BROAD AGENCY ANNOUNCEMENT (BAA) for Extramural Biomedical and Human Performance Research and Development Department of Defense

BAA

I. OVERVIEW OF THE FUNDING OPPORTUNITY
United States Special Operations Command
Department of Defense
BROAD AGENCY ANNOUNCEMENT (BAA)
for Extramural Biomedical and Human Performance
Research and Development
Funding Opportunity Number: HT9425-23-S-SOC1
Announcement Type: Initial
Catalog of Federal Domestic Assistance Number: 12.420
Military Medical Research and Development
KEY DATES
Release/Posted Date: Initial 01 August, 2023
Closing Date: 31 July, 2028, 11:59 p.m. Eastern Time
This Funding Opportunity Announcement is a BAA. It is continuously open for a 5-year period,
from 1 August 2023 closing 31 July 2028, 11:59 p.m. Eastern Time. Note: This BAA will be
updated annually.
This Broad Agency Announcement must be read in conjunction with the General Submission
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
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Instructions, which are available for downloading from Grants.gov. The General Submission
Instructions are located under the “package” tab and can be downloaded by selecting the
“Download Instructions” icon when previewing the submission package.
TABLE OF CONTENTS
I. OVERVIEW OF THE FUNDING OPPORTUNITY ....................................................... 1
II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY ............... 3
II.A. Program Description ....................................................................................................... 3
II.A.1. Research Area of Interest .......................................................................................... 4
II.B. Federal Award Information .......................................................................................... 13
II.C. Eligibility Information ................................................................................................... 15
II.C.1. Eligible Applicants ................................................................................................... 15
II.C.2. Cost Sharing ............................................................................................................. 16
II.C.3. Other ......................................................................................................................... 16
II.D. Proposal/Application Submission Information ....................................................... 17
II.D.1. Where to Obtain the Proposal/Application Submission Package ............................ 17
II.D.2. Content and Form of the Proposal/Application Submission .................................... 17
II.D.3. Unique Entity Identifier (UEI) and System for Award Management (SAM) ........... 37
II.D.4. Submission Dates and Times ................................................................................... 39
II.D.5. Funding Restrictions ................................................................................................ 39
II.D.6. Other Submission Requirements .............................................................................. 41
II.E. Proposal/Application Review Information .................................................................... 41
II.E.1. Criteria ...................................................................................................................... 41
II.E.2. Proposal/Application Review and Selection Process ............................................... 42
II.E.3. Integrity and Performance Information .................................................................... 43
II.E.4. Anticipated Announcement and Federal Award Dates ............................................ 44
II.F. Federal Award Administration Information .................................................................. 44
II.F.1. Federal Award Notices ............................................................................................. 44
II.F.2. Administrative and National Policy Requirements .................................................. 44
II.F.3. Reporting .................................................................................................................. 45
II.G. Federal Awarding Agency Contacts ............................................................................. 46
II.G.1. eBRAP Help Desk.................................................................................................... 46
II.G.2. Grants.gov Contact Center ....................................................................................... 46
II.H. Other Information.......................................................................................................... 47
II.H.1. Administrative Actions ............................................................................................ 47
II.H.2. Proposal/Application Submission Checklist ............................................................ 49
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APPENDIX 1: ACRONYM LIST ............................................................................................ 50
II. DETAILED INFORMATION ABOUT THE FUNDING
OPPORTUNITY
The Fiscal Year 2023 – Fiscal Year 2028 (FY23-FY28) United States Special Operations
Command (USSOCOM), BAA for Extramural
Biomedical and Human Performance Research and Development contains several changes from
previous USSOCOM BAAs. Read each section carefully. Note the following:
• The total individual project estimated cost ceiling has been increased from $4,000,000 to
$5,000,000, and generally anticipated project cost has been increased from $700,000 to
$1,500,000.
• The “Program Description” that describes the “Research Areas of Interest (RAIs)” have
been updated.
II.A. Program Description
This BAA is intended to solicit extramural research and development ideas using the authority
provided by United States Code, Title 10, Section 4001. This BAA is issued under the provisions
of the Competition in Contracting Act of 1984 (Public Law 98-369), as implemented in Federal
Acquisition Regulation (FAR) 6.102(d)(2) and 35.016. In accordance with FAR 6.102, projects
funded under this BAA must be for basic and applied research to support scientific study and
experimentation directed toward advancing the state-of-the-art or increasing knowledge or
understanding rather than focusing on development of a specific system or hardware solution.
Research and development funding through this BAA is intended and expected to benefit and
inform both military and civilian medical practice and knowledge.
This BAA provides a general description of the USSOCOM’s research and development
programs, including RAIs, evaluation and selection criteria, pre-proposal/preapplication and full
proposal/application preparation instructions, and general administrative information.
Submission of a pre-proposal/pre-application is required. After review, if the USSOCOM is
interested in receiving a full proposal/application, the Applicant or Offeror will be invited to
submit a full proposal or full application. Specific submission information and additional
administrative requirements can be found in the document titled “General Submission
Instructions” available in Grants.gov along with this BAA.
The USSOCOM utilizes the tools and processes provided by the Congressionally Directed
Medical Research Programs (CDMRP). The CDMRP manages the electronic Biomedical
Research Application Portal (eBRAP) system and retrieval and processing of full
proposal/application submissions from Grants.gov. Refer to Section II.G, Agency Contacts, for
additional information.
The USSOCOM’s supporting contracting office, the U.S. Army Medical Research Acquisition
Activity (USAMRAA) will be the awarding and administering office for proposals selected for
funding.
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II.A.1. Research Area of Interest
A primary emphasis of the USSOCOM Biomedical, Human Performance, and Canine Research
Program is to identify and develop techniques, knowledge products, and materiel (medical devices,
drugs, and biologics) for early intervention in life-threatening injuries; prolonged field care (PFC);
human performance optimization; canine medicine/performance; brain health; immune response;
automation of systematic reviews and metanalysis; and novel post-traumatic stress, depression, and
anxiety treatment.. Special Operations Forces (SOF) medical personnel place a premium on medical
equipment that is small, lightweight, ruggedized, modular, multi-use, and designed for operation in
extreme environments. The equipment must be easy to use, require minimum maintenance, and have
low power consumption. Drugs and biologics should optimally not require refrigeration or other
special handling. All materiel and related techniques must be simple, effective, and easily modified
for commercialization. Research projects may apply existing scientific and technical knowledge for
which concept and/or patient care efficacy have already been demonstrated to meet SOF
requirements. The proposed research must be relevant to active-duty service members, veterans,
military beneficiaries, and/or the American public. Relevant research must be responsive to the
health care needs of the U.S. Armed Forces, family members of the U. S. Armed Forces, U.S.
Veterans, and civilian populations. Proposals must address a relevant health problem responsive to
one of the RAIs identified below. Additional RAIs may be added during the life of the BAA (FY23-
FY28). The following RAIs are in no particular order:
1. Damage Control Resuscitation:
SOF medical personnel require capabilities for far-forward medical care to reduce the mortality and
morbidity associated with critical wounds and injuries. The proposed research, application, and/or
development of medical techniques and materiel (medical devices and biologics) for optimal triage
and early intervention in critical life-threatening injuries when casualty evacuation is not possible or
is delayed. The project areas under “Damage Control Resuscitation” to which the USSOCOM will
give highest consideration are:
a. Global Treatment Strategies and Next Generation Wound Management:
The proposed project must research, apply, and/or develop effective treatment strategies that address
the following elements: hypotensive resuscitation, optimal fluid(s), uncomplicated shock,
noncompressible hemorrhaging, traumatic brain injuries, and austere damage control surgery. These
strategies must be optimized for medics in austere, far-forward areas, with minimal logistical or
specialty support, who must stabilize and treat patients for extended periods (days, not hours).
Projects that research and develop an all-in-one traumatic wound care treatment that can achieve
hemostasis, incorporate analgesia, deliver antibiotics, and start tissue regeneration are preferred.
b. Analgesia:
The proposed project must research, apply, and/or develop novel, safe, efficacious, peripherally, and
centrally acting analgesia that provide easy administration in the field, tolerance of extreme
environments, and effectiveness at the point of injury for a prolonged period of field care (days, not
hours) and does not sensitize the patient to topical analgesia. Maximum analgesia with minimal
sedation is preferred.
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c. Far Forward Blood, Blood Components, Blood Substitute, & Injectable Hemostatics:
The proposed project must research novel strategies to increase the ease, efficacy, and safety of blood
transfusions (i.e., person to person, pre-hospital blood banking, and blood substitutes) forward of
normal logistics support; (e.g., evaluating blood for type/cross matching and for the presence and/or
reduction of pathogens, leucocytes, and AB antibodies to improve safety of whole blood transfusion
at the point of injury). Projects that will be considered also include other blood components such as
freeze-dried plasma and platelets, cryoprecipitate, fibrinogen, prothrombin complex concentrate, and
injectable medications to address the coagulopathy of trauma such as Tranexamic acid. Research
should focus on extending shelf life of whole blood beyond current limitations. A long-term
objective is a blood substitute that is comparable in size, weight of traditional blood products, and
effectively functions like fresh whole blood without requiring refrigeration. Strategies to find the
delivery of these prototypes individually or in concert will also be considered. Priority will be given
towards projects that are oriented towards final solutions or prototypes that are shelf stable requiring
minimal to no refrigeration as well as those that can carry oxygen in quantities similar to healthy red
blood cells.
d. Austere Surgical Stabilization:
Future theatres where SOF personnel will operate are likely to be much less medically robust than
the past decade of fighting in our current theatres (this can translate to remote civilian areas). Rather
than sitting at hardened structures waiting on patients, surgical personnel may be increasingly asked
to go to the patient. Research should focus on mobility/portability of medical and surgical equipment,
including support equipment such as sterilization, with emphasis on equipment with greater
capabilities than currently fielded devices, smaller size and weight, low power demands, and
flexibility in power supplies. Additionally, research and development efforts should include
telehealth technologies linking forward surgical providers with higher medical authority consultation
and effective, relevant, and dynamic surgical training capabilities. Research may also include a
human systems approach to define limitations and mitigation strategies of surgical capability in
austere environments (i.e., low light, temperature variability, surgery in flight, etc.).
2. Prolonged Field Care (PFC):
SOF medical personnel require capabilities for far-forward medical care to reduce the mortality and
morbidity associated with critical wounds, injuries, diseases, and associated sepsis. PFC should focus
on novel treatments that support the ability to manage 3-5 patients across the spectrum of illness to
multi-system injury for a minimum of 5-7 days. Significant consideration will be given to proposals
focused on PFC that may also relate to Sections 1 (a-d) and 3(a) of this BAA.
a. Medical Sensors and Devices:
The primary emphasis is to research, apply and/or develop medical techniques, pharmaceuticals,
biologics, and field-sustainable, rapidly deployable medical sensors and/or devices for extended care
beyond initial trauma resuscitation, to include austere/forward surgery while operating in disease
endemic areas where casualty evacuation is delayed or unavailable. In addition, proposals that
investigate or develop wireless biosensors should demonstrate physiological monitoring capabilities
to include, but not limited to, heart rate, blood pressure, pulse oximetry, respiration rate,
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capnography, core temperature, heart rate variability and compensatory reserve index (CRI).
Research and development of devices and sensors should include or plan for the capability to
transmit (Bluetooth) to Android handheld devices and tablets. (NOTE: Ideally, sensor and equipment
technologies should be electronically readable, scannable, or transmittable to the Battlefield Assisted
Trauma Distributed Observation Kit (BATDOK), an Android-driven, multi-patient, point of injury
casualty monitoring capability being fielded by the U.S. Air Force (USAF) Pararescuemen and other
SOF Medics. Novel devices are required which aid in measuring physiologic decompensation and/or
adequacy of treatment/resuscitation in the field environment and/or provide a trigger for a pre-
hospital medical intervention (i.e., validation of tissue (muscle) oxygen saturation (StO2), CRI,
traumatic brain injury (TBI) measures, etc.
3. Portable Lab Assays and Diagnostics:
The proposed project must research, apply and/or develop novel concepts for portable and
environmentally stable far forward laboratory assays and diagnostics. Equipment should be
extremely portable, ruggedized, use limited or no external power, and any reagents should be self-
contained and stable in extreme environmental conditions. Preference will be given to proposals that
are field oriented, rugged, low weight/cube space and have little to no refrigeration requirements.
