
W911NF-24-S-0008
6. Catalog of Federal Domestic Assistance (CFDA) Number and Title (grants
and cooperative agreements only)
12.431 – Basic Scientific Research
7. Response Dates
This BAA is a continuously open announcement valid throughout the
period from the date of issuance through 4 April 2029, unless announced
otherwise.
(End of Section)
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B. Additional Overview Information
 This BAA sets forth research areas of interest to the AAL. This BAA is
issued under paragraph 6.102(d)(2) of the Federal Acquisition Regulation
(FAR), which provides for the competitive selection of basic and applied
research proposals, and 10 U.S.C. 4001, 10 U.S.C. 4021, and 10 U.S.C.
4022 which provide the authorities for issuing awards under this
announcement for basic and applied research. The definitions of basic and
applied research may be found at 32 Code of Federal Regulations (CFR)
22.105.
 Proposals submitted in response to this BAA and selected for award are
considered to be the result of full and open competition and in full
compliance with the provision of Public Law 98-369, "The Competition in
Contracting Act of 1984" and subsequent amendments.
 The DoD agencies involved in this program reserve the right to select for
award all, some, or none of the proposals submitted in response to this
announcement. Due to Government budget uncertainties, no specific
dollars have been reserved for awards under this BAA. The participating
DoD agencies will provide no funding for direct reimbursement of
whitepaper or proposal development costs.
 Whitepapers and technical and cost proposals (or any other material)
submitted in response to this BAA will not be returned to the applicant.
Unless noted in an applicant's proposal to the contrary, unsuccessful
proposals will be retained for possible future consideration. It is the
policy of participating DoD agencies to treat all proposals as sensitive,
competitive information and to disclose their contents only for the
purposes of evaluation.
 An applicant may withdraw a proposal at any time before award by
written notice or by email sent to the Government point of contact (POC)
identified in Section G of this BAA.
 Proposals submitted to this BAA may be considered for attendance at Army
experimentation events (e.g., Edge, Project Convergence, Army Warfighting
Experiment) to evaluate the technology developed. If attendance is endorsed by
the government, travel may be covered, with total cost determined at the time of
invitation and acceptance to the exercise.
II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY
A. Program Description - AAL is interested in any and all technologies which can
be shown to deliver the Army of 2030 and design the Army of 2040; they
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enable the Army to be ready to deploy, fight, and win decisively against any
adversary, anytime, and anywhere, in a joint, multi- domain, high-intensity
conflict, while simultaneously deterring others and maintaining its ability to
conduct irregular warfare.
There are a number of technologies that touch more than one of the Army
Modernization Priorities as well as other areas important to the Army. Advances
in these areas may be highly disruptive since they could address multiple
priorities or functions or challenge current Army approaches. Areas of interest
include but are not limited to the following:
1. Autonomous platforms – The Army is particularly interested in
research in autonomous ground and air vehicles, which must operate
in open, urban and cluttered environments. Robotics and autonomous
systems regardless of their missions require similar concepts and
technologies including:
a. Ability to move in very cluttered, irregular, urban and
underground terrains
b. Ability to move effectively in contested environments and
survive attacks
c. Technologies to enable low electronic and physical profiles
d. Techniques to allow operators to be trained quickly even for
complex tasks
e. Architectures to enable reprogrammable platforms under
dynamic conditions
f. Sensors to detect obscured targets and to characterize terrain
obstacles
g. Autonomous ground and air structures, propulsion, and
mobility components
h. Technologies to significantly reduce logistical burdens
2. Artificial Intelligence and Machine Learning (AI/ML) - The Army
is interested in AI/ML research in areas which can reduce the
cognitive burden on humans and improve overall performance through
human-machine teaming. AI/ML research is needed in areas such as:
a. Autonomous, intelligent maneuver and behaviors of
autonomous ground and air vehicles - object recognition, threat
warning, etc.
b. Ability to analyze large, diverse data sets to predict enemy
intent and behaviors
c. Technologies to ensure robust, resilient and intelligent
networking, cyber, electronic warfare and analysis of
adversary signals
d. Data analysis capabilities to engage with and exploit classified
and unclassified sources in order to produce enhanced
intelligence products
e. Techniques to fuse data from disparate sources to improve a
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particular mission
3. Data visualization and synthetic environments – The Army is
interested in research involving concepts that enable improved
situational awareness and the visualization and navigation of large data
sets and to enhance operational activities and training and readiness.
Research is needed in the visualization of data in following areas:
a. Sensor data
b. Large data sets
c. Complex multi-source mode data sets
d. Novel visualization and synthetic environment approaches to
enable improved training
e. Synthetic environments and networked instrumentation
approaches for virtual-live validation of concepts and
prototypes
4. Assured Position, Navigation, and Timing (PNT) – The Army is
interested in research involving novel new PNT technologies which
could be key enablers for many capabilities including autonomous
vehicles, communications, and land navigation. Solutions that enable
robust PNT for vehicles, Soldiers, munitions might include research in
the following areas:
a. PNT technologies which operate reliably in GPS-degraded or
denied areas which cannot be exploited by adversaries
b. Enhancements to commercial technologies to enable them to
meet Army needs
c. Robust security techniques for PNT at all levels
d. PNT-enabled guidance and control
e. Algorithms and techniques to fuse data from multiple PNT
sources to provide robust capabilities
5. Power generation and management technologies – The Army
frequently must operate where power infrastructure is not available, on
small vehicles or for individual Soldiers. Solutions that enable reliable
power for vehicles, Soldiers, and munitions might include research on:
a. Power management algorithms to optimize generation and
usage
b. Advanced low-power electronic technologies to reduce power
demand
c. Compact power sources for small UAVs, robots, smart
munitions
d. Power transmission and power storage technology
6. Sensing – The Army is interested in developing a detailed
understanding of the environment and activities in the areas where it
operates. Research is needed in the areas of sensors and associated
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processing in order to:
a. Detect people, equipment, weapons, and any other object or
action of interest
b. Detect all targets even when obscured
c. Detect based upon, physical, behavioral, cyber or other
signatures
7. Communications & networks – It is critical the Army maintain
secure, reliable communications for Soldiers, vehicles and at fixed
locations even in austere environments. Research is needed in the
areas related to following:
a. Concepts and methodologies to enable robust, secure
networks
b. Protocols
c. Network interoperability including multi-national partners
d. High efficiency components
8. Computation – The Army has a growing need for high performance
computational capabilities to exploit large data sets and to compute
complex AI/ML algorithms for many applications. Research is needed
to improve computational capabilities in the following areas:
a. Throughput
b. Power efficiency
c. Edge computing
9. Space – Like many commercial interests, the Army is interested in
exploiting space assets to solve a range of problems. Research is
needed to improve space-based capabilities in the following areas:
a. Concepts enabling persistent, high-resolution sensing of
ground-based features, environments, and targets
b. Concepts enabling low-cost access to space
10. Internet of Things (IoT) – The Army needs to better integrate a wide
range of capabilities and equipment and capitalize on commercial
developments in the industrial and human IOT. The Army’s interested
is driven in part by the fact that the amount of usable communication
bandwidth on the battlefield will be dynamic, and as such automated
reallocation of communication resources and information sharing
strategies are more challenging than commercial ones. Research is
needed to improve Army IOT in the following areas:
a. New concepts, quantitative models and technical approaches
enabling automated management of IoT
b. New machine learning techniques that accelerate decision
making to address the scale/volume of IoT information and
advance the science
c. New approaches, low-complexity algorithms, and methods to
enable secure, resilient, and to automatically managed IOT
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networks in highly complex, mixed cooperative/adversarial,
information-centric environment
d. Novel IoT approaches to enable improved training and system
evaluation
11. Quantum Technologies – The Army seeks to better employ quantum
sciences in a number of areas to improve the performance and security
of its future systems. Research is needed in the following areas:
a. Quantum computing to solve highly complex problems in real
time
b. Quantum sensing to achieve highly sensitive characterization of
activities and environments and enable highly accurate
navigation
c. Quantum communications, and networking to enable highly
secure and efficient information flow
12. Signature reduction – The Army needs to protect its Soldiers by
making them harder to detect and locate. Research is needed to
manage and reduce Army capability signatures in the following areas:
a. Technologies, methodologies and concepts to reduce the
external signatures of Soldiers and of all Army platforms and
equipment
b. Capabilities to reduce RF, optical, thermal, acoustic, magnetic
and any other signatures
13. Protection – The Army faces a number of current and future threats
which it must address to protect it Soldiers. Research is needed to
enhance Army capabilities for survival in the following areas:
a. Sensors to detect chemical, biological, radiological, nuclear,
and explosive threats
b. Lightweight, easy to manufacture armor
c. Cyber protection technologies, methodologies, and concepts
to protect Army systems including Soldiers, platforms,
networks, and munitions
d. Human performance optimization to endure harsh and
extenuating conditions
e. Soldier protection technologies including but not limited to
counter Unmanned Aerial System (c-UAS), counter missile,
counter overhead surveillance.