Additionally, novel wireless, transmittable or scannable solutions such as patches, scanner/readers or
other noninvasive technologies as described in paragraph 3.a. below are encouraged.
a. Occupational and Environmental Health (OEH) Hazards:
The proposed project must focus on development of novel methods and devices for rapid
identification and analysis of exposures to OEH hazards. Research must support the development
and analysis of handheld, field hardened, and environmentally stable analytical devices, monitoring
devices, dosimetry, assays for rapid on-site identification, and real-time analysis of OEH hazards in
air, water, and soil that could pose an acute or chronic health hazard to SOF personnel. Such OEH
hazards include toxic industrial chemicals/toxic industrial materials (TICs/TIMs), lead exposures,
food and water borne pathogens, toxins, biological agents, and radiological material exposures.
Research consideration should be given to development of small lightweight and programmable
unmanned underwater vehicles (UUV) and unmanned aerial vehicles (UAV) to conduct
environmental analysis of OEH hazards in water, air, and soil. UUVs and UAVs must be capable of
travel to designated locations, conduct point of collection analysis of OEH hazards, transmit data,
and return to originating base.
4. Force Health Protection and Environmental Medicine:
SOF personnel must often operate for extended periods of time in austere environments that expose
them to extremes in altitude, temperature, humidity, wind, kinetosis, infectious diseases, toxic
industrial chemicals, toxic industrial materials, and environmental hazards (including envenomation).
In addition, the environment may be compromised due to chemical, biological, and radiological
contamination. The primary emphasis of this research area is to research, apply, and develop
techniques, therapeutic measures, and materiel (personal protective equipment (PPE), medical
devices, drugs, and biologics) to ensure sustained human performance and effectiveness while
operating in harsh environmental conditions and/or wearing appropriate PPE. Additional research
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opportunities include identification and characterization of specific risk profiles/threats associated
with the SOF unique mission sets.
a. Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Rapid Diagnostics,
Treatment, and Prophylaxis:
The proposed projects must research, apply, and/or develop novel approaches that will diagnose,
treat, and protect SOF personnel from exposure to chemical, biological, radiological, nuclear, and
high yield explosives in near real time.
b. Operational Monitoring:
The proposed project must seek to develop wireless biosensors for monitoring SOF personnel in
extreme environments (i.e., high altitude, whether in-flight or the environment itself, excessive heat
or cold, etc.), and potentially hazardous material exposure. Sensors should address physiological
measurements and/or chemical, biological and/or radiological hazards. For hazards monitoring, a
personal dosimetry device is desired that can detect and alarm based on radiation and chemical
presence. The alarming function can be pre-determined to account for known environmental
conditions (i.e., natural occurring radiation levels that are below threshold/detrimental health levels)
and Parts Per Million (PPM) counts that would trigger an alert. This detection device needs to be able
to alarm differently to identify the "type" of hazard(s), and to trigger a back-off and/or donning of
additional PPE. Monitoring should be capable of wirelessly communicating via Bluetooth to Android
handheld devices, tablets, or compatible wrist-mounted displays.
5. Brain Health:
Brain Health research efforts include, but are not limited to: development and validation of fieldable
Neurocognitive Assessment Tools (NCATs) and baseline testing, Comprehensive Symptom History
(CASH) collection, blast exposure and impact monitoring, determination of safe acceptable limits for
blast exposure, development and validation of capabilities to easily identify/diagnose mild, moderate,
and severe TBI, methods to prevent, screen for, monitor, and correct neuroendocrine dysfunction,
methods to prevent TBI from impact and blast such as redesign of helmets, body armor, and
munitions, development of pharmaceuticals to prevent and/or treat brain injury, validation of brain
injury prevention strategies, and development of return to duty decision support tools.
a. Environmental Exposures:
Research that develops novel material and/or approaches to protect SOF personnel from the
neurological effects of single and repetitive auditory (impulse noise) and non- auditory
(overpressure) blast exposures and other environmental factors determined to affect nervous system
function.
b. Environmental Exposure Effects:
Research that determines the neurocognitive and nervous system effects from single and repetitive
blast exposures, impulse noise, and other potential hazardous environmental factors.
c. Biomarkers:
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Research to determine which biomarkers are indicative of mild, moderate, and severe TBI; sequelae
from TBI causing further injury; recovery status; and recovery rate from TBI. Testing and validating
diagnostic biomarkers for TBI. Proposals should also consider incorporation of validated biomarkers
onto existing or future diagnostic platforms. Use of machine learning and/or model development to
interpret and report biomarkers that are indicative of TBI are of interest.
d. Genetic Factors:
Research to determine if there are genetic predispositions, epigenetic changes and/or, genomic
modulators that affect the susceptibility to and recovery from TBI and neurotrauma.
e. Neuropsychological Testing:
Research to validate Neurocognitive Assessment Tools (NCATs) to determine baseline
neurocognitive status, readiness, neurocognitive degradation, sensitivity to various exposures, TBI
and recovery status post injury. Proposals to improve the speed, accuracy, specificity, and proximity
to injury for the use of NCATs, as well as to compare new technologies and/or modalities (including
passive assessment of cognition) to existing NCATs.
f. Affect testing. Research to develop and validate baseline and transient affect testing or
assessment tools to measure emotion and/or mood, to monitor change in emotion and/or mood
after TBI, and to investigate the effects of emotion or mood status on functional performance.
g. Olfactory, Oculomotor, Auditory, Vestibular, Cranial Nerve, and Vocal-Acoustic
Performance:
Research and proposals to perform and validate oculomotor, auditory, vestibular, cranial nerve, and
vocal acoustic assessments. Research and proposals to assess the effect of nervous system injury to
oculomotor, auditory, vestibular, cranial nerve, and vocal-acoustic performance and strategies to
restore their performance after injury and prevent injury or further decline.
h. Postural Stability:
Research to assess the effects of blast exposure on postural stability including the proprioceptive
component. Novel treatment strategies, therapies, and therapeutics to prevent and/or correct
detriment to postural stability from TBI and neurotrauma caused by blast, impact, and/or other
environmental exposures.
i. Neuroendocrine Dysfunction:
Methods to prevent, screen for, monitor, and correct neuroendocrine dysfunction.
j. Neuroimaging:
Research into novel imaging and imaging interpretation techniques including, but not limited to
Computed Axial Tomography (CAT), Magnetic Resonance Imaging (MRI), and Positron emission
tomography (PET) scans, to diagnose brain tissue pathologies including, but not limited to, axonal
injury, myelin injury, and astroglial scarring without the need for immunohistochemistry,
immunofluorescence, or histopathology testing.
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k. Analytics:
Research into analysis including Machine Learning, Natural Language Processing, and Artificial
Intelligence enabled analysis of data including, but not limited to, NCATs; environmental exposures
likely to affect brain health; blast, impact, and noise exposures; auditory, vestibular, and vocal
acoustic assessments; postural stability assessments; and neuroimaging.
l. Neuromodulation:
Research into the use of neuromodulation techniques for treating TBI, neurotrauma, pain, restoring
and improving function, and improving behavioral health.
m. Brain Lymphatics and Glymphatics:
Research into measuring the fluid dynamics of the brain lymph system, diagnosing dysfunction, and
validation for tools or techniques to improve brain lymph clearance.
n. Pupillometry, Pupillary Response and Microsacaades:
Research into field capable pupillary response measurement capture and analysis, with or without the
ability to capture microsacaades in order to assess central nervous system loading and/or damage.
6. Immune Response:
The use of modified and novel strategies to cause, strengthen, or supplement immunity through the
use of, but not limited to mRNA vaccines, nanolipoprotein particles (NLPs), polyvalent vaccines,
and phages.
7. Chronic Pain:
The proposed research must address the development of novel, non-opioid treatments for chronic
pain with or without the presence of migraines, allodynia, or fibromyalgia; but not with
accompanying myalgic encephalomyelitis/chronic fatigue syndrome (ME/CFS) or cancer.
8. Automation of Systematic Reviews and Metanalysis:
Research into Automation of Systematic Reviews and Metanalysis using the Preferred Reporting
Items for Systematic Reviews and Meta Analyses (PRISMA) or a similar method.
9. Medical Simulation and Training Technologies:
The proposed project must research, apply and/or develop improved pre-hospital tactical combat
casualty care (TCCC) training with an emphasis on the SOF pre-hospital providers. Medical
simulations should replicate all phases of the pre-hospital combat environment, including care under
fire, tactical field care and casualty evacuation. Human-like simulators should bleed, breath, void,
have a physiologically relevant temperature, pulse, and response to medical care with little to no
operator/controller input, should be all-weather capable and should evoke an emotional response
from those with whom it interacts. Medical training simulations should capture and be capable of
providing a report on the timing, appropriateness, and effectiveness of medical treatment. All
material solutions should meet joint airworthiness standards. Additionally, there is interest in
research focused on validating or measuring the effectiveness of current medical simulation and
training technologies and in determining the best methods of acquiring and maintaining PFC skills as
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well as the impact of these skills on patient outcomes. In addition, the proposed project must research
the efficacy of using stress inoculation training (vs traditional didactics or other instructional
methods) to teach key TCCC skills (e.g., tourniquets, IV placement, etc.). Of particular interest are
the effects on stress response, performance, and decision making of the student as well as best
methods for optimizing performance in high stress situations as well as mitigating negative aspects of
stress.
10. Human Performance Optimization:
USSOCOM requires SOF personnel to withstand extraordinary physical demands and psychological
stress to complete their missions. The optimization of SOF personnel’s ability to perform at very
high levels for long durations, in addition to processing information and making critical decisions in
a timely manner, while operating in extreme environments, will significantly improve their overall
operational effectiveness. This research area explores alternatives and/or new approaches to sustain
and optimize SOF human performance.
a. Improved Sleep:
The proposed project must research, apply and/or develop novel approaches to achieve the
restorative effects of sleep. This may include methods to induce, maintain, or improve the quality of
sleep throughout the entire night. Additionally, the ability to accelerate the effects of sleep through
methods requiring less time (e.g., the effects of sleeping eight hours are realized in four hours’ time)
or enabling the SOF personnel to quickly reach and adequately cycle through the stages of sleep
where the highest restorative effects occur (i.e., Stage 3/ deep sleep, and Stage 4/rapid eye movement
sleep).
b. Optimal Acclimatization Strategies:
The proposed project must research, apply, and/or develop novel approaches and/or technologies that
provide rapid and sustainable human acclimatization in austere environments, to include fatigue
countermeasure, extremes in temperature, extremes in altitude, and time-zone change (i.e., circadian
acclimatization).
c. Wearables:
The proposed project must research , apply, and/or develop novel approaches and/or wearable
technologies that will monitor physiological measures of human performance to include, but not
limited to, caloric expenditure, heart rate/heart rate response, heart rate variability, body fat
percentage, sleep hygiene (deep and REM sleep duration) in real-time. Measures should be accurate
with low fixed bias, wirelessly communicated via Bluetooth, Near Field Magnetic Induction or
Radio Frequency technology in real-time and provide the command the capability to utilize the data
for analysis of individuals and/or team performance via the USSOCOM Human Performance Data
Management System (i.e., Smartabase). The device should be able to be turned on/off and/or have an
inactive mode, provide real-time feedback on a display screen, be capable of displaying time, and be
adjustable to fit users of different statures. Of parallel interest to address is a proposed project to track
aircrew sleep, fatigue, and performance degradations through a wearable device that provides
quantitative data (rather than qualitative surveys often seen in USAF Fatigue Studies), that in turn
will be gathered and amalgamated from entire units, in order to track individual performance, unit
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performance, mission impacts to performance levels, length of time for acclimatization (if it is ever
achieved), and potential risk of mishaps.
d. Diagnostics for Performance Sustainment:
The proposed project must research, apply, and/or develop minimally invasive diagnostic devices to
provide actionable information on nutritional gaps, hormonal response to training, physiological
response to performance interventions and recovery, and epigenetic predictors of potential injury.
e. Performance Nutrition:
The proposed projects must research, apply and/or develop methods to accurately measure nutritional
status of SOF personnel. The proposed project should focus on cost effectiveness, accuracy, and
end-user compatibility (i.e., user friendly) methods or devices for identifying and optimizing an
individual’s nutrient status. Consideration of alternative fuel (energy) sources, dietary
supplementation, and nutrient volume/timing are specific areas of interest.
f. Pharmaceutical and Nutritional Supplement Interactions:
The proposed project must research, apply, and/or develop novel approaches to determining what, if
any, meaningful interactions occur between and among SOF-common medications (i.e., over-the-
counter (OTC) or prescription (Rx) and commonly ingested/commercially available nutritional
supplements).
g. Physiological Performance:
The proposed project must research, apply, and/or develop novel approaches and/or technologies to
maximize the physiological performance of SOF personnel in austere and/or training environments,
to include increased endurance, enhanced senses, tolerance to environmental extremes, and enhanced
overall fitness, in order to maintain operational posture/ability in high stress scenarios without
noticeable augmentation, and without hampering personnel mobility.
h. Cognitive Performance:
The proposed project must research, apply, and/or develop novel approaches and/or technology that
provide greater mental acuity or neuroenhancement (i.e., targeted enhancement and extension of
cognitive and affective abilities). Encompasses pharmacological and non-pharmacological methods
of improving cognitive, affective, motor functionality and performance, to include neuromodulation.
i. Psychological Performance and Suicide Prevention:
The proposed project must research, apply, and/or develop novel approaches to the assessment and
improvement of behavioral health within the force. Examples include but are not limited to, novel
approaches to treatment and rehabilitation from acute and/or chronic post-traumatic stress,
depression, and anxiety, improved emotional and nervous system self-regulation, digital/virtual
engagement strategies, methods to measure behavioral health performance over time, and improved
suicide prevention tools/strategies.
j. Family Readiness and Social Connectedness:
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The proposed project must research, apply, and/or develop novel approaches to increase healthy SOF
family functioning. Family functioning includes positive interpersonal relationships, personal
resilience, self-efficacy, and the development of supportive social networks. Potential research could
determine what educational and didactic experiences best improve these factors of healthy SOF
family and relational functioning.
k. Spiritual Resilience:
The proposed project must research, apply, and/or develop innovative approaches to increase SOF
spiritual resilience or add scientific rigor to support current approaches. Spiritual resilience includes
religious practice, morals, ethics (such as just war tradition), connectedness, sense of purpose and
belonging. Potential research could determine what types of spiritual training or engagements best
improve these factors of spiritual resilience.
11. Canine Medicine and Performance:
SOF personnel rely on canines’ exceptional capabilities as combat multipliers. This research area
explores alternatives and/or new approaches to preserve and enhance SOF canine combat
performance. SOF medical personnel place a premium on canine-specific approaches that are
effective in extreme environments and do not require significant additional logistical support (i.e.,
maximize use of available SOF Medic materiel). The eight “Canine Medicine and Performance”
project areas, to which SOF will give consideration, in priority order, are:
a. Trauma Resuscitation:
The proposed project must support development of innovative techniques/strategies for canine
trauma resuscitation (e.g., hypotensive resuscitation, whole blood/blood component replacement, and
non-compressible hemorrhaging), particularly to address ballistic projectile injuries, in
diverse/austere environments that lack immediately available medical evacuation or restorative
surgical capacity.
Note: Research should minimize or refrain from utilizing canine specific equipment or devices; this
will allow treatment from existing trauma kits fielded by SOF Medics.
b. Non-Traditional Anesthesia Protocols:
The proposed project must develop novel approaches for routine and emergency/post- traumatic
canine field sedation and/or anesthesia in diverse environments and, utilizing pharmaceuticals
available to SOF Medics.
c. Canine Performance Optimization
The proposed project must research, apply, and/or develop novel approaches and/or technologies that
address optimization of canine performance through improved physical conditioning programs,
enhanced nutrition, and genetics research.
d. Sensory Optimization and Protection:
Research must be oriented toward innovative methods that enhance or conserve SOF canine
olfactory, visual, and/or auditory performance during combat operations.
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e. Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Canine Decontamination,
Treatment, and PPE Against Possible Exposure:
The proposed projects must research, apply, and/or develop novel approaches that will diagnose,
treat, decontaminate, and protect canines from exposure to chemical, biological, radiological,
nuclear, and high yield explosives.
f. Environmental Extremes:
Project proposals must research, apply, and/or develop novel strategies that address acclimatization
to acute extremes in temperature, altitude, and/or time zone change (circadian acclimatization),
and/or prolonged marine environmental exposure in SOF canines.
g. Brain Health and TBI
Brain health research efforts include but are not limited to development and validation of NCATs,
blast exposure and impact monitoring, determination of safe acceptable limits for blast exposure,
validation of neurocognitive baseline testing, capabilities to easily determine mild, moderate, and
severe TBI, pharmaceuticals to prevent or treat brain injury, validation of brain injury treatment
strategies, and procedures to determine safe return to duty decisions for SOF canines.
h. Pre- and Post-Trauma Training / Behavioral Issues:
The proposed project must address unique approaches to diagnosing and treating SOF-peculiar
training and post-traumatic canine behavioral issues, in order to optimize pre-purchase selection and
post-purchase training strategies across the enterprise and restore performance in canines with
behavioral and/or post-trauma issues.
i. Canine Simulation Technologies:
Develop improved pre-hospital canine combat casualty simulation training devices with an emphasis
on Special Operations Forces (SOF) pre-hospital providers. The proposed projects must research and
apply/or develop novel approaches for high-fidelity canine trauma training simulation devices with
physiologically relevant feedback to include temperature, pulse, lifelike size and weight, realistic fur,
active bleeding, anatomically accurate airways, and haptic technology. Canine training devices
should respond to medical treatments with little to no operator/trainer intervention and capture and
provide accurate casualty care feedback. All simulators/simulations should meet Joint Airworthiness
Standards.
II.B. Federal Award Information
The Anticipated total costs budgeted for the entire period of performance inclusive of all contract
awards made in response to this BAA, will not exceed $10 Million annually. The number of
awards is indeterminate and contingent upon funding availability. Any funding that is received
by the USSOCOM that is appropriate for a research area described within this BAA may be
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utilized to fund awards. Refer to Section II.D.5. Funding Restrictions, for detailed funding
information.
The USAMRAA will negotiate the contract awards for proposals selected for funding. A contract
is required when the principal purpose of the instrument is to acquire supplies or services for the
direct benefit or use of the U.S. Government. The contract type, along with the start date, will be
determined during the negotiation process.
Please see Appendix 2 of the General Submission Instructions for more information.
Research involving Human Anatomical Substances, Human Subjects, or Human Cadavers:
All DoD-funded research involving new and ongoing research with human anatomical
substances, human subjects, or human cadavers must be reviewed and approved by the
USAMRDC Office of Human Research Oversight (OHRO),, prior to research implementation.
This administrative review requirement is in addition to the local Institutional Review Board
(IRB) or Ethics Committee (EC) review. Local IRB/EC approval at the time of submission is
not required. The OHRO Human Research Protections Offiical (HRPO) review is mandated to
comply with specific laws and requirements governing all research involving human anatomical
substances, human subjects, or human cadavers that is supported by the DoD. These laws and
requirements will necessitate information in addition to that supplied to the IRB/EC. Allow a
minimum of 2 to 3 months for OHRO HRPO regulatory review and approval processes.
Additional time for regulatory reviews may be needed for clinical studies taking place in
international settings. When possible, protocols should be written for research with human
subjects and/or human anatomical substances that are specific to the DoD-supported effort
outlined in the submitted proposal/application as a stand-alone study. Submission to OHRO of
protocols involving more than the scope of work in the DoD-funded award will require review of
the entire protocol (DoD and non-DoD funded). DoD human subjects protection requirements
may be applied to non-DoD funded work and necessitate extensive revisions to the protocol.
Refer to the General Submission Instructions, Appendix 1, and the Human Subject Resource
Document available on the eBRAP “Funding Opportunities & Forms” web page
(https://ebrap.org/eBRAP/public/Program.htm) for additional information.
Typically, a clinical trial is not associated with this BAA. A clinical trial is defined as a
prospective accrual of patients (human subjects) in which an intervention (e.g., device, drug,
biologic, surgical procedure, rehabilitative modality, behavioral intervention, or other) is tested
for a measurable outcome with respect to safety, effectiveness, and/or efficacy. This outcome
represents a direct effect on the subject of that intervention or interaction.
Research Involving Animals: All DoD-funded research involving new and ongoing research
with animals must be reviewed and approved by the USSOCOM Veterinarian Review Office
(VRO) which ensures that research conducted, contracted, sponsored, supported, or managed by
the DoD involving animal care are conducted in accordance with federal, DoD, Army,
USSOCOM VRO, and international regulatory requirements. The USSOCOM VRO is
responsible for administrative review, approval, and oversight of all animal research protocols,
including all changes made during the life of the protocol.
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Specific documents relating to the use of animals in the proposed research will be requested if
the application is selected for funding. The VRO must review and approve all animal use prior
to the start of working with animals, including amendments to ongoing projects. PIs must
submit the institutional animal use protocol. Allow at least 1 to 2 months for regulatory review
and approval processes for animal studies.
Questions concerning animal use and review should be directed to the USSOCOM VRO:
Phone: 813-826-6031; Email: socom_vet@socom.mil.
Refer to the General Submission Instructions, Appendix 1, for additional information.
The USSOCOM intends that information, data, and research resources generated under awards
funded by this BAA be made available to the research community (which includes both
scientific and consumer advocacy communities) and to the public at large.
II.C. Eligibility Information
II.C.1. Eligible Applicants
II.C.1.a. Organizations:
Awards are made to organizations only. Organizations eligible to apply include national,
international, for-profit, non-profit, public, and private organizations. Refer to the General
Submission Instructions, Appendix 3.B, for general eligibility information.
NOTE: In accordance with FAR 35.017, Federally Funded Research and Development Centers
(FFRDCs) are not eligible to directly receive awards under this BAA. However, teaming
arrangements between FFRDCs and eligible organizations are allowed so long as they are
permitted under the sponsoring agreement between the Federal Government and the specific
FFRDC.
The USSOCOM is committed to supporting small businesses. Small business, Veteran-owned
small business, Service-disabled Veteran-owned small business, HUBZone small business, small
disadvantaged business, and woman-owned small business concerns must be given the
maximum practical opportunity to participate through subawards on research proposals
submitted through the BAA.
II.C.1.b. Eligible Investigators
Eligible investigators include all individuals, regardless of ethnicity, nationality, or citizenship
status, who are employed by, or affiliated with, an eligible organization.
There are no limitations on the number of proposals for which an investigator may be named as a
Principal Investigator (PI).
The USAMRAA makes awards to eligible organizations, not to individuals.
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In addition to other information provided herein, by submitting a proposal/application and
accepting an award, the organization is: (1) certifying that the investigators’ credentials have
been examined and; (2) verifying that the investigators are qualified to conduct the proposed
study and to use humans or animals as research subjects, if proposed.
II.C.2. Cost Sharing
Cost sharing/matching is not an eligibility requirement.
II.C.3. Other
Organizations must be able to access .gov and .mil websites in order to fulfill the financial and
technical deliverable requirements of the award and submit invoices for payment.
Refer to Section II.H.1, Administrative Actions, for a list of administrative actions that may be
taken if a pre-application or application does not meet the administrative, eligibility, or ethical
requirements defined in this BAA.
For general information on required qualifications for award recipients, refer to the General
Submission Instructions, Appendix 3.
Use of the System for Award Management (SAM) and the Responsibility/Qualification (R/Q):
To protect the public interest, the Federal Government ensures the integrity of Federal programs
by striving to conduct business only with responsible organizations. The USSOCOM uses the
“Exclusions” within the Performance Information functional area of the SAM and data from the
R/Q, a component within SAM, to verify that an organization is eligible to receive Federal
awards. More information about the SAM and the R/Q is available at https://www.sam.gov/.
Refer to the General Submission Instructions, Appendix 3, for additional information.
Conflicts of Interest: All awards must be free of conflicts of interest (COIs) that could bias the
research results. Prior to award of a contract, applicants will be required to disclose all potential
or actual COIs along with a plan to manage them. An award may not be made if it is determined
by the Contracting Officer that COIs cannot be adequately managed. Refer to the General
Submission Instructions, Appendix 3, for additional information.
Review of Risk: The following areas may be reviewed in evaluating the risk posed by an
applicant: Financial stability; quality of management systems and operational controls; history
of performance; reports and findings from audits; ability to effectively implement statutory,
regulatory, or other requirements imposed on non-Federal entities; degree of institutional
support; integrity; adequacy of facilities; and conformance with safety and environmental
statutes and regulations.
Subcontracting Plan: If the resultant award is a contract that exceeds $750,000 and the offeror
is other than a small business, the contractor will be required to submit a subcontracting plan for
small business and small disadvantaged business concerns, in accordance with FAR 19.704 and
DFARS 219.704. A mutually agreeable plan will be incorporated as part of the resultant
contract.
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II.D. Proposal/Application Submission Information
II.D.1. Where to Obtain the Proposal/Application Submission Package
To obtain the complete Grants.gov proposal/application package (hereinafter, submission
package), including all required forms, perform a Grants.gov (http://www.grants.gov/) basic
search using the Funding Opportunity Number HT9425-23-S-SOC1.