f. Rapid emplacement of counter mobility obstacles.
g. Early warning systems.
14. Human Performance – The Soldier is the foundation of all Army
capabilities. Technologies that reduce Soldiers’ mental or physical
burden and allow them to react faster than their adversaries are needed
in the following areas:
a. Human-machine interaction to ensure autonomous platforms
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are efficiently managed and exploited
b. Measuring effectiveness of and enhancing training tools and
techniques
c. Methodologies and approaches for effective augmentation of
Soldiers in areas of cognition, perception, and physical
performance
15. Contested Logistics – The Army is interested in research in contested
logistics technology that can maintain operational superiority over
adversaries through an environment in which logistics operations,
facilities, and activities are disrupted or non-existent. Research is
needed in areas such as:
a. Leveraging data analytics for predictive logistics capabilities.
b. Use of autonomous technology to extend operational reach,
prolong endurance and ensure freedom of action.
c. Reducing the Army’s logistics tail through innovative processes
or software tools.
d. Novel alternative fuel or energy sources that reduce logistical
burden.
e. Novel manufacturing techniques that support point of need
manufacturing in austere conditions.
16. Kinetic Payload – Kinetic payload technologies should provide
scalable effects to disrupt, decoy, and/or deliver lethal effects against
threats. Kinetic Payload research is needed in areas such as:
a. Augmentation of commercial off-the-shelf aerial systems to
deliver kinetic payloads.
b. Use of additive manufacturing to develop kinetic payloads
and/or delivery systems utilizing novel manufacturing
techniques.
c. Interchangeable delivery system that could attach multiple types
of kinetic payloads no matter size or weight.
d. Novel and/or alternative munition systems and associated
support equipment designed to autonomously or semi-
autonomously deliver effects.
(End of Section)
B. Federal Award Information
The ACC-APG-RTP Division has the authority to award a variety of instruments
on behalf of AFC. Anticipated awards will be made in the form of contracts,
grants, cooperative agreements, Other Transactions for Research, or Other
Transactions for Prototypes (OTAs). The ACC-APG-RTP Division reserves the
right to select the type of instrument most appropriate for the effort proposed.
Applicants should familiarize themselves with these instrument types and the
applicable regulations before submitting a proposal. Following are brief
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descriptions of the possible award instruments:
1. Procurement Contract. A legal instrument, consistent with 31 U.S.C. 6303,
which reflects a relationship between the Federal Government and a state
government, a local government, or other entity/contractor when the
principal purpose of the instrument is to acquire property or services for the
direct benefit or use of the Federal Government. Contracts are primarily
governed by the following regulations:
a. Federal Acquisition Regulation (FAR)
b. Defense Federal Acquisition Regulation Supplement (DFARS)
c. Army Federal Acquisition Regulation Supplement (AFARS)
2. Grant. A legal instrument that, consistent with 31 U.S.C. 6304, is used to
enter into a relationship:
a. The principal purpose of which is to transfer a thing of value 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 services for the Federal Government’s direct
benefit or use.
b. In which substantial involvement is not expected between the
Federal Government and the recipient when carrying out the
activity contemplated by the grant.
c. No fee or profit is allowed.
3. Cooperative Agreement. A legal instrument which, consistent with 31
U.S.C. 6305, is used to enter into the same kind of relationship as a grant
(see definition "grant") except that substantial involvement is expected
between the Federal Government and the recipient when carrying out the
activity contemplated by the cooperative agreement. The term does not
include "cooperative R&D agreements" as defined in 15 U.S.C. 3710a. No
fee or profit is allowed.
4. Other Transaction for Research. A legal instrument, consistent with 10
U.S.C. 4021, which may be used for basic, applied, and advanced research
projects. The research covered under this instrument cannot be duplicative
of research being conducted under an existing DoD program. To the
maximum extent practicable, OTs for research are to provide for a 50/50
cost share between the Government and the applicant. An applicant’s cost
share may take the form of cash, independent research and development
(IR&D), foregone intellectual property rights, equipment, access to unique
facilities, and/or other means. Due to the extent of cost share, and the fact
that an OT for research does not qualify as a “funding agreement” as
defined at 37 CFR 401.2(a), the intellectual property provisions of this
instrument can be negotiated to provide expanded protection to an
applicant’s intellectual property. No fee or profit is allowed on OTs for
research. Please refer to the Office of the Under Secretary of Defense for
Acquisition and Sustainment Other Transaction Guide version 2.0 dated
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July 2023 for additional information. This document, along with additional
other transaction agreement (OTA) resources, may be accessed at the
following link: https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-
areas.html
5. Other Transaction for Prototype (OTA). A legal instrument, consistent with
10 U.S.C. 4022, which may be used when the use of a contract, grant, or
cooperative agreement is not feasible or appropriate for prototype projects
directly relevant to enhancing the mission effectiveness of military
personnel and the supporting platforms, systems, components, or materials
proposed to be acquired or developed by the DoD, or to improvement of
platforms, systems, components, or materials in use by the armed forces.