Submission is a two-step process requiring both (1) pre-proposal/pre-application submission
through eBRAP (https://eBRAP.org/) and (2) full proposal/application submission through
Grants.gov or eBRAP, depending on the type of application being submitted.
eBRAP is a multifunctional web-based system that allows PIs to submit their pre-applications
electronically through a secure connection, to view and edit the content of their pre-applications
and full applications, to receive communications from the USSOCOM, and to submit
documentation during award negotiations and period of performance.
Classified Submissions: Classified 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 and/or controlled unclassified information,
clause FAR 52.204-2 shall be in effect, as well as a DD Form 254, if issued.
Care must be exercised to ensure that classified, sensitive, and critical technologies are not
included in a proposal/ application package. If such information is required, appropriate
restrictive markings and procedures should be applied prior to submission of the proposal/
application package. Portions of the proposal/ application package may be subject to release
under terms of the Freedom of Information Act, 5 U.S.C. 552, as amended.
Pre-application content and forms must be accessed and submitted at eBRAP.org. Full
application packages must be accessed and submitted at Grants.gov.
Contact information for the eBRAP Help Desk and the Grants.gov Contact Center can be found
in Section II.G, Federal Awarding Agency Contacts.
II.D.2. Content and Form of the Proposal/Application Submission
Submission is a two-step process requiring both pre-application submission and full application
submission as indicated below. The submission process should be started early to avoid missing
deadlines. There are no grace periods.
Pre-Application Submission: All pre-applications for extramural organizations must be
submitted through eBRAP (https://eBRAP.org/).
Full Application Submission: Full applications must be submitted through the online portals as
described below.
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Submitting Organizations: Full applications from extramural organizations must be submitted
through a Grants.gov Workspace. Applications submitted by extramural organizations (e.g.,
research foundations) on behalf of intramural DoD or other Federal organizations or
investigators will be considered extramural submissions. Applications from extramural
organizations, including non-DoD Federal organizations, received through eBRAP will be
withdrawn. See definitions in Section II.C.1, Eligible Applicants.
A key feature of eBRAP is the ability of an organization’s representatives and PIs to view and
modify the full application submissions associated with them. eBRAP will validate full
application files against the specific BAA requirements, and discrepancies will be noted in an
email to the PI in the “Full Application Files” tab in eBRAP. It is the applicant’s responsibility
to review all application components for accuracy as well as ensure proper ordering as specified
in this BAA.
The application title, eBRAP log number, and all information for the PI, Business Official(s),
performing organization, and contracting organization must be consistent throughout the
entire pre-application and full application submission process. Inconsistencies may delay
application processing and limit or negate the ability to view, modify, and verify the application
in eBRAP. If any changes need to be made, the applicant should contact the eBRAP Help Desk
at help@eBRAP.org or 301-682-5507 prior to the application submission deadline.
II.D.2.a. Step 1: Pre-Proposal/Pre-Application Submission Content
Submission of a pre-proposal/pre-application is required and must be submitted through eBRAP
(https://eBRAP.org/). If the USSOCOM is interested in receiving a full proposal/application, the
PI will be sent an invitation to submit via eBRAP.
During the pre-proposal/pre-application process, each submission is assigned a unique log
number by eBRAP. This unique eBRAP log number is required during the full application
submission process. To begin the pre-application process, first select whether the submitting
organization is extramural or intramural, then confirm your selection or cancel. Incorrect
selection of extramural or intramural submission type will delay processing.
If an error has been made in the selection of extramural versus intramural and the pre-application
submission deadline has passed, the PI or Business Official must contact the eBRAP Help Desk
at help@eBRAP.org or 301-682-5507 to request a change in designation.
Because the invitation to submit a proposal/application is based on the contents of the pre-
proposal/pre-application, a PI should not change the title or research objectives after the pre-
proposal/pre-application is submitted. A PI and organization identified in the pre-proposal/pre-
application should be the same as those intended for the full proposal/application submission. If
any changes are necessary after submission of the pre-proposal/pre-application, the PI must
contact the eBRAP Help Desk via email at help@eBRAP.org or 301-682-5507. A change in PI
or organization after submission of the pre-proposal/pre-application will be allowed only at the
discretion of the USAMRAA Contracting Officer. Change in Principal Investigator during
contract performance unless otherwise restricted, will be allowed at the discretion of the
USAMRAA Contracting Officer, provided that the intent of the award is met.
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The organization, Business Official, and PI must register in eBRAP before submitting a pre-
proposal/pre-application. Upon completion of an organization’s registration in eBRAP and
approval by the eBRAP Help Desk, the organization name will be displayed in eBRAP to assist
the organization’s Business Officials and PIs as they register. The organization, Business
Officials, and PIs must all be registered and affiliated in eBRAP. (See eBRAP User Guide at
https://ebrap.org/eBRAP/public/UserGuide.pdf.)
Pre-proposals may be submitted at any time prior to the BAA closing date. Pre-proposals should
describe specific ideas or projects that pertain to any of the areas described under “Program
Description” in this BAA. A pre-proposal/pre-application must include a brief description of the
scientific methods and design to address the problem as described below. Brochures or other
descriptions of general organizational or individual capabilities will not be accepted as a pre-
proposal/pre-application. DO NOT include any proprietary information in the pre-
proposal/pre-application.
The pre-proposal/pre-application consists of the following components, which are organized in
eBRAP by separate tabs. Refer to the General Submission Instructions, Section II, for additional
information on the pre-proposal/pre-application submission.
• Tab 1 – Application Information: Enter the information as described in eBRAP before
continuing the pre-proposal/pre-application.
• Tab 2 – Application Contacts: Enter contact information for the PI and the
organization’s Business Official responsible for the sponsored program administration (or
equivalent). This is the individual listed as “person to be contacted on matters involving
this Application” in Block 5 of the Grants.gov SF424 form. The form is designed to fill in
common required fields across other forms, such as the applicant name, address, and
Unique Entity Identifier (UEI) Number. Once it is completed, the information will
transfer to the other forms.
The Business Official must either be named or invited in order for the pre-proposal/pre-
application to be submitted. If the organization’s Business Official is not in eBRAP, an
invitation to the Business Official to register in eBRAP must be sent. In addition, it is
recommended that the applicant identify an Alternate Submitter in the event that
assistance with pre- proposal/pre-application submission is needed.
NOTE: The eBRAP system does not require an approval of the pre-proposal/pre-
application by the PI’s organization.
• Tab 3 – Collaborators and Key Personnel:
Enter the name, organization, and role of all collaborators and key personnel associated
with the Application (including co-investigators, mentors, collaborators, consultants, and
subrecipients/subawardees) associated with the proposal/ application. Enter the
organization’s Business Official responsible for sponsored program administration (the
“person to be contacted on matters involving this Application” in Block 5 of the
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Grants.gov SF-424 form). The Business Official must either be selected from the eBRAP
list or invited in order for the pre- proposal/pre-application to be submitted.
• Tab 4 – Conflicts of Interest (COI):
List all individuals other than collaborators and key personnel who may have a conflict of
interest (COI) in the review of the pre-proposal/pre-application (including those with
whom the PI has a personal or professional relationship). Federal agency personnel
involved in the review process and/or with making funding recommendations are
prohibited from being involved in the research proposed or assisting in any pre-
proposal/pre-application, including, but not limited to, concept design, proposal/
application development, budget preparation, and the development of any supporting
documentation. If formal collaboration with Military Facility personnel is planned
(i.e., included in the proposal/application in performance of the research), this
prohibition is not applicable. Military Facility is defined as Military Health System
(MHS) facility, research laboratory, medical treatment facility, dental treatment
facility, or a DoD activity embedded with a civilian medical center. However, these
Military Facility personnel cannot be involved in the review process and/or with
making funding recommendations. Refer to the General Submission Instructions,
Appendix 3.D, for additional information. For questions related to COI, contact the
eBRAP Help Desk at help@eBRAP.org or 301-682-5507.
• Tab 5 – Pre-Application Files:
Note: Upload document(s) as individual PDF files unless otherwise noted. eBRAP will
not allow a file to be uploaded if the number of pages exceeds the limit specified below.
Pre-Proposal/Pre-Application Narrative (6-page limit): The pre-proposal/ pre-
application narrative page limit applies to text and non-text elements (e.g., figures, tables,
graphs, photographs, diagrams, chemical structures, drawings, etc.) used to describe the
project. Inclusion of URLs that provide additional information to expand the Narrative
and could confer an unfair competitive advantage is prohibited and may result in
administrative withdrawal of the pre-proposal/pre-application.
Include the following:
○ Problem to Be Studied: Describe the perceived issue(s) and the problems to be
studied. This section should serve as an abstract of the proposed work.
○ Theoretical Rationale, Scientific Methods, and Design: Describe how the
research approach for accomplishing the specific aims is feasible, will
accomplish the objectives, will provide information on proposed methods and
analysis/evaluation strategies, and is based on sound rationale. Describe how the
proposed work and research will create and produce a demonstration and
validation/proof of concept to meet the subject Topic Area.
– Background/Rationale: Clearly present the ideas and reasoning behind
the proposed research. Include relevant military and civilian literature
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citations, preliminary and/or pilot data, and/or other evidence that led to
the development of the proposed research. Any preliminary data should
be from the laboratory of the PI or member(s) of the collaborating team.
– Hypothesis/Objective and Specific Aims: State the proposed project’s
hypothesis and/or objectives and the specific aims/tasks of the proposed
research.
– Approach/Methodology: Describe the research approach. Include
research design, methods, and analysis/evaluation strategies as well as
materials anticipated to be used during the research. Include a description
of human use in the proposed project. For studies involving human
subjects, include a description of the size, characteristics, and partnering
organizations of the subject population that will be employed.
○ Significance, Relevance, and Innovation of the Proposed Effort:
– Significance and Relevance: Clearly articulate how the proposed research is
instrumental in addressing research gaps, meets military requirements, and has
military relevance to improving theater/operational medicine.
– Innovation: Explain how the proposed project is innovative and not an
incremental advancement of previous work.
○ Proposed Study Design/Plan: Provide the intended research methodology that
will support the study. Provide preliminary information such as description and
background of the technical solution, anticipated success criteria, research/test
plan(s), and statistical protocols. Refer to Section II.A., Program Description, for
additional information on the RAIs for this BAA.
○ Military Impact: Describe the anticipated short- and/or long-term outcomes of the
proposed project and their potential impact on improving technologies, data and/or
processes. Refer to Section II.A., Program Description, for additional information on
the anticipated outcomes sought by this BAA.
○ Personnel and Facilities: Describe the role of the PI, co-PIs (if applicable), key
personnel, sub-awards (if applicable), and consultants (if applicable) in the research
team, including the expertise each brings to the proposed project. Explain how the
team’s expertise is appropriate and complementary for achieving the research goals.
Also, briefly provide information on the primary facility where the research is
expected to be performed.
○ Open Source/License/Architecture: Describe the intellectual property that is
intended to be incorporated within the design/plan and identify any additional
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costs, such as licensing, which may be needed to ensure flexibility or adaption of
the research project for Government use.
Pre-Proposal/Pre-Application Supporting Documentation: The items to be included as
supporting documentation for the pre-proposal/pre-application must be uploaded as individual
PDF documents and are limited to:
○ References Cited (one-page limit): List the references cited (including URLs if
available) in the pre-proposal/pre-application narrative using a standard reference
format that includes the full citation (i.e., author[s], year published, title of reference,
source of reference, volume, chapter, page numbers, and publisher, as appropriate).
○ List of Abbreviations, Acronyms, and Symbols: Provide a list of abbreviations,
acronyms, and symbols used in the pre-proposal/pre-application narrative.
○ PI and Key Personnel Biographical Sketches (five-page limit per individual):
Upload as “Biosketch_LastName.pdf.” Bold or highlight publications relevant to the
proposed project.
○ Budget Summary: Upload as “BudgetSummary.pdf.” Complete the two-page Pre-
Application Budget Summary Form (available for download in eBRAP) as instructed.
○ Quad Chart: Upload as “QuadChart.pdf.” Complete the one-page Quad Chart
Form (available for download in eBRAP) as instructed.
 Submit Pre-Application – Tab 6: This tab must be completed for the pre-
proposal/preapplication to be accepted and processed.
II.D.2.b. Pre-Proposal/Pre-Application Screening Criteria
The USSOCOM scientists or outside experts will screen pre-proposals for technical merit and
programmatic considerations. Based on the screening of the preproposal, a PI may be invited to
submit a full proposal/application. Pre- proposal will be screened based on the following
criteria, listed in descending order of importance:
• Theoretical Rationale, Scientific Methods, and Research: To what degree the
research approach for accomplishing the specific aims is feasible, will accomplish
the objectives, will provide information on proposed methods and analysis/
evaluation strategies, and is based on sound rationale. To what degree the proposed
work and research will create and produce a demonstration and validation/proof of
concept to address the Topic Area.