The effort covered under an OTA shall not be duplicative of effort being
conducted under an existing DoD program (please refer to the Office of the
Under Secretary of Defense for Acquisition and Sustainment Other
Transaction Guide version 2.0 dated July 2023. This document, along with
other OTA resources, may be accessed at the following link:
https://www.acq.osd.mil/asda/dpc/cp/index.html
6. Governance of Instrument Types:
Grants and cooperative agreements for institutions of higher education,
nonprofit organizations, foreign organizations, and foreign public entities
are primarily governed by the following:
a. Federal statutes
b. Federal regulations
c. 2 CFR Part 200
d. 2 CFR Part 1104
e. 32 CFR Parts 21, 22, 26, and 28
f. DoD Research and Development General Terms and Conditions
g. Agency-specific Research Terms and Conditions
h. Grants and cooperative agreements for for-profit and nonprofit
organizations exempted from Subpart E—Cost Principles of 2 CFR
Part 200, are primarily governed by the following:
i. Federal statutes
ii. Federal regulations
iii. 32 CFR Part 34 - Administrative Requirements for Grants
and Agreements with For-Profit Organizations
iv. x32 CFR Parts 21, 22, 26, and 28
v. DoD Research and Development General Terms and
Conditions
vi. Agency-specific Research Terms and Conditions
OTs for Research are primarily governed by the following:
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i. Federal statutes
ii. Federal regulations
iii. Office of Secretary of Defense implementation guidance
titled Other Transactions (OT) Guide for Research Projects
(July 2023, Version 2)
iv. Guide to Research Other Transactions under 10 U.S.C. 4021
issued by the Office of the Under Secretary of Defense for
Research and Engineering
OTAs for Prototype projects are primarily governed by the following:
a. Federal statutes
b. Federal regulations
c. Office of Secretary of Defense implementation guidance titled Other
Transactions (OT) Guide for Prototype Projects
The following websites may be accessed to obtain an electronic copy of the
governing regulations and terms and conditions:
a. FAR, DFARS, and AFARS: https://www.acquisition.gov
b. Code of Federal Regulations: http://www.ecfr.gov
c. DoD Research and Development General Terms and Conditions:
https://www.nre.navy.mil/work-with-us/manage-your-award/manage-
grant-award/grants-terms-conditions
d. Agency-specific Research Terms and Conditions:
https://arl.devcom.army.mil/resources/baa-forms/#terms-and-
conditions
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C. Eligibility Information
1. Eligible Applicants
Eligible applicants under this BAA include institutions of higher
education, nonprofit organizations, state and local governments, foreign
organizations, foreign public entities, and for-profit organizations (i.e.
large and small businesses) for scientific research in mechanical sciences,
mathematical sciences, electronics, computing science, physics, chemistry,
life sciences, materials science, network science, and environmental
sciences. In accordance with FAR 35.016, Whitepapers and proposals will
be evaluated only if they are “for acquisition of basic and applied research
and that part of development not related to the development of a specific
system or hardware procurement. BAA’s may be used by agencies to
fulfill their requirements for scientific study and experimentation directed
toward advancing the state-of-the-art or increasing knowledge or
understanding rather than focusing on a specific system or hardware
solution.”
For foreign public entities or foreign organizations, see Section II.C.3.a
below for further information. There is no restriction on the place of
performance for awards issued under this BAA.
2. Cost Sharing or Matching
Generally, there is no requirement for cost sharing, matching, or cost
participation to be eligible for award under this BAA. Cost sharing and
matching is not an evaluation factor used under this BAA. Exceptions may
exist if the applicant is proposing the use of a research or prototype OT as
an award instrument. Cost-sharing requirements may be found within the
specified Other Transactions regulations and Other Transactions Guides
referenced in this BAA.
In addition, if cost sharing is proposed on a grant or cooperative
agreement proposal submitted by a nonprofit or institution of higher
education, the award will be subject to the restrictions at 2 CFR 200.306.
If cost sharing is proposed on a contract proposal, the award will be
subject to the restrictions at FAR 35.003.
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3. Other
a. Foreign public entities or foreign organizations are advised that security
restrictions may apply that could preclude their participation under this
BAA.
b. Pursuant to the policy of FAR 35.017 and supplements, selected
Federally Funded Research and Development Centers (FFRDC) may
propose under this BAA as allowed by their sponsoring agency and in
accordance with their sponsoring agency policy.
D. Application and Submission Information
1. Address to View Broad Agency Announcement This BAA may be
accessed via the following websites:
a. Grants.gov (www.grants.gov)
b. Federal Business Opportunities (www.SAM.gov)
c. AAL website http://www.aal.army/
d. Amendments to this BAA, if any, will be posted to these
websites when they occur. Interested parties are encouraged
to periodically check these websites for updates and
amendments.
The following information is for those wishing to respond to the BAA:
2. Content and Form of Application Submission –
a. General Information
i. Preliminary Inquiries: AAL will receive several hundred research
proposals annually. Because of financial constraints, AFC can
support for only a limited number of the proposals received.
Preparation of research proposals often represents a substantial
investment of time and effort by the applicant. Therefore, in an
attempt to minimize this burden, we strongly encourage applicants
interested in submitting proposals to make preliminary inquiries as
to the general need for the type of research effort contemplated,
before expending extensive effort in preparing a whitepaper and/or
detailed proposal or submitting proprietary information. The AAL
webpage allows preliminary inquiries to be made prior to
submitting a whitepaper or proposal. The Government will not be
obligated by any discussion that arises out of preliminary inquiries.
ii. Classified Inquiries or Submissions: Classified inquiries,
whitepapers or proposals are not expected. However, in an
unusual circumstance the applicant may be notified that access to
classified information and/or controlled unclassified information
will occur under the work proposed. In those instances where a
contract is awarded requiring access to classified information
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and/or controlled unclassified information, clause FAR 52.204-2
shall be in effect, as well as a DD254, if issued. For questions
regarding the potential for access to classified information and/or
controlled unclassified information, please contact AAL.
iii. Use of Color in Proposals: All proposals received will be stored as
electronic images. Electronic color images require a significantly
larger amount of storage space than black-and- white images. As a
result, applicants' use of color in proposals should be minimal and
used only when necessary for details. Only use color if it is not
necessary.
iv. Post-Employment Conflict of Interest: There are certain post-
employment restrictions on former federal employees, including
special government employees (18 U.S.C. 207). If a prospective
applicant believes a conflict of interest may exist, the situation
should be discussed with the TPOC provided on the AAL website
who will then coordinate with appropriate AFC legal counsel prior
to the applicant expending time and effort in preparing a proposal.
v. Statement of Disclosure Preference: In accordance with Section
II.D.2.e.iii of this BAA, Form 52 or 52A shall be completed
stating your preference for release of information contained in
your proposal. Copies of these forms may be downloaded from the
ARO web site at BAA Forms – DEVCOM Army Research Laboratory
NOTE: Proposals may be handled for administrative purposes by
support contractors. These support contractors are prohibited from
submitting proposals under this BAA and are bound by non- disclosure
and/or conflict of interest requirements as deemed appropriate.
vi. Equipment (see instrument-specific regulations provided in
Section II.B of this BAA): Normally, title to equipment or other
tangible property purchased with Government funds vests with
nonprofit institutions of higher education or with nonprofit
organizations whose primary purpose is conducting scientific
research if vesting will facilitate scientific research performed for
the Government. For-profit organizations are expected to possess
the necessary plant and equipment to conduct the proposed
research. Deviations may be made on a case-by-case basis to
allow for-profit organizations to purchase equipment but
regulatory disposition instructions must be followed.
b. The Application Process
The application process is in three stages as follows(with certain exceptions):
Stage 1 – Submit Whitepaper/Demonstration - Prospective proposers
are required to submit whitepapers prior to the submission of a complete,
more detailed proposal. The purpose of whitepapers is to minimize the
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labor and cost associated with the production of detailed proposals that
have very little chance of being selected for funding. Based on
assessment of the whitepapers, feedback will be provided to the
proposers if requested and if encouraged to submit a full proposal.
Whitepapers should present the effort in sufficient detail to allow
evaluation of the concept's scientific merit and its potential contributions
of the effort to the Army mission.
In lieu of a whitepaper, potential Applicants may have the opportunity to
present their research idea to AAL representatives at demonstration
events or other meetings held by AAL. In this scenario, AAL may
provide feedback on these presentations which will satisfy the
requirement of a White Paper submission. Under this scenario,
Applicants may proceed to Stage 3 without following the specific
Whitepaper submission process outlined above.
Under either scenario, full proposal submissions will follow the same
evaluation and selection procedures outlined in this BAA.
Stage 2 – Register with SAM (OPTIONAL) - Although whitepapers are
required prior to AAL requesting a complete proposal, applicants may
elect to execute this step prior to receiving a request for proposal in order
to expedite any potential award.