• Significance, Relevance, and Innovation: To what degree the proposed research is
relevant and innovative, including whether the proposed research is duplicative of
existing research.
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• Study Design/Plan: To what degree the proposed demonstration and validation study
methodologies, anticipated sample and sample size, test plan(s), anticipated success
criteria, evaluation criteria/metrics, and statistical protocols will justify and support
the intended outcomes of the proposed research.
• Military Impact: To what degree the project’s anticipated short- and/or long-term
outcomes will impact the military and provide advancement in theater/operational
medicine in the military health system in a way that is consistent with the intent of
the award mechanism.
• Personnel, Facilities, Timelines, and Budget: To what degree the expertise,
experience, and knowledge of the key research personnel (including co-PIs if
applicable), sub-awards (if applicable), and consultants (if applicable) are
appropriate and complementary for achieving the research goals. To what degree
the prime facility will be able to perform the proposed research.
Following the pre-proposal/pre-application screening, PIs will be notified as to whether or not
they are invited to submit full proposals; however, they will not receive feedback (e.g., a critique
of strengths and weaknesses) on their pre-proposals. Within 180 days of submission, PIs should
receive email notification via eBRAP regarding disposition of their pre-proposals.
A. II.D.2.c. Step 2: Full Proposal/Application Submission Content
A Proposal/Application will not be accepted unless the PI has received an invitation to submit.
If the USSOCOM is interested in receiving a full proposal/application, the PI will receive an
invitation to submit via email from eBRAP. It should be submitted within 60 days of the PI’s
receipt of an invitation to submit, as directed in II.D.2. Agency receipt of a full
proposal/application will be acknowledged by an email sent to the PI via eBRAP. The
proposal/application log number for the full proposal/application will be the same number as
used for the pre-proposal/pre-application, e.g., SO23XX.
The USSOCOM cannot make allowances/exceptions to its policies for submission problems
encountered by the applicant organization using system-to-system interfaces with Grants.gov.
Each application submission must include the completed full application package for this BAA.
The full application package is submitted by the Authorized Organizational Representative
through Grants.gov (http://www.grants.gov/) for extramural organizations. See Table 1 below for
more specific guidelines. Proprietary information should only be included if necessary for
evaluation of the proposal/application. Conspicuously and legibly mark any proprietary
information that is included in the proposal/application.
II.D.2.c.i. Full Guidelines
Organizations must submit full applications through Grants.gov. Applicants must create a
Grants.gov Workspace for submission, which allows the application components to be
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completed online and routed through the applicant organization for review prior to submission.
Applicants may choose to download and save individual PDF forms rather than filling out
webforms in the Workspace. A compatible version of Adobe Reader must be used to view,
complete, and submit an application package consisting of PDF forms. If more than one person
is entering text into an application package, the same version of Adobe Reader software should
be used by each person. Check the version number of the Adobe software on each user’s
computer to make sure the versions match. Using different versions of Adobe Reader may cause
submission and/or save errors – even if each version is individually compatible with Grants.gov.
Refer to the General Submission Instructions, Section III, and the “Apply For Grants” page of
Grants.gov (https://www.grants.gov/web/grants/applicants/apply-for-grants.html) for further
information about the Grants.gov Workspace submission process. Submissions of extramural
applications through eBRAP may be withdrawn.
Table 1. Full Submission Guidelines
Submissions
Download application package components for
HT9425-23-S-SOC1 from Grants.gov
(http://www.grants.gov) and create a Grants.gov
Workspace. The Workspace allows online
completion of the application components and
routing of the application package through the
applicant organization for review prior to
submission.
SF424 Research & Related Forms (R&R)
Application for Federal
Assistance Form: Refer to the General
Submission Instructions, Section III.A.1, for
detailed information.
Submissions
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Descriptions of each required file can be found
under Full Application Submission Components:
• Attachments
• Research & Related Personal Data
• Research & Related Senior/Key Person
Profile (Expanded)
• Research & Related Budget
• Project/Performance Site Location(s) Form
• R&R Subaward Budget Attachment(s) Form
(if applicable)
• (if applicable) Additional Application
Component(s)
Complete a Grants.gov Workspace.
Add participants (investigators and Business
Officials) to the Workspace, complete all required
forms, and check for errors before submission. The
Workspace progress bar will display the state of
your application process as you apply. As you
apply using Workspace, you may click the blue
question mark icon near the upper-right corner of
each page to access context-sensitive help.
Mandatory Fields in Forms: In the forms, you
will note fields marked with an asterisk and a
different background color. These fields are
mandatory fields that must be completed to
successfully submit your application.
Submit a Grants.gov Workspace Package. An
application may be submitted through
Workspace by clicking the “Sign and Submit”
button on the “Manage Workspace” page, under the
“Forms” tab. Grants.gov recommends submission
of the application package at least 24-48 hours
prior to the close date to allow time to correct any
potential technical issues that may disrupt the
application submission.
Note: If either the Project Narrative or the budget
fails eBRAP validation or if the Project Narrative
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or the budget needs to be modified, an updated
Grants.gov application package must be submitted
via Grants.gov as a “Changed/Corrected
Application” with the previous Grants.gov
Tracking ID prior to the application submission
deadline.
Submissions
The full application package submitted to
Grants.gov may be viewed and modified in eBRAP
until the end of the application verification period.
During the application verification period, the full
application package, with the exception of the
Project Narrative and Budget Form, may be
modified.
Tracking a Grants.gov Workspace Package.
After successfully submitting a Workspace
package, a Grants.gov Tracking Number is
automatically assigned to the package. The
number will be listed on the “Confirmation” page
that is generated after submission.
Refer to the General Submission Instructions,
Section III, for further information regarding
Grants.gov requirements.
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Application viewing, modification, and verification in eBRAP are strongly recommended, but
not required. The Project Narrative and Budget cannot be changed after the application
submission deadline. Prior to the full application deadline, a corrected or modified full
application package may be submitted. Other application components may be changed until the
end of the application verification period. Verify that subaward budget(s) and budget
justification forms are present in eBRAP during the application verification period. If these
components are missing, upload them to eBRAP before the end of the application verification
period. After the end of the application verification period, the full application cannot be
modified.
Material submitted after the end of the application verification period, unless specifically
requested by the Government, will not be forwarded for processing.
II.D.2.c.ii. Full Proposal/Application Submission Components
The Grants.gov submission package includes the following components (refer to the General
Submission Instructions, Section III., for additional information on proposal/application
submission):
1. SF 424 (R&R) Application for Federal Assistance Form: Refer to the General
Submission Instructions, Section III for detailed information.
2. Attachments Form
Each attachment to the full proposal/application components must be uploaded as an
individual file in the format specified and in accordance with the formatting guidelines
listed in the General Submission Instructions, Appendix 4.
For all attachments, ensure that the file names are consistent with the guidance. Attachments
will be rejected if the file names are longer than 50 characters or have incorrect file names
that contain characters other than the following: A-Z, a-z, 0-9, underscore, hyphen, space,
and period. In addition, there are file size limits that may apply in some circumstances.
Individual attachments may not exceed 20 MB, and the file size for the entire full
proposal/application package may not exceed 200 MB.
 Attachment 1: Project Narrative (20-page limit): Upload as
“ProjectNarrative.pdf.” The page limit of the Project Narrative applies to text
and non-text elements (e.g., figures, tables, graphs, photographs, diagrams,
chemical structures, drawings, etc.) used to describe the project. Inclusion of
URLs that provide additional information to expand the Project Narrative and
could confer an unfair competitive advantage is prohibited and will result in
administrative withdrawal of the proposal/application.
Describe the proposed project in detail using the outline below.
○ Background: Present the ideas and reasoning behind the proposed
research; include relevant literature citations or preliminary data on the
proposed technical solution(s) and how they may have been utilized in
similar environment(s). Describe previous experience most pertinent to this
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project. Any preliminary data should be from the laboratory of the PI or
member(s) of the collaborating team.
○ Hypotheses/Objectives: State the hypotheses or research/evaluation
questions and overall objective(s) to be reached.
○ Specific Aims: Concisely explain the project’s specific aims to include
expected timeframe of each aim. If this proposal/application is part of a
larger study, present only tasks this award would fund.
○ Project Design: Describe and define the research design, methods, and
analyses/evaluations in sufficient detail for analysis.
— Clearly support the choice of study variables/metrics and explain the
basis for the research questions and/or study hypotheses. Establish the
relevance of the study and explain the applicability of the proposed
findings.
— Provide a detailed protocol, including but not limited to, proposed
methodologies, research/test plan(s) and criteria, intended medical
domain(s) or discipline(s), control groups, and defined statistical
models.
— Define the study variables (independent/dependent) and define how they
will be measured. Include a description of appropriate controls and the
endpoints to be tested. Describe how data will be collected and analyzed in
a manner that is consistent with the study objectives. Describe a plan for
data access and outcome dissemination.
— For development of devices and technologies, discuss the engineering/
technical design that will be used to achieve the project goals,
demonstrating the feasibility of the proposed product development. Discuss
the perceived engineering/design strengths and flaws and recommendations
for overcoming/preventing them.
— Address all potential barriers and provide plans for addressing potential
delays, unexpected events, changes in key personnel, and ongoing
adaptation of the Application. Provide a risk management plan to address
barriers to plans. As relevant, describe plans for addressing potential
issues unique to working within the military health system.
— Document the availability and accessibility of the study materials (including
data) needed as applicable.
○ Project Milestones: Identify timelines for critical events that must be
accomplished in order for the project to be successful in terms of cost,
schedule, and performance. For development of devices and technologies,
discuss the timelines and provide a commercial strategy plan for the
technology being developed.
○ Additional Information: If human subjects are involved in the research,
proposals may be submitted prior to human protocol institutional approvals.
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However, protocols with required institutional approvals must be submitted no
later than 60 days after award to demonstrate continued progress and ensure
continuation of payment. The Contracting Officer may make exceptions in
situations where human and/or animal use is not expected to begin until after
the first year of the research project. In such cases, a timeframe for submission
of the appropriate protocols and institutional approvals will be established
prior to award.
PIs and collaborating organizations may not use, employ, or subcontract for
the use of any human participants, including the use of human anatomical
substances, human data, and/or human cadavers, or laboratory animals until
applicable regulatory documents are approved by the OHRO and or
USSOCOM VRO to ensure that DoD regulations have been met.
– For studies with prospective accrual of human subjects, indicate
quarterly enrollment targets.
– Identify cell line(s) and commercial or organizational source(s) to be
used. If human anatomical substances (including cell lines) will be used,
specify whether or not identifiable information is accessible to the
research team by any means.
– If applicable, indicate time required for submission and/or approval of
documents (e.g., Investigational New Drug and Investigational Device
Exemption) to the U.S. Food and Drug Administration or appropriate
Government agency.
– For studies involving human subjects, allow at least 2 to 3 months for
regulatory review and approval by the USAMRDC OHRO; this does not
include the additional time required for local Institutional Review Board
(IRB)/Ethics Committee (EC) review and approval.
Refer to the General Submission Instructions, Appendix 5, for additional
regulatory information.
 Attachment 2: Supporting Documentation: Start each document on a new
page. Combine and upload as a single file named “Support.pdf.” If
documents are scanned to pdf, the lowest resolution (100 to 150 dpi) should be
used. The Supporting Documentation attachment should not include additional
information such as figures, tables, graphs, photographs, diagrams, chemical
structures, or drawings.
There are no page limits for any of these components unless otherwise noted.
Include only those components described below; items not requested will be
removed and may result in administrative withdrawal of the
proposal/application.
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○ Bibliography and References Cited: List the references in the order they
appear in the Project Narrative. Use a standard reference format that includes
the full citation (i.e., author[s], year published, title of reference, source of
reference, volume, chapter, page numbers, and publisher, as appropriate. Do
not send or attach copies of articles in print. There is no form for this
information. The attachments should be in PDF in accordance with the
formatting guidelines specified for full proposal/application preparation.
○ List of Abbreviations, Acronyms, and Symbols: Provide a list of
abbreviations, acronyms, and symbols.
○ Facilities, Existing Equipment, and Other Resources: Describe the
facilities and equipment available for performance of the proposed project
and any additional facilities or equipment proposed for acquisition at no cost
to the award. Indicate whether or not Government-furnished facilities or
equipment are proposed for use. If so, reference should be made to the
original or present Government award under which the facilities or equipment
items are now accountable. There is no form for this information.