Process: You will receive a Unique Entity Identifier (UEI) when
registering at the System for Award Management System (SAM) website
at https://www.sam.gov A UEI fact sheet can be found at
https://www2.ed.gov/about/offices/list/ofo/docs/unique-entity-identifier-
transition-fact-sheet.pdf http://fedgov.dnb.com/webform
This sheet will provide detailed instructions on how to register or update your
SAM account and receive a UEI. Please allow a minimum of two (2) business
days for this process to take place. If you have any questions regarding this
process, please reach out to https://www.fsd.gov/gsafsd_sp for assistance.
Stage 3 – Submit a Full Proposal - Applicants who have completed the
process in Stage 1 above will make their submission under the terms and
conditions cited in this BAA and will be reviewed regardless of the
feedback on the whitepaper. Complete proposals must be submitted in
order for the applicant to be considered for funding.
All proposals for Assistance Instruments must be submitted electronically
through Grants.gov using Workspace. Proposals for Contracts may be
submitted via email to:
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aal-baa@army.mil. See Section II.D.2.f of this BAA for information on the
proposal submission process.
Requests for waiver of electronic submission requirements may be
submitted via email to: aal-baa@army.mil
All required forms for proposals may be downloaded from the ARO web
site at https://arl.devcom.army.mil/resources/baa-forms
c. Whitepaper Preparation
i. Whitepapers should focus on describing details of the
proposed research, including how it is innovative, how it
could substantially increase the scientific state of the art,
Army relevance, and potential impact.
ii. Whitepapers must be submitted through the AAL website,
https://aal.army. The automated submission tool constrains
the submission to a limited amount of written material. The
details of these limitations are described on the website.
iii. Format and content of whitepapers:
iv. Using input from the applicant, The AAL website will
generate the following:
(1) COVER PAGE: The whitepaper cover page shall
include at a minimum:
(a) Title of the whitepaper
(b) Name of the organization submitting the whitepaper
(c) Names of any participating organizations
(d) UEI of the organization submitting the
whitepaper
(e) Name, address, email, phone # of the applicant’s
POC
(2) ORGANIZATION OVERVIEW
(a) Brief description of company (max 500 characters)
(b) Year Founded
(c) Company Size (based on full time employees)
(d) Investment Status
(e) Approximate Annual Revenue
(f) (Optional) Other Key Events (funding, patent filing,
product launch, awards and recognition, etc.) (Max 80
characters)
(g) Number of Federal Awards (Non-DoD)
(h) Approximate Amount of Federal Awards (non-DoD)
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(i) Number of Federal Awards (DoD)
(j) Approximate Amount of Federal Awards (DoD)
(k) Company Request (funding, partnership, industry
introduction, licensing agreements, other)
(l) SBIR Eligible
(3) TECHNICAL CONTENT:
(a) Technical Proposal Summary (Max 1,500 characters)
(b) What TRL is your technology at in it's current form?
(c) What TRL is your technology at for your military use
case?
TRL info can be found at:
https://www.nasa.gov/directorates/heo/scan/engineering/tech
nology/technology_readiness_level
(d) Tell us more about your technology (technical approach,
major milestone and research objectives, ongoing
government or commercial work related to proposed
solution, impact to the Army and expected TRL at end
of desired effort) (Max 10,000 characters).
(e) If selected for a contract, what resources do you require
with AAL's assistance.
(f) If selected for a contract, how would a successful AAL
engagement impact your company? (max 1000
characters)
(4) SCHEDULE AND COST:
(a) How many months will it take to perform this
work?
(b) Approximately how much will it cost to perform
this work?
(c) (Optional) If you'd like to propose any cost sharing
ideas, please explain (max 250 characters).
(5) YOUR TEAM:
(a) Up to three relevant people: Name, Email Phone,
City, State, Education Summary, Professional
Summary and/or LinkedIn page (Max 500
characters)
(6) MEDIA LINKS (OPTIONAL)
(a) Technical Specifications
(b) Images
(c) Pitch Decks
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v. RESTRICTIVE MARKINGS ON WHITEPAPERS:
(1) Any proprietary data that the applicant intends to be used
only by the Government for evaluation purposes must be
clearly marked. The automated tool on the website will
allow applicants to flag sections appropriately. The
applicant must also identify any technical data or
computer software contained in the whitepaper that is to
be treated by the Government as limited rights in
technical data and restricted rights in computer software.
In the absence of such identification, the Government will
conclude there are no limitations or restrictions on
technical data or computer software included in the
whitepaper. Records or data bearing a restrictive legend
may be included in the whitepaper. It is the intent of the
Army to treat all whitepapers as procurement sensitive
before award and to disclose their contents only for the
purpose of evaluation.
Care must be exercised to ensure that classified, sensitive,
and critical technologies are not included in a whitepaper.
If such information is required, appropriate conversations
must take place with AAL prior to submission of the
whitepaper.
(2) Applicants are cautioned, however, that portions of the
whitepapers may be subject to release under terms of
the Freedom of Information Act, 5
U.S.C. 552, as amended.
vi. EVALUATION AND DISPOSITION OF WHITEPAPERS
(1) Evaluation Process: Applicants are advised that invitations for
proposals will be made based on the whitepaper submission and
the availability of funding. The whitepaper will be evaluated for
the concept's scientific merit and potential contributions of the
effort to the Army mission. Applicants whose whitepapers are
evaluated as having significant scientific merit may be invited to
submit a proposal.
(2) Disposition Process: The applicant will be notified in writing
after completion of the evaluation.
d. Whitepaper Submission
All whitepapers must be submitted through the AAL website tool.
e. Preparation of Proposals
i. COVER PAGE:
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(1) A Cover Page is required. For contract proposals submitted
by email, use ARO Form 51. For all Assistance
instruments and contract proposals submitted via
Grants.gov, use the Standard Form (SF) 424 (Research and
Related (R&R)) Form. Proposals will not be processed
without either: (1) a signed Cover Page, ARO Form 51, or
(2) a SF 424 (R&R) Form.
(2) Should the project be carried out at a branch campus or
other component of the applicant, that branch campus or
component should be identified in the space provided
(Block 11 on the ARO Form 51 and Block 12 on the SF
424 (R&R) Form).
(3) The title of the proposed project should be brief,
scientifically representative, intelligible to a scientifically
literate reader, and suitable for use in the public domain.
(4) The proposed duration for which support is requested
should be consistent with the nature and complexity of the
proposed activity. Applicants shall discuss the preferred
performance period with AAL.
(5) Specification of a desired starting date for the project is
important and helpful; however, requested effective
dates cannot be guaranteed.
(6) Pursuant to 31 U.S.C. 7701, as amended by the Debt
Collection Improvement Act of 1996 [Section 31001(I)(1),
Public Law 104-134] and implemented by 32 CFR
22.420(d), federal agencies shall obtain each awardees’
Taxpayer Identification Number (TIN). The TIN is being
obtained for purposes of collecting and reporting on any
delinquent amounts that may arise out of an awardees’
relationship with the Government.
(7) Applicants shall provide their organization's Unique
Entity Identifier (formerly DUNS). This number is nine-
digits. See Section II.D.3 of this BAA for requirements
pertaining to the Unique Entity Identifier.
(8) Applicants shall provide their assigned Commercial and
Government Entity (CAGE) Code. The CAGE Code is a 5-
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character code assigned and maintained by the Defense
Logistics Service Center (DLSC) to identify a commercial
plant or establishment.
ii. TABLE OF CONTENTS: Use the following format for the
Table of Contents. Forms are available at
https://arl.devcom.army.mil/resources/baa-forms
SECTION PAGE NUMBER
Table of Contents A-1
Statement of Disclosure Preference (Form 52 or 52A) B-1
Research and Related Other Project Information B-2
Project Abstract C-1
Project Description (Technical Proposal) D-1 - D-1
Biographical Sketch E-1
Bibliography F-1 - F-1
Current and Pending Support G-1
Facilities, Equipment, and Other Resources H-1
Proposal Budget I-1
Contract Facilities Capital Cost of Money (FCCM) (DD Form
1861) J-1
Appendices K-1
List Appendix Items:
This format applies to all proposals submitted via email and via
Grants.gov. Applicants should show the location of each section of
the proposal, as well as major subdivisions of the project
description.
iii. STATEMENT OF DISCLOSURE PREFERENCE
(FORM 52 OR 52A): Complete and sign ARO Form
52 (Industrial Contractors) or ARO Form 52A
(Educational and Nonprofit Organizations). Form can
be found at
https://arl.devcom.army.mil/resources/baa-forms
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iv. RESEARCH AND RELATED OTHER PROJECT
INFORMATION: Must be completed and signed by
all applicants.
v. PROJECT ABSTRACT:
The project abstract shall be completed on the form entitled
“Publicly Releasable Project Abstract” found at the
following website:
https://arl.devcom.army.mil/resources/baa-forms
(1) Unless otherwise instructed in this BAA, the project
abstract shall include a concise statement of work and basic
approaches to be used in the proposed effort. The abstract
should include a statement of scientific objectives, methods
to be employed, and the significance of the proposed effort
to the advancement of scientific knowledge.
(2) The abstract should be no longer than one (1) page (maximum
4,000 characters).
(3) The project abstract shall be marked by the applicant as
publicly releasable. By submission of the project abstract,
the applicant confirms that the abstract is releasable to the
public. For a proposal that results in a grant award, the
project abstract will be posted to a searchable website
available to the general public to meet the requirements of
Section 8123 of the DoD Appropriations Act, 2015. The
website address is https://dodgrantawards.dtic.mil/grants.
vi. PROJECT DESCRIPTION (TECHNICAL PROPOSAL):
The technical portion of the proposal shall contain the
following:
(1) A complete discussion stating the background and objectives
of the proposed work, the scientific approaches to be
considered, the relationship to competing or related research,
and the level of effort to be employed. Also include the
nature and extent of the anticipated results and how they will
significantly advance the scientific state-of- the-art. Also, if
known, include the manner in which the work will contribute
to the accomplishment of the Army's mission. Ensure the
proposal identifies any scientific uncertainties and describes
specific approaches for the resolution or mitigation of the
uncertainties.
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(2) A brief description of your organization.
(3) The names of other federal, state, local agencies, or other
parties receiving the proposal and/or funding the proposed
effort. If none, state so. Concurrent or later submission of
the proposal to other organizations will not prejudice its
review by the AFC if we are kept informed of the situation.
(4) A statement regarding possible impact, if any, of the
proposed effort on the environment, considering as a
minimum its effect upon water, atmosphere, natural
resources, human resources, and any other values.
(5) A statement regarding the use of Class I and Class II ozone-
depleting substances. Ozone- depleting substances are any
substance designated as Class I by EPA, including but not
limited to chlorofluorocarbons, halons, carbon tetrachloride,
and methyl chloroform, and any substance designated as
Class II by EPA, including but not limited to
hydrochlorofluorocarbons. See 40 CFR Part 82 for detailed
information. If Class I or II substances are to be utilized, a list shall
be provided as part of the applicant's proposal. If none, state so.
(6) The type of support, if any, requested by the applicant (e.g.,
facilities, equipment, and materials).
vii. BIOGRAPHICAL SKETCH:
(1) This section shall contain the biographical sketches for key
personnel only.
(2) Primary Principal Investigator (PI): The Primary PI provides a
single or initial point of communication between the AFC and the
awardee organization(s) about scientific matters. If not otherwise
designated, the first PI listed will serve as the Primary PI. This
individual can be changed with notification to AFC. AFC does not
infer any additional scientific stature to this role among
collaborating investigators.
(3) Co-Principal Investigators: The individual(s) a research
organization designates as having an appropriate level of authority
and responsibility for the proper conduct of the research and
submission of required reports to AFC. When an organization
designates more than one PI, it identifies them as individuals who
share the authority and responsibility for leading and directing the
research, intellectually and logistically. AFC does not infer any
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distinction among multiple PIs.
(4) The following information is required:
(a) Relevant experience and employment history including
a description of any prior Federal employment within
one year preceding the date of proposal submission.
(b) List of up to five publications most closely related to
the proposed project and up to five other significant
publications, including those being printed. Patents,
copyrights, or software systems developed may be
substituted for publications.
(c) List of persons, other than those cited in the
publications list, who have collaborated on a project or
a book, article, report, or paper within the last four
years. Include pending publications and submissions.
Otherwise, state "None."
(d) Names of each investigator's own graduate or post-
graduate advisors and advisees.
NOTE: The information provided in (c) and (d) is used to help identify
potential conflicts or bias in the selection of reviewers.
(5) For the personnel categories of postdoctoral associates, other
professionals, and students (research assistants), the proposal may
include information on exceptional qualifications of these
individuals that merit consideration in the evaluation of the
proposal.
(6) The biographical sketches are limited to three (3) pages per
investigator and other individuals that merit consideration.
viii. BIBLIOGRAPHY: A bibliography of pertinent literature is
required. Citations must be complete (including full name of
author(s), title, and location in the literature).
ix. CURRENT AND PENDING SUPPORT:
(1) All project support from whatever source must be listed. The
list must include all projects requiring a portion of the PI's
and other key personnel's time, even if they receive no salary
support from the project(s).
(2) The information should include, as a minimum: (i) the
project/proposal title and brief description, (ii) the name and
location of the organization or agency presently funding the
work or requested to fund such work, (iii) the award amount
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or annual dollar volume of the effort, (iv) the period of
performance, and (v) a breakdown of the time required of the
PI and/or other key personnel.
x. FACILITIES, EQUIPMENT, and OTHER RESOURCES:
The applicant should include in the proposal a listing of
facilities, equipment, and other resources already available to
perform the research proposed.
xi. PROPOSAL BUDGET (including DD Form 1861 if
applicable): Form can be found at
https://arl.devcom.army.mil/resources/baa-forms
(1) Each proposal must contain a budget for each year of
support requested and a cumulative budget for the full term
of requested support. Each budget year and the cumulative
budget for the full term must be documented on ARO Form
99. ARO Form 99 may be reproduced, but you may not
make substitutions in prescribed budget categories nor alter
or rearrange the cost categories as they appear on the form.
The proposal may request funds under any of the categories
listed so long as the item is considered necessary to
perform the proposed work and is not precluded by
applicable cost principles. In addition to the forms, the
budget proposal should include budget justification for each
year. ARO Form 99 can be found at
https://arl.devcom.army.mil/resources/baa-forms .
(2) A signed summary budget page must be included. The
documentation pages should be titled "Budget Explanation
Page" and numbered chronologically starting with the budget
form. The need for each item should be explained clearly.
(3) All cost data must be current and complete. Costs proposed
must conform to the following principles and procedures:
(a) Institutions of Higher Education: 2 CFR Part 200
(b) Nonprofit Organizations: 2 CFR Part 200
(c) For-Profit/Commercial Organizations: FAR Part 31, DFARS
Part 231,
(d) FAR Subsection 15.403-5, and DFARS Subsection 215.403-
5.t
(e) For those nonprofit organizations specifically exempt
from the provisions of Subpart E of 2 CFR Part 200 (see
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2 CFR 200.401(c)), FAR Part 31 and DFARS Part 231
shall apply.