Note: For researchers who will require access to the Defense Healthcare
Management Systems Modernization (DHMSM) Cerner Electronic
Health Record (EHR) solution for testing related to research workflows
and/or interfaces: Access will be provided through a research environment
within the Program Executive Office (PEO) Defense Healthcare
Management Systems (DHMS) Testing Infrastructure at Allegheny Ballistics
Laboratory (ABL). Users will follow the PEO DHMS Testing Infrastructure
Onboarding Guide to access the environment. Direct support from the
DHMSM vendor will not be provided through the DHMSM contract. No one
is authorized to engage the DHMSM contractor for this purpose. Research
must remain in these stated bounds.
○ Publications and/or Patent Abstracts (five-document limit): Include
relevant publication URLs and/or patent abstracts. If publications are not
publicly available, then a copy/copies of the published manuscript(s) must
be attached.
○ Letters of Organizational Support: Provide a letter (or letters, if applicable),
signed by the Department Chair or appropriate organization official,
confirming the laboratory space, equipment, and other resources available for
the project. A letter for each organization involved in the project should be
provided.
○ Letters of Collaboration: Provide a signed letter from each collaborating
individual or organization that will demonstrate that the PI has the support or
resources necessary for the proposed work. If an investigator at an
intramural organization is named as a collaborator on an application
submitted through an extramural organization, the application must include a
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letter from the collaborator’s Commander or Commanding Officer at the
intramural organization that authorizes the collaborator’s involvement.
Refer to the General Submission Instructions, Section III.A.8., Research &
Related Budget, for additional information.
○ Joint Sponsorship (if applicable): Describe present or prospective joint
sponsorship of any portion of the program outlined in the proposal/
application. In the absence of agreements among sponsors for joint support, the
proposal/application should be structured so that the research can be carried
out without the resources of any other sponsor. If, however, it is desirable to
request partial support from another agency, the proposed plan should be stated
and the reasons documented. If the plan cannot be formulated at the time the
proposal/application is submitted, information should be sent later as an
addendum to the proposal/application. Prior approval from both agencies must
be secured for research to be undertaken under joint sponsorship. Provide
letters of support related to recruitment, subject access, and data access plans.
○ Intellectual Property (if applicable): Refer to the General Submission
Instructions, Appendix 3, for additional information. Provide the following:
– Should the Applicant intend to use, in the performance of this program,
pre-existing, legally protected and perfected intangible property and for
which no Federal funds had been used in the development of said property,
the Applicant must:
1. Clearly identify all such property;
2. Identify the cost to the Federal government for use or license of such
property if applicable; or
3. Provide a statement that no property meeting this definition will be
used on this project.

Intellectual and Material Property Plan: If applicable, provide a plan for

resolving intellectual and material property issues among participating
organizations.
 Attachment 3: Technical Abstract (one-page limit): Upload as
“TechAbs.pdf.”
The technical abstract is used by all reviewers. Abstracts of all funded research
projects will be posted publicly. Do not include proprietary or confidential
information. Use only characters available on a standard QWERTY keyboard.
Spell out all Greek letters, other non-English letters, and symbols. Graphics are
not allowed. Use the outline below.
Background: Provide a brief statement of the ideas and theoretical
o
reasoning behind the proposed work. o Objective/Hypothesis: State the
objective/hypothesis to be tested. Provide evidence or rationale that supports the
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objective/hypothesis. o Specific Aims/Milestones: State concisely the specific
aims/milestones of the project.
Project Design: Briefly describe the project design. o Impact: Provide a
o
brief statement explaining the potential impact of the proposed work to advancing
the standard of care for injured Service members and/or the general public. o
Relevance: Provide a brief statement explaining the potential relevance of the
proposed work to the specific topic area being addressed and its impact on health
outcomes.
• Attachment 4: Lay Abstract (one-page limit): Upload as “LayAbs.pdf.”
The lay abstract is used by all reviewers. Do not include proprietary or
confidential information. Use only characters available on a standard
QWERTY keyboard. Spell out all Greek letters, other non-English letters, and
symbols. Graphics are not allowed.
Lay abstracts should be written using the following outline. Do not duplicate the
technical abstract.
○ Describe the objectives and rationale for the proposal/application in a manner
that will be readily understood by readers without a background in science or
medicine.
○ Describe the ultimate applicability and potential impact of the research.
— What types of patients will it help, and how will it help them? Include
the current available statistics to the related injury/condition.
— What are the potential clinical Applications, benefits, and risks?
— What is the projected timeline it may take to achieve the expected patient-
related outcome?
○ Briefly describe how the proposed project will benefit Service
members, Veterans, and/or family members.
• Attachment 5: Statement of Work (SOW) (two-page limit): Upload as
“SOW.pdf.” The suggested SOW format and examples specific to different
types of research projects are available on the eBRAP “Funding Opportunities
& Forms” web page (https://ebrap.org/eBRAP/public/Program.htm). The SOW
outlines and establishes the PI’s and an organization’s performance expectations
for the work to be funded under this award. The SOW in an assistance
agreement award establishes general objectives. The SOW in a contract sets
rather specific goals and conditions for each year of the contracted project; the
PI and contractor are expected to meet the provisions and milestones of the SOW.
The SOW for all award types will be incorporated into the award document and,
as such, is subject to release under the Freedom of Information Act.
A series of relatively short statements should be included that comprise the
approach to each of the major goals or objectives of the proposed research. The
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statements should outline the specific tasks, systems, and materials that are
reasonable estimates for testing the proposed hypotheses of the study. An outline
should be included that shows the work statements to be accomplished in each
year of the award. If this proposal/application is part of a larger study, present
only tasks that this award would fund. Allow at least 2 to 3 months for the
USAMRDC OHRO’s regulatory review and approval processes for studies
involving human subjects. Allow at least 1 to 2 months for the USSOCOM
VRO regulatory review and approval processes for studies involving animals.
• Attachment 6: Outcomes and Impact Statement (one-page limit): Upload as
“Impact.pdf.” Explain in detail why the proposed research project is important,
as follows:
○ Short-Term Impact: Describe the anticipated outcome(s), results, theoretical
framework, design and or plan that will be directly attributed to the results of
the proposed research.
○ Long-Term Impact: Describe the anticipated long-term clinical/patient
gains or commercial end product from the proposed project. What is the
indication and will the project lead toward transforming the standard of
care? Are there non-trauma-related indications that would expand the
market for the proposed product?
○ Military Relevance: Clearly articulate how the proposed project or product
meets the needs of military medical providers and injured Service
members.
○ Public Purpose: If appropriate, provide a concise, detailed description on
how this project will benefit the general public.
• Attachment 7: Innovation Statement (two-page limit): Upload as
“Innovation.pdf.” Describe how the proposed project is innovative. Research
deemed innovative may introduce a new paradigm, challenge current paradigms,
look at existing problems from new perspectives, or exhibit other creative
qualities. Investigating the next logical step or incremental advancement on
published data is not considered innovative. This may include a proposed
conceptual framework, design, and/or plan of key components and how they
integrate/communicate with each other. Identify which potential components will
be open source/open architecture vs. proprietary.
• Attachment 8: Data and Research Resource-Sharing Plan (one-page limit):
Upload as “Sharing.pdf.” Describe how unique and/or final research data will
be shared with the research community, along with any resulting research
resources. This includes cases where pre-existing data or research resources will
be utilized and/or modified during the course of the proposed project. If there
are limitations associated with a pre-existing agreement for the original data or
research resources that preclude subsequent sharing, the Applicant should
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explain this in the data- and/or research resource-sharing plan. For projects
involving clinical trials, PIs may be required to register their clinical trials on
Clinicaltrials.gov (https://clinicaltrials.gov/). For projects involving TBI, PIs
may be required to report data to the Federal Interagency Traumatic Brain Injury
Research (FITBIR) informatics system (http://fitbir.nih.gov/). If the project
includes systems biology- related research, the PI may be required to make the
systems biology data, generated via an award, available to the research
community by depositing research data into the SysBioCube system
(https://sysbiocube-abcc.ncifcrf.gov). Refer to the General Submission
Instructions, Appendix 2, for additional information.
• Attachment 9: Conflicts of Interest, if applicable: Upload as “COI.pdf.”
Provide details with the proposal/application submission of all potential or
actual COIs, along with a plan to resolve them. A contract or assistance
agreement will not be awarded if it is determined by the respective Contracting
Officer that a COI cannot be managed.
Personnel involved in the review process and/or with making funding
recommendations are prohibited from assisting in any proposal/application,
including, but not limited to, concept design, Application development, budget
preparation, and the development of any supporting documentation.
Questions related to this topic should be directed to the eBRAP Help Desk via
email at help@eBRAP.org or 301-682-5507. Refer to the General Submission
Instructions, Appendix 3, for additional information.
• Attachment 10: Data Management (no page limit): Upload as
“DataManage.pdf.” The Data Management attachment should include the
components listed below.
Data Management: Describe all methods used for data collection to include the
following:
○ Identifiers: Describe the unique identifiers or specific code system to be used
to identify human subjects, if applicable.
○ Confidentiality: Explain measures taken to protect the privacy of studies
conducted on human subjects and the ability to maintain confidentiality of
study data. Strategies to protect the privacy and confidentiality of study
records, particularly those containing identifying information, should be
addressed.
— Address who will have access to study records, data, and specimens,
including an acknowledgment that representatives of USSOCOM
are eligible to review study records.
— Address requirements for reporting sensitive information to state or local
authorities.
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○ Disposition of data: Describe where data (both electronic and hard copy) will
be stored, who will keep the data, how the data will be stored, and the length
of time data will be stored. For FDA-regulated studies, compliance with 21
CFR 11 is required.
○ Sharing study results: In cases where the human subject could possibly
benefit medically or otherwise from the information, explain whether or not
the results of screening and/or study participation will be shared with human
subjects or their primary care provider, to include results from any screening or
diagnostic tests performed as part of the study.
• Attachment 11: Post-Award Project Transition Plan (three-page limit).
Upload as “Transition.pdf.” Provide information on the methods and
strategies proposed to move the project or knowledge outcomes to the next
project phase of studies, commercialization, and/or delivery to the civilian or
military market after successful completion of the award. The transition plan
should include the components listed below.
a. The planned indication for the product label, if appropriate, and an outline of
the development plan required to support that indication.
b. The anticipated regulatory strategy (e.g., additional nonclinical or clinical
studies anticipated/required, FDA or regulatory authority meetings desired,
industry partnerships) for movement of the research into later phases of
development and to support a potential marketing Application [e.g., New
Drug Application, Biologics License Application, Premarket Approval
Application, 510(k)].
c. Details of the funding strategy that will be used to bring the outcomes to
the next level of development and/or commercialization (e.g., specific
potential industry partners, specific funding opportunities to be applied
for).
d. For knowledge products, a description of how the knowledge will be further
developed, disseminated, and incorporated into clinical care.
e. A description of collaborations and other resources that will be used to
provide continuity of development.
f. A brief schedule and milestones for bringing the outcome(s) to the next phase
of studies, commercialization, and/or delivery to the military or civilian
market, including when it can be anticipated to be transitioned to an industry
partner or approved by the FDA, if applicable.
g. A risk analysis for cost, schedule, manufacturability, and sustainability.
• Attachment 12: Collaborating DoD Military Facility Budget Form(s), if
applicable: Upload as “MFBudget.pdf.” If a Military Facility will be a
collaborator in performance of the project complete the Collaborating DoD
Military Facility Budget Form (available for download on eBRAP “Funding
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Opportunities and Forms” web page), including a budget justification for each
year. If more than one Military Facility is proposed, submit a separate budget
form for each site. Refer to the General Submission Instructions, Section II.D.5.,
Research & Related Budget, for detailed information.
 Extramural Applications
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 USC
A§1681 et seq.), the DoD 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
science, technology, engineering, or mathematics (STEM) disciplines. To enable this
assessment, each application must include the following forms completed as indicated.
Research & Related Personal Data: For extramural submissions (via Grants.gov), refer to
the General Submission Instructions, Section III.A.3.
Research & Related Senior/Key Person Profile (Expanded): Refer to the General
Submission Instructions, Section III for detailed information.
• PI Biographical Sketch (five-page limit): Upload as “Biosketch_LastName.pdf.” 
PI Previous/Current/Pending Support (three-page limit): Upload as
“Support_LastName.pdf.”
• Key Personnel Biographical Sketches (five-page limit each): Upload as
“Biosketch_LastName.pdf.”
• Key Personnel Previous/Current/Pending Support (three -page limit each): Upload
as “Support_LastName.pdf.”
Research & Related Budget: Refer to the General Submission Instructions, Section III for
detailed information.