(4) Sample itemized budgets and the information they must
include for a contract and for grants and cooperative
agreements can be found at Section II.H of this BAA (Other
Information). Before award of a cost-type contract or
assistance instrument it must be established that an approved
accounting system and financial management system exist.
xii. APPENDICES: Some situations require that special
information and supporting documents be included in the
proposal before funding can be approved. Such information
and documentation should be included by appendix to the
proposal.
To evaluate compliance with Title IX of the Education
Amendments of 1972 (20 U.S.C. A Section 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. To enable this
assessment, each application must include the following
forms completed as indicated.
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/PI or Co-PD/PI
on the form. Additional senior/key persons can be added by
selecting the “Next Person” button.
Research and Related Personal Data form:
(1) 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-
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Principal Investigator(s). Each application must include this
form with the name fields of the Project Director/Principal
Investigator or 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 purposed 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.
f. Submission of Proposals
Proposals must be submitted by email (only when a contract is
requested) or through Grants.gov. Proposals must be submitted through
the applicant’s organizational office having responsibility for
Government business relations. All signatures must be that of an official
authorized to commit the organization in business and financial affairs.
Proposal content requirements remain the same for both email and
Grants.gov submission.
i. EMAIL SUBMISSION (only when a Contract is
the requested form of agreement):
(1) Proposals requesting a Contract may be emailed
directly to aal-baa@army.mil. All emailed
proposals must adhere to the format requirements
and contain the information outlined in Section
II.D.2.e of this BAA.
(2) The applicant must include with its proposal
submission the representations required by Section
II.F.2.a.i of this BAA. The representations must include
applicant point of contact (POC) information and be
signed by an authorized representative. Note: If the
applicant’s SAM Representations and Certifications
include its response to the representations a hard copy
representation is not required with proposal
submission.
(3) All forms requiring signature must be completed,
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printed, signed, and scanned into a PDF document. All
documents must be combined into a single PDF
formatted file to be attached to the email.
(4) Proposal documents (excluding required forms) must use the
following format:
(a) Page Size – 8 ½ x 11 inches
(b) Margins – 1 inch
(c) Spacing – single
(d) Font – Times New Roman, 12 point, single-sided pages
g. GRANTS.GOV SUBMISSION (For all proposals requesting Assistance
agreements)
i. Proposals requesting an assistance instrument shall be submitted via
Grants.gov:
(1) Grants.gov Registration (See Section II.D.2.h below) must be
accomplished prior to application submission in Grants.gov.
(2) NOTE: All web links referenced in this section are subject to
change by Grants.gov and may not be updated here.
ii. Specific forms are required for submission of a proposal. The
forms are contained in the Application Package available through
the Grants.gov application process. To access these materials, go
to http://www.grants.gov, select "Apply for Grants,” and then
select "Get Application Package." A Grant Application Package
and Application Instructions are available through the Grants.gov
Apply portal under CFDA Number 12.431/Funding Opportunity
Number W911NF-24-S-0008. Select “Apply” and then “Apply
Now Using Workspace.”
*NOTE: Effective 31 December 2017, the legacy PDF
application package on Grants.gov will be retired and
applicants must apply online at Grants.gov using the
application Workspace. For access to complete
instructions on how to apply for opportunities using
Workspace refer to
https://www.grants.gov/web/grants/applicants/workspace-
overview.html.
The following documents are mandatory: (1) Application
for Federal Assistance (R&R) (SF 424 (R&R)), and (2)
Attachments form.
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iii. The SF 424 (R&R) form is to be used as the cover page for all
proposals submitted via Grants.gov. The SF 424 (R&R) must be
fully completed. Authorized Organization Representative (AOR)
usernames and passwords serve as “electronic signatures” when
your organization submits applications through Grants.gov. By
using the SF 424 (R&R), proposers are providing the certification
required by 32 CFR Part 28 regarding lobbying (see Section
II.F.2.a.ii of this BAA). Block 11, “Descriptive Title of
Applicant’s Project,” must reference the research topic area
being addressed in the effort by identifying the specific
paragraph from Section II.A of this BAA.
iv. The Attachments form must contain the documents outlined in
Section II.D.2.e.ii entitled “Table of Contents”. All documents
must be combined into separate and single PDF formatted files
using the Table of Contents names. Include “W911NF- 19-S-
0004” in the title so the proposal will be distinguished from other
BAA submissions and upload each document to the mandatory
Attachments form.
v. The applicant must include with its proposal submission the
representations required by Section II.F.2.a.ii of this BAA. The
representations must include applicant POC information and be
signed by an authorized representative. Attach the
representations document to an available field within the
Attachments form. Note: If the applicant’s SAM Representations
and Certifications include its response to the representations a
hard copy representation is not required with proposal
submission.
vi. The Grants.gov User Guide at:
http://www.grants.gov/help/html/help/index.htm?callingApp=custo
m#t=Get_Start ed%2FGet_Started.htm will assist AORs in the
application process. Remember that you must open and complete
the Application for Federal Assistance (R&R) (SF 424 (R&R))
first, as this form will automatically populate data fields in other
forms. If you encounter any problems, contact customer support
at 1-800-518- 4726 or at support@grants.gov. If you forget your
username or password, follow the instructions provided in the
Credential Provider tutorial. Tutorials may be printed by right-
clicking on the tutorial and selecting “Print”.
vii. As it is possible for Grants.gov to reject the proposal during
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this process, it is strongly recommended that proposals be
uploaded at least two days before any established deadline in
the BAA so that they will not be received late and be
ineligible for award consideration. It is also recommended to
start uploading proposals at least two days before the deadline
to plan ahead for any potential technical and/or input
problems involving the applicant’s own equipment.
h. Grants.gov Registration
i. Each organization that desires to submit applications via Grants.Gov
must complete a one-time registration. There are several one-time
actions your organization must complete in order to submit
applications through Grants.gov (e.g., obtain a Unique Entity
Identifier, register with the SAM, register with the credential
provider, register with Grants.gov and obtain approval for an AOR
to submit applications on behalf of the organization). To register
please see
http://www.grants.gov/web/grants/applicants/organization-
registration.html
ii. Please note the registration process for an organization or an
individual can take between three to five business days or as long as
four weeks if all steps are not completed in a timely manner.
iii. Questions relating to the registration process, system requirements,
how an application form works, or the submittal process should be
directed to Grants.gov at 1-800-518-4726 or support@grants.gov.
3. Unique Entity Identifier and System for Award Management (SAM)
a. Each applicant (unless the applicant is an individual or Federal awarding
agency that is exempt from those requirements under 2 CFR 25.110(b) or
(c), or has an exemption approved by the Federal awarding agency under
2 CFR 25.110(d)) is required to:
i. Be registered in SAM prior to submitting its application;
ii. Provide a valid unique entity identifier (formerly DUNS) in its
application; and
iii. 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 awarding agency.
b. The Federal awarding agency may not make a Federal award to an
applicant until the applicant has complied with all applicable unique
entity identifier and SAM requirements. If an applicant has not fully
complied with the requirements by the time the Federal awarding agency
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is ready to make a Federal award, the Federal awarding agency may
determine that the applicant is not qualified to receive a Federal award
and use that determination as a basis for making a Federal award to
another applicant.