• Budget Justification (no page limit): Upload as “BudgetJustification.pdf.” The budget
justification for the entire period of performance must be uploaded to the Research &
Related Budget after completion of the budget for Period 1.
IAW FAR 35.016(e), “The primary basis for selecting proposals for
o
acceptance shall be technical, importance to agency programs, and fund
availability. Cost realism and reasonableness shall also be considered to the
extent appropriate”.
For contracts, statutory limits for fees are specified in FAR 15.404-4(c)(4).
o
NOTE: For all Federal agencies or organizations collaborating with Military
Facilities, special restrictions apply to the budget and are described below.
• For Federal Agencies: Proposals from Federal agencies must include in their budget
justifications a Federal Financial Plan. The Federal Financial Plan must address how
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all funds will be obligated before their period for obligation expires, and how funds will
be available to cover research costs over the entire award period. The Federal Financial
Plan must include the funding mechanism(s) that will be used to carry over funds
between fiscal years.
• For Collaborating DoD Military Facilities: Proposals from organizations that include
collaborations with DoD Military Facilities (military health system facility, research
laboratory, treatment facility, dental treatment facility, or a DoD activity embedded with
a civilian medical center) must submit Collaborating DoD Military Facility Budget
Form(s) as instructed in Attachment 12.
Project/Performance Site Location(s) Form: Refer to the General Submission Instructions,
Section III. for detailed information.
R & R Subaward Budget Attachment(s) Form (if applicable): Refer to the General
Submission Instructions, Section III. for detailed information.
R&R Subaward Budget Attachment(s) Form (if applicable): Refer to the General
Application Instructions, Section III. for detailed information.
Collaborating with DoD Military Facilities (if applicable): Refer to the General
Application Instructions, Section III. for detailed information.
II.D.3. Unique Entity Identifier (UEI) and System for Award Management (SAM)
All organizations applying online through Grants.gov must register with the System for Award
Management (SAM) and will receive a unique entity identifier (UEI) number. Failure to register
with SAM will prevent your organization from applying through Grants.gov.
Applicant organizations and all subrecipient organizations must have an active registration in the
System for Award Management (SAM) number to submit proposals to Grants.gov. The
applicant organization must also be registered in the Entity Management functional area of the
SAM with an “Active” status to submit proposals through the Grants.gov portal. Verify the
status of the applicant’s organization’s Entity registration in SAM well in advance of the
proposal/application submission deadline. Allow several weeks to complete the entire SAM
registration process. If an applicant has not fully complied with the requirements at the time the
Federal awarding agency 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. Refer to the General
Submission Instructions, Section III, for further information regarding Grants.gov requirements.
Organizations must have an active System for Award Management (SAM) registration, and
Grants.gov account to apply for contracts. If individual applicants are eligible to apply for this
funding opportunity, then you may begin with step 3, Create a Grants.gov Account, listed below.
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Creating a Grants.gov account can be completed online in minutes, but SAM registrations may
take additional time. Therefore, an organization's registration should be done in sufficient time to
ensure it does not impact the entity's ability to meet required application submission deadlines.
Complete organization instructions can be found on Grants.gov here:
https://www.grants.gov/web/grants/applicants/organization-registration.html
1) Register with SAM for all awards: SAM registration must be renewed annually. For more
detailed instructions for registering with SAM, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-
sam.html
2) Create a Grants.gov Account: The next step is to register an account with Grants.gov.
Follow the on-screen instructions or refer to the detailed instructions here:
https://www.grants.gov/web/grants/applicants/registration.html
3) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single
applicant organization the user represents (i.e., an applicant) or an individual applicant. If you
work for or consult with multiple organizations and have a profile for each, you may log in to
one Grants.gov account to access all of your grant applications. To add an organizational
profile to your Grants.gov account, enter the UEI Number for the organization in the UEI field
while adding a profile. For more detailed instructions about creating a profile on Grants.gov,
refer to: https://www.grants.gov/web/grants/applicants/registration/add-profile.html
4) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an
Organization Applicant Profile, the organization applicant's request for Grants.gov roles and
access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the
appropriate roles, which may include the AOR role, thereby giving you permission to complete
and submit applications on behalf of the organization. You will be able to submit your
application online any time after you have been assigned the AOR role. For more detailed
instructions about creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html
5) Track Role Status: To track your role request, refer to:
https://www.grants.gov/web/grants/applicants/registration/track-role-status.html
b. Electronic Signature: When applications are submitted through Grants.gov, the name of the
organization applicant with the AOR role that submitted the application is inserted into the
signature line of the application, serving as the electronic signature. The EBiz POC must
authorize people who are able to make legally binding commitments on behalf of the
organization as a user with the AOR role; this step is often missed and it is crucial for valid and
timely submissions.
For additional training resources, including video tutorials, refer to:
https://www.grants.gov/web/grants/applicants/applicant-training.html
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Applicant Support: If you are experiencing difficulties with your submission, it is best to call the
Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist
the USSOCOM with tracking your issue and understanding background information on the
issue. Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and
email at support@grants.gov. For questions related to the specific grant opportunity, contact the
number listed in the application package of the grant you are applying for.
In March 2018, the General Services Administration (GSA) implemented fraud prevention
security measures in the System for Award Management (SAM) which required every new
contractor registrant to provide a written (hard copy), notarized letter confirming the entity's
Administrator that is authorized to register the entity in the SAM database, or to make changes to
its registration. Effective 29 April 2018, the notarized letter process is now mandatory on all
CURRENT registrants at SAM who have a requirement to update data on their SAM record.
The notarized letter is mandatory and is required before the GSA Federal Service
Desk (FSD) will activate the entity's registration. The Office of the Secretary of Defense and GSA
realizes the length of time needed to transmit, receive, process, and approve the notarized letters
presents a significant impact on the ability of the contracting activity to make timely awards, but
in order to mitigate the concern of fraud, these steps and the time needed for processing, is
unavoidable. Notarized letters are required for all new and existing SAM registered Entities.
The notarized letters must be postal service mailed (not emailed or faxed) to the "Federal Service
Desk" and must contain the information outlined in the SAM posted FAQ at:
(https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-
systemsmanagement/integrated-award-environment-iae/sam-update). Instructions for domestic
entities and instructions for international entities with embedded templates for use are also
provided within the SAM Update notice with frequently asked questions at
https://www.gsa.gov/aboutus/organization/federal-acquisition-service/office-of-systems-
management/integrated-awardenvironment-iae/sam-update.
II.D.4. Submission Dates and Times
This is a continuously open announcement through 31 July 2028; therefore, reviews occur
throughout the year. Pre-proposals may be submitted at any time throughout the 5-year period
noted above. An invited full proposal/application should be submitted within
60 days of the PI’s receipt of an invitation to submit. No pre-proposal/pre-application or full
proposal/application may be submitted under this BAA after 31 July 2028, 11:59 p.m. Eastern
Time. If an invited proposal/application is not submitted by 31 July 2028, 11:59 p.m. Eastern
Time, the applicant must wait for the next available opportunity for submission, i.e., the release
of the FY28 BAA (to be posted to Grants.gov 31 July 2028). No proposal/application received
under this BAA will be considered for funding after 24 months from the date of submission.
II.D.5. Funding Restrictions
The following limits on the duration and cost of research projects apply:
Proposed projects longer than five (5) years will not be considered.
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Most projects are anticipated to have a total cost at or below $1,500,000 (including indirect
costs). Projects that have a total cost higher than $1,500,000 (including Indirect costs) with
outstanding scientific merit that meet a critical need may be accepted; however the total cost of
these projects are not to exceed $5,000,000.00 (including Indirect costs).
No budget will be approved by the Government exceeding $5,000,000.00 (including indirect
costs).
A budget should be commensurate with the nature and complexity of the proposed research.
Researchers should submit budgets that include the entire period of performance of the research
project. Budgets should include all direct and indirect costs, based on supportable, verifiable
estimates. The budget for the full proposal/application should not differ significantly from the
pre-proposal/pre-application budget summary form provided in the pre-proposal/pre-application
submission.
Offerors or Applicants seeking additional or continuation funding must submit new pre-
proposals and be invited to submit full proposals.
See the General Submission Instructions, Section III, for additional information regarding the
research and related budget.
All direct and indirect costs of any subaward, contract, or subcontract must be included in the
costs of the primary award.
The applicant may request the entire maximum funding amount for a project that may have a
period of performance less than the maximum five years.
For this award mechanism, direct costs may be requested for (not all inclusive):
• Salary
• Research – related subject costs
• Research supplies
• Support for multidisciplinary collaborations, including travel
• Travel costs
• Equipment
For extramural awards with an intragovernmental component, direct transfer of funds from an
extramural award recipient to a DoD or other Federal agency is not allowed. Funding to
intramural DoD and other Federal agencies will be managed through a direct fund transfer.
Intramural applicants are responsible for coordinating through their agency’s procedures the use
of contractual or assistance funding awards or other appropriate agreements to support
extramural collaborators.
Refer to the General Submission Instructions, Section III. for budget regulations and instructions
for the Research & Related Budget. For Federal agencies or organizations collaborating with
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Federal agencies, budget restrictions apply as are noted in the General Submission
Instructions, Section III.
For additional information refer to Section II.F.1, Federal Award Notices.
Funds to be obligated on any award resulting from this BAA will be available for use for a
limited time period based on the fiscal year of the funds. Awards will identify expiration of the
funds.
Refer to the General Submission Instructions, “Research & Related Budget,” for discussion of
allowable costs, including pre-award costs and collaborations with Military Facilities.
II.D.6. Other Submission Requirements
Refer to the General Submission Instructions, Appendix 4, for detailed formatting guidelines on
submission.
II.E. Proposal/Application Review Information
II.E.1. Criteria
II.E.1.a. Peer Review
To determine technical merit, all proposals will be evaluated according to the following scored
criteria, which are listed in descending order of importance:
• Research Objectives: The degree to which the stated objectives are clear, valid, and logical.
For development of devices and technologies, the degree to which the performance
objectives are plausible; the proposed effort demonstrates familiarity with the historical
background of the problem and previous/current solutions; and the awareness of similar
projects previously undertaken and related activities. The extent that the proposed research
projects demonstrate an innovative approach and relate to the Research Areas of Interest
identified in Section II.A.
• Scientific Design Excellence: The degree to which proposed plans, methods, techniques and
procedures are feasible, clear, valid, adequately referenced, and state-of-the-art. The merit of
the statistical features of the study. The extent to which literature searches were used to
document the strengths of the proposed project. For development of devices and
technologies, the feasibility of the proposed prototype/technology development plan; how
well the engineering/technical design is likely to achieve the goals indicated; adequacy of the
engineering/design solutions; and how well the perceived engineering/design strengths and
flaws are addressed.
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• Impact/Outcomes: The potential impact of the research in the field, the significance of this
impact, and when it can be anticipated. For development of devices and technologies, the
potential translation, implementation, and/or commercial use for the prototype/technology
being developed.
• Budget: The degree to which the budget reflects the actual needs of the proposed work, is
thoroughly detailed and fully justified so that the government can evaluate and determine the
cost commensurate with the complexity and nature of the research proposed.
• PI and Key Personnel Qualifications: The qualifications, capabilities, and experience of
the proposed PI and other key personnel to demonstrate that the proposed staff has the
knowledge, technical expertise, and management skills to achieve the proposed objectives as
well as the time available for the percentage of efforts indicated for the project.
• Facilities: The proposed facilities and equipment, or unique combinations of these, to
demonstrate that the organization has the necessary facilities required for the accomplishing
the proposed objectives.
II.E.1.b. Programmatic Review
To make funding recommendations and select the proposal(s)/application(s) that, individually or
collectively, will best achieve the program objectives, the following criteria are used by
programmatic reviewers:
• Scientific peer review results
• SOF Relevance (mission, health, medicine, and beneficiaries)
• Portfolio balance
• Programmatic priorities
II.E.2. Proposal/Application Review and Selection Process
All invited proposals are evaluated by USSOCOM scientists, other federal agency
representatives, outside scientists with diverse expertise, clinicians, consumers, or combinations
thereof, using a two-tier review process. The first tier is peer review of proposals against
established criteria for determining technical merit. Each proposal/application is evaluated for
its own merit, independent of other proposals. The second tier is a programmatic review that
makes recommendations for funding, based on established criteria for determining relevance to
the mission of the USSOCOM and its programs. Programmatic review is a comparison-based
process in which proposals with scientific and technical merit compete in a common pool. The
highest-scoring proposals from the first tier of review are not automatically recommended for
funding. Funding recommendations depend on various factors as described in Section II.E.
Programmatic Review.