4. Submission Dates and Times
a. Proposals - Proposals will be considered until and including the closing
date of this announcement (see cover page of this announcement for
opening/closing dates), except for special programs identified in this BAA
that may announce specific opening/closing dates. Proposals submitted
after the closing date will not be considered by the Government.
b. Proposal Receipt Notices Grants.gov: After a proposal is submitted to
Grants.gov, the AOR will receive a series of three emails from
Grants.gov. The first two emails will be received within 24 to 48 hours
after submission. The first email will confirm time of receipt of the
proposal by the Grants.gov system and the second will indicate that the
proposal has either been successfully validated by the system prior to
transmission to the grantor agency or has been rejected due to errors. A
third email will be received once the grantor agency has confirmed receipt
of the proposal. Reference the Grants.gov User Guide at
http://www.grants.gov/help/html/help/index.htm?callingApp=custo
m#t=Get_Started%2FGet_Star ted.htm for information on how to track
your application package.
For the purposes of this BAA, an applicant’s proposal is not considered
received by AFC until the AOR receives email.
c. Email Submission: After a proposal is submitted to aal-baa@army.mil,
the AOR will receive an email confirming time of receipt of the proposal
by the grantor agency. For the purposes of this BAA, an applicant’s
proposal is not considered received by the grantor agency until the AOR
receives the email confirming receipt of the proposal.
5. Intergovernmental Review
Not Applicable
6. Funding Restrictions
There are no specific funding restrictions associated with this BAA (e.g.
direct costs, indirect costs, etc.).
7. Other Submission Requirements
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a. Information to Be Requested from Successful Applicants: Applicants
whose proposals are accepted for funding will be contacted before
award to provide additional information required for award. The
required information may include requests to clarifying budget
explanations, representations, certifications, and some technical
aspects. Such information may include capitalization rate tables,
ownership and/or equity tables, as determined by the Agency in order
to conduct due diligence requirements.
b. For Contracts Only: Performance Work Statements (PWS). Prior to
award the Contracting Officer may request that the contractor submit a
PWS for the effort to be performed, which will be incorporated into
the contract at the time of award.
(End of Section)
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E. Application Review Information
1. Criteria
Proposals submitted in response to this BAA will be evaluated using the
factors listed below (in descending order of importance from most
important to least important):
a. The overall scientific and/or technical merits of the proposal and an
assessment of risk versus potential impact of the technology
b. The potential contributions of the effort to the Army mission and the
extent to which the research effort will contribute to balancing the
overall AFC research program.
c. Cost realism and reasonableness.
d. Teaming arrangements and methodologies for creating and modifying
teaming arrangements with other organizations.
e. The applicant'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 PI,
team leader, or other key personnel who are critical to achievement of
the proposed objectives.
g. The applicant's record of past performance.
2. Review and Selection Process
a. Upon receipt of a proposal, the AFC 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 having sufficient scientific merit
or relevance to the Army's needs, or those in areas for which funds are
not expected to be available, may not receive further review.
b. All proposals are treated as procurement sensitive and are disclosed
only for the purpose of evaluation. Proposals not declined as a result of
an initial review will be subject to a peer review by highly qualified
scientists. While the applicant may restrict the evaluation to scientists
from within the Government, to do so may prevent review of the
proposal by those most qualified in the field of research covered by the
proposal. The applicant must indicate on the appropriate proposal form
(Form 52 or 52A) any limitation to be placed on disclosure of
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information contained in the proposal.
c. Each proposal will be evaluated based on all the evaluation criteria in
Section II.E.1of this BAA rather than against other proposals for
research in the same general area.
d. Upon completion of an evaluation against the criteria in Section II.E.1, a
proposal selected for possible award will be analyzed for the realism and
reasonableness of costs. Proposal costs must be determined reasonable
and realistic before the Government can make an award.
3. Recipient Qualification
a. Grant and Cooperative Agreement Proposals:
i. 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.
ii. In accordance with Office of Management and Budget
(OMB) guidance in parts 180 and 200 of Title 2, CFR, it
is DoD policy that DoD Components must report and use
integrity and performance information in the Federal
Awardee Performance and Integrity Information System
(FAPIIS), or any successor system designated by OMB,
concerning grants, cooperative agreements, and TIAs as
follows:
If the total Federal share will be greater than the
simplified acquisition threshold on any Federal award
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under a notice of funding opportunity (see 2 CFR 200.88
Simplified Acquisition Threshold):
(1) 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
(currently FAPIIS) (see 41 U.S.C. 2313);
(2) An applicant, at its option, 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;
(3) 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 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.
b. Contract Proposals:
i. Contracts shall be awarded to responsible prospective contractors
only. See FAR 9.104-1 for a listing of the general standards against
which an applicant will be assessed to determine responsibility.
Applicants are requested to provide information with proposal
submission to assist the Contracting Officer’s evaluation of
responsibility.
ii. FAPIIS will be checked prior to making an award. The web address
is: https://cpars.govThe applicant representing the entity may
comment in this system on any information about the entity that a
federal government official entered. The information in FAPIIS will
be used 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 applicant is qualified to
receive an award.
c. Research and Prototype OTA Proposals:
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i. Proposals for Research and Prototype OTAs may only be
considered for award once it has been determined that the
eligibility requirements of 10 U.S.C. 4021 or 10 U.S.C. 4022, as
well as the Other Transactions Guides referenced in this BAA,
have been satisfied.
(End of Section)
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F. Award Administration Information
1. Award Notices
Applicants whose proposals are recommended for award may be contacted
by a Contract/Grant Specialist to discuss additional information required
for award. This may include representations and certifications, revised
budgets or budget explanations, certificate of current cost or pricing data,
subcontracting plan for small businesses, and/or other information as
applicable to the proposed award. The anticipated start date will be
determined at that time.
The notification email 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/ Grants/Agreements Officer signs the
award document.
The award document signed by the Government Contracting/Grants
Officer is the official and authorizing award instrument. The authorizing
award instrument, signed by the Contracting/ Grants/ Agreements Officer,
will be emailed to the PI and AOR.
2. Administrative and National Policy Requirements
a. Required Representations and Certifications:
i. Contract Proposals:
(1) Representations and certifications shall be completed by
successful applicants prior to award. FAR Online
Representations and Certifications are to be completed through
SAM at https://www.SAM.gov. As appropriate, DFARS and
contract-specific certification packages will be provided to the
contractor for completion prior to award.
(2) FAR 52.203-18, PROHIBITION ON CONTRACTING WITH
ENTITIES THAT REQUIRE CERTAIN CONFIDENTIALITY
AGREEMENTS OR STATEMENTS—REPRESENTATION
(JAN 2017)
(a) Definition. As used in this provision--
“Internal confidentiality agreement or statement”,
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“subcontract”, and “subcontractor”, are defined in the
clause at 52.203-19, Prohibition on Requiring Certain
Internal Confidentiality Agreements or Statements.
(b) In accordance with section 743 of Division E, Title VII, of
the Consolidated and Further Continuing Appropriations
Act, 2015 (Pub. L. 113-235) and its successor provisions in
subsequent appropriations acts (and as extended in
continuing resolutions), Government agencies are not
permitted to use funds appropriated (or otherwise made
available) for contracts with an entity that requires
employees or subcontractors of such entity seeking to report
waste, fraud, or abuse to sign internal confidentiality
agreements or statements prohibiting or otherwise
restricting such employees or subcontractors from lawfully
reporting such waste, fraud, or abuse to a designated
investigative or law enforcement representative of a Federal
department or agency authorized to receive such
information.
(c) The prohibition in paragraph (b) of this provision does not
contravene requirements applicable to SF 312, (Classified
Information Nondisclosure Agreement), Form 4414
(Sensitive Compartmented Information Nondisclosure
Agreement), or any other form issued by a Federal
department or agency governing the nondisclosure of
classified information.
(d) Representation. By submission of its offer, the applicant
represents that it will not require its employees or
subcontractors to sign or comply with internal
confidentiality agreements or statements prohibiting or
otherwise restricting such employees or subcontractors from
lawfully reporting waste, fraud, or abuse related to the
performance of a Government contract to a designated
investigative or law enforcement representative of a Federal
department or agency authorized to receive such
information (e.g., agency Office of the Inspector General).
(3) FAR 52.209-11, REPRESENTATION BY
CORPORATIONS REGARDING DELINQUENT TAX
LIABILITY OR A FELONY CONVICTION UNDER
FEDERAL LAW (FEB 2016)
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As required by sections 744 and 745 of Division E of the
Consolidated and Further Continuing Appropriations Act, 2015
(Pub. L 113-235), and similar provisions, if contained in
subsequent appropriations acts, the Government will not enter
into a contract with any corporation that--
Has any unpaid Federal tax liability that has been assessed, for
which all judicial and administrative remedies have been
exhausted or have lapsed, and that is not being paid in a timely
manner pursuant to an agreement with the authority responsible
for collecting the tax liability, where the awarding agency is
aware of the unpaid tax liability, unless an agency has
considered suspension or debarment of the corporation and
made a determination that suspension or debarment is not
necessary to protect the interests of the Government; or
Was convicted of a felony criminal violation under any Federal
law within the preceding 24 months, where the awarding agency
is aware of the conviction, unless an agency has considered
suspension or debarment of the corporation and made a
determination that this action is not necessary to protect the
interests of the Government.
The applicant represents that—
It is [ ] is not [ ] a corporation that has any unpaid Federal tax
liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and
that is not being paid in a timely manner pursuant to an
agreement with the authority responsible for collecting the tax
liability; and
It is [ ] is not [ ] a corporation that was convicted of a felony
criminal violation under a Federal law within the preceding 24
months.
(4) FAR 52.204-26, COVERED TELECOMMUNICATIONS EQUIPMENT
OR SERVICES- REPRESENTATION (OCT 2020)
a) Definitions. As used in this provision, "covered telecommunications
equipment or services" and "reasonable inquiry" have the meaning
provided in the clause 52.204-25, Prohibition on Contracting for Certain
Telecommunications and Video Surveillance Services or Equipment.
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(b) Procedures. The Offeror shall review the list of excluded parties in the
System for Award Management (SAM) ( https://www.sam.gov) for
entities excluded from receiving federal awards for "covered
telecommunications equipment or services".
(c)(1) Representation. The Offeror represents that it [ ] does, [ ] does not
provide covered telecommunications equipment or services as a part of its
offered products or services to the Government in the performance of any
contract, subcontract, or other contractual instrument.
(2) After conducting a reasonable inquiry for purposes of this
representation, the offeror represents that it [ ] does, [ ] does not use
covered telecommunications equipment or services, or any equipment,
system, or service that uses covered telecommunications equipment or
services.
ii. Grant and Cooperative Agreement Proposals:
(1) Grant awards greater than $100,000 require a certification of compliance
with a national policy mandate concerning lobbying. Statutes and
Government-wide regulations require the certification to be submitted
prior to award. When submitting your grant through Grants.gov, by
completing blocks 18 and 19 of the SF 424 ( R&R) Form, the grant
applicant is providing the certification on lobbying required by 32 CFR
Part 28; otherwise a copy signed by the AOR must be provided. Below is
the required certification:
CERTIFICATION AT APPENDIX A TO 32 CFR PART 28
REGARDING LOBBYING: Certification for Contracts, Grants, Loans,
and Cooperative Agreements the undersigned certifies, 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, amendment, or modification of any Federal contract, grant,
loan, or cooperative agreement.
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(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 SF-LLL,
"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, loans, and
cooperative agreements) and that all subrecipients 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.
(2) In accordance with Continuing Appropriations Act, 2017 (Pub. L. 114-
223), or any other Act that extends to fiscal year (FY) 2017 funds the
same prohibitions as contained in section 743, division E, title VII, of the
Consolidated Appropriations Act, 2016 (Pub. L. 114-113), none of the
funds appropriated or otherwise made available by that or any other Act
may be made available for a grant or cooperative agreement with an entity
that requires its employees or contractors seeking to report fraud, waste, or
abuse to sign internal confidentiality agreements or statements prohibiting
or otherwise restricting those employees or contractors 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 the information.
PROHIBITION ON CONTRACTING WITH ENTITIES THAT
REQUIRED CERTAIN INTERNAL CONFIDENTIALITY
AGREEMENTS – REPRESENTATION
Agreement with the representation below will be affirmed by
checking the “I agree” box in block 17 of the SF424 (R&R) as part
of the electronic proposal submitted via Grants.gov. The
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representation reads as follows:
By submission of its proposal or application, the applicant
represents that it 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.
*Note that: Section 743 states that it does not contravene
requirements applicable to SF 312, Form 4414, or any other form
issued by a Federal department or agency governing the
nondisclosure of classified information.
(3) Recipients are required to submit the following representation with the
application package in accordance with the instructions at Section
II.D.2.f.ii of this BAA:
REPRESENTATIONS UNDER DOD ASSISTANCE
AGREEMENTS: APPROPRIATIONS PROVISIONS ON TAX
DELINQUENCY AND FELONY CONVICTIONS
The applicant is ( ) is not ( ) a “Corporation” meaning any entity,
including any institution of higher education, other nonprofit
organization, or for-profit entity that has filed articles of
incorporation.
If the applicant is a “Corporation” please complete the following
representations:
(a) The applicant represents that it is ( ) is not ( ) a corporation that
has any unpaid Federal tax liability that has been assessed, for
which all judicial and administrative remedies have been
exhausted or have lapsed, and that is not being paid in a timely
manner pursuant to an agreement with the authority responsible
for collecting the tax liability.
(b) The applicant represents that it is ( ) is not ( ) is not a corporation
that was convicted of a criminal violation under any Federal law
within the preceding 24 months.
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NOTE: If an applicant responds in the affirmative to either of the
above representations, the applicant is ineligible to receive an
award unless the agency suspension and debarment official
(SDO) has considered suspension or debarment and determined
that further action is not required to protect the Government’s
interests. The applicant therefore should provide information
about its tax liability or conviction to the agency’s SDO as soon
as it can do so, to facilitate completion of the required
considerations before award decisions are made.
PROHIBITION ON CONTRACTING WITH ENTITIES
USING CERTAIN TELECOMMUNICATIONS AND VIDEO
SURVEILLANCE SERVICES OR EQUIPMENT
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 a contract to
procure or obtain, or enter into a contract (or extend or 105
renew a contract) to procure or obtain the equipment, services, or
systems prohibited systems as identified in section 889 of the
NDAA for FY 2019. For more information on how this applies
to all grant recipients and sub-recipients after August 13, 2020,
please see DoD Research General Terms and Conditions (SEP
2021) NP Article IV. Other national policy requirements,
paragraph 18.
b. Policy Requirements:
The following list provides notable national policy requirements that
may be applicable to an award. NOTE: The following is not an all-
inclusive list of policy requirements. For assistance awards, refer to the
DoD Research and Development General Terms and Conditions at
https://www.nre.navy.mil/work-with-us/manage-your-award/manage-
grant-award/grants-terms-conditions for additional national policy
requirements that may apply. For contract awards, appropriate clauses
will be added to award documents.
i. PROTECTION OF HUMAN SUBJECTS:
(1) Assistance Instruments:
(a) The recipient must protect the rights and welfare of
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