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After the two-tier evaluation, proposals recommended for funding may be prioritized. A
prioritized listing of alternates (deferred decisions) may also be prepared, when warranted.
Subsequent awards depend upon the availability of funds and fulfillment of requirements and
priorities determined to exist at the time of award. In some cases, funding priorities may change
as certain scientific tasks are addressed and new mission assignments arise.
If selected for funding, the award may also be dependent upon the organization providing
adequate additional regulatory documentation, such as human subjects/anatomical
substances/use of cadavers’ protocols and approvals, animal subjects’ protocols and approvals,
and environmental information. The award may also be dependent upon additional supporting
administrative and budgetary information.
IAW FAR 35.016(e), “The primary basis for selecting proposals for acceptance shall be
technical, importance to agency programs, and fund availability. Cost realism and
reasonableness shall also be considered to the extent appropriate”.
All USSOCOM review processes are conducted confidentially to maintain the integrity of the
merit-based selection process. Panel members sign a statement that proposal/application and
evaluation information will not be disclosed outside the panel. Violations of confidentiality can
result in the dissolving of a panel(s) and other corrective actions. In addition, personnel at the
Applicant or collaborating organizations are prohibited from contacting persons involved in the
review and approval process to gain protected evaluation information or to influence the
evaluation process. Violations of these prohibitions will result in the administrative withdrawal
of the organization’s proposal/application. Violations by panel members or applicants that
compromise the confidentiality of the review and approval process may also result in suspension
or debarment from federal awards. Furthermore, the unauthorized disclosure of confidential
information of one party to another third party is a crime in accordance with 18 USC 1905.
II.E.3. Integrity and Performance Information
Prior to making an award where the Federal share is expected to exceed the simplified
acquisition threshold (currently $250,000) over the period of performance, the Federal awarding
agency is required to review and consider any information about the applicant that is available in
the SAM.gov Responsibility/Qualification (R/Q).
An applicant organization may review R/Q, accessible through SAM, and submit comments to
R/Q on any information about the organization that a Federal awarding agency previously
entered and is currently available in R/Q.
The Federal awarding agency will consider any comments by the applicant, in addition to 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
determining an organization’s qualification prior to award, according to the qualification
standards of the FAR.
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II.E.4. Anticipated Announcement and Federal Award Dates
Each PI and organization will receive email notification via eBRAP of the funding
recommendation. Notifications should be sent within 180 days of submission. Each PI will
receive a peer review summary statement on the strengths and weaknesses of the
proposal/application.
II.F. Federal Award Administration Information
II.F.1. Federal Award Notices
The PI should receive disposition regarding the full proposal/application via an email from
eBRAP within 180 days of submission. A recommended for funding notification is NOT an
authorization to begin performance nor a guarantee of an award.
The awarding agency will be the USAMRAA. The USAMRAA Contracting Officers are the
only individuals authorized to obligate funds and bind the Federal Government.
Authorization to begin performance will be received via an award document (contract,) signed
by the USAMRAA Contracting Officer. No commitment on the part of the Government should
be inferred from discussions with any other individual.
Awards will be made at any time throughout the year and are contingent upon availability of
funding, adequacy of supporting documentation submitted, fulfillment of requirements, and
completion of successful negotiations. No proposal/application submitted under this BAA will
be considered for funding after 24 months from the date of submission to Grants.gov.
Refer to the General Submission Instructions, Appendix 2, Section D, Award Notices, for
additional information. Refer to the full text of the USAMRAA General Research Terms and
Conditions for Institutions of Higher Education, Hospitals, and Non-Profit Organizations and the
USAMRAA General Research Terms and Conditions for For-Profit Organizations available at
http://www.usamraa.army.mil/Pages/Resources.aspx for further information.
II.F.1.a. PI Changes and Award Transfers
Refer to the General Submission Instructions, Appendix 2 for general information on changes to
PIs and organizational transfers.
Should the PI of a funded project leave the award organization, both the PI and organization
must contact the USAMRAA Contracting Officer as soon as possible to discuss options for
continued support of the research project. Every effort should be made to notify the USAMRAA
prior to the PI leaving the organization. An organizational transfer of an Assistance Agreement
award will not be allowed in the last year of the (original) period of performance or any
extension thereof. An organizational transfer of a Contract award will not be allowed.
II.F.2. Administrative and National Policy Requirements
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Applicable requirements in the FAR, found in 48 CFR, Chapter 1, DFARS, found in 48 CFR
Chapter 2, and AFARS, found in 48 CFR Chapter 51, apply to contracts resulting from this
BAA.
Refer to the General Submission Instructions, Appendix 2, for general information regarding
administrative requirements.
Refer to the General Submission Instructions, Appendix 5, for general information regarding
national policy requirements.
Refer to full text of the USAMRAA General Research Terms and Conditions with Institutions of
Higher Education, Hospitals, and Non-Profit Organizations: Addendum to the DoD R&D Terms
and Conditions and the USAMRAA General Research Terms and Conditions with For-Profit
Organizations for further information.
II.F.3. Reporting
Refer to the General Submission Instructions, Appendix 2, Section A, for general information on
reporting requirements. If there are technical reporting requirement delinquencies for any
existing USSOCOM-sponsored awards at the applicant organization, no new awards will be
issued to the applicant organization until all delinquent reports have been submitted.
technical progress reports andquad charts will be required with frequency determined at the
contract level.
• quad charts including:
○ Objective, measurable, and easily independently verifiable assessment of metrics to
measure progress regarding project cost, schedule, performance, risk, and opportunity.
○ Risk and opportunity assessment of project cost, schedule, and performance. Risk
assessments will use objective, measurable, and easily independently verifiable metrics;
mitigation plans; triggering event; latest potential successful mitigation date; and impacts
of unmitigated risks. Opportunity assessments will use objective, measurable and easily
independently verifiable metrics; exploitation plans; triggering event; latest potential
successful exploitation; and impact of successful opportunity exploitation.
○ Integrated project Gantt chart with all progress to date, supported by the cost,
performance, risk, and opportunity assessments.
○ Budget chart with burn rate, demonstrating funding expended against time, funds
remaining, and planned expense plan through the rest of the project schedule against
planned milestones.
• technical reports including the following:
○ Full description of architecture and content of new interoperable component, description
of scenarios developed, results and method of pilot study.
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○ A report, document, or list of the terminology and respective definitions used for the
variables, metrics, and evaluation criteria and how they were deconstructed. It must
provide the measuring tools and, if needed, how they were used to obtain the
metric/evaluation criteria. Objective measurements are preferred, but subjective
measurements that have rigorous reliability, repeatability, and robustness will be
considered.
○ Explanation, including definitions and descriptions, of TRIAGE determinants of
performance and agility. A report or document with the information and analyzed data of
the actual postulated variables, metrics, and evaluation criteria.
○ Analyzed pilot study data and the specific aims, methodologies, sample and sample size,
inter-rater reliability, assessment criteria, statistical methods, analyzed results,
conclusions, and potential next-step recommendations.
○ Completion of preliminary/pilot empirical evaluation of the developed proof-of-concept;
○ A description of the components of the proof-of-concept that are proprietary and ones
that are open source/open architecture. Explanation of Government rights and/or
proposed pricing structure to the Government (if applicable).
○ Documentation of the translational parameters and the respective definitions (if
applicable).
○ Description of the gaps that were uncovered during this research as it pertains to the
success or improvement measured and an outline of anticipated next steps or
recommendations.
II.G. Federal Awarding Agency Contacts
II.G.1. eBRAP Help Desk
Questions related to BAA content or submission requirements as well as questions related to the
submission of the pre-proposal/pre-application through eBRAP should be directed to the eBRAP
Help Desk, which is available Monday through Friday from 8:00 a.m. to 5:00 p.m. Eastern Time.
Response times may vary depending upon the volume of inquiries.
Phone: 301-682-5507
Email: help@eBRAP.org
II.G.2. Grants.gov Contact Center
Questions related to extramural full proposal/application submission through the Grants.gov
portal should be directed to the Grants.gov Contact Center, which is available 24 hours a day, 7
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days a week (closed on U.S. federal holidays). Note that the eBRAP Help Desk is unable to
provide technical assistance with Grants.gov submission.
Phone: 800-518-4726; International 1-606-545-5035
Email: support@grants.gov
Sign up on Grants.gov for “send me change notification emails” by following the link on the
Synopsis page for the BAA or by responding to the prompt provided by Grants.gov when first
downloading the submission package. If the submission package is updated or changed, the
original version of the Application package may not be accepted by Grants.gov.
II.H. Other Information
II.H.1. Administrative Actions
After agency receipt of pre-proposals or proposals, the following administrative actions may
occur:
II.H.1.a. Rejection
The following will result in administrative rejection of the pre-proposal/pre-application:
• Project narrative exceeds page limit.
• Project narrative is missing.
• Budget form contains only zeros.
• Quad Chart is missing.
The following will result in administrative rejection of the proposal/application:
• Submission of an application for which a letter of invitation was not received.
• Project Narrative exceeds page limit.
• Project Narrative is missing.
• Budget is missing.
II.H.1.b. Modification
• Pages exceeding the specific limits will be removed prior to review for all documents other
than the pre-proposal narrative and project narrative.
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• Documents not requested will be removed.
• Following proposal/application submission to Grants.gov, the PI will receive an email
request from eBRAP to review, modify, and verify the proposal/application submitted to
Grants.gov. During this verification period, the PI may upload missing documents (refer to
II.H.I.a, rejection), replace files, and re-categorize files. These modifications must be
completed by the end of the application verification period; otherwise, the
proposal/application will be reviewed as submitted
II.H.1.c. Withdrawal
The following may result in administrative withdrawal of the pre-proposal/pre-application or
proposal/application:
• Federal agency personnel involved in the review process and/or with making funding
recommendations are named as being involved in the research proposed or found to
have assisted in the pre-proposal/pre-application or proposal/application processes,
including, but not limited to, concept design, proposal/application development, budget
preparation, and the development of any supporting documentation. If formal
collaboration with Military Facility personnel is planned (i.e., included in the
proposal/application in performance of the research), this prohibition is not
applicable. However, these Military Facility personnel are prohibited from being
involved in the review process and/or with making funding recommendations.
• Inclusion of URLs, with the exception of links in References Cited and Publication
and/or Patent Abstract sections.
• Page size is larger than 8.5 inches x 11.0 inches (approximately 21.59 cm x 27.94 cm).
• Personnel from applicant or collaborating organizations are found to have contacted
persons involved in the review process to gain protected evaluation information or to
influence the evaluation process.
• Full proposals from extramural organizations, including non-DoD Federal agencies,
received through eBRAP may be withdrawn.
• The full proposal/application does not propose the same research project as described in
the pre-proposal/pre-application.
• The full proposal/application budget differs significantly from the budget included in
the pre-proposal/pre-application.
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• A proposal submitted by a PI who does not meet the eligibility criteria will be
withdrawn.
II.H.1.d. Withhold
Proposals that appear to involve research misconduct will be administratively withheld from
further consideration pending organizational investigation. The organization will be required to
provide the findings of the investigation to the USAMRAA Contracting
Officer for a determination of the final disposition of the proposal/application.
II.H.2. Proposal/Application Submission Checklist
Grants.gov Submission Upload
Action Completed
Package Components Order
SF-424 (R&R)
Application for Federal Complete as instructed.
Assistance
Project Narrative: Upload as Attachment 1 with file name
1
“ProjectNarrative.pdf.”
Supporting Documentation: Upload as Attachment 2 with
2
file name “Support.pdf.”
Technical Abstract: Upload as Attachment 3 with file name
3
“TechAbs.pdf.”
4
Lay Abstract: Upload as Attachment 4 with file name
“LayAbs.pdf.”
Statement of Work: Upload as Attachment 5 with file name
5
“SOW.pdf.
Outcomes and Impact Statement: Upload as Attachment 6
6
with file name “Impact.pdf.”
Innovation Statement: Upload as Attachment 7 with file
Attachments Form 7
name “Innovation.pdf.”
Data and Research Resource-Sharing Plan: Upload as
8
Attachment 8 with the file name “Sharing.pdf.”
Conflicts of Interest: Upload as Attachment 9 with file name
9
“COI.pdf,” if applicable.
Data Management: Upload as Attachment 10 with file
10
name “DataManage.pdf.”
Post-Award Project Transition Plan: Upload as Attachment
11
11 with file name “Transition.pdf.”
Collaborating DoD Military Facility Budget Form(s):
12 Upload as Attachment 12 with the file name
“MFBudget.pdf,” if applicable.
Research & Related Complete as instructed.
Personal Data
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Attach PI Biographical Sketch (Biosketch_LastName.pdf)
to the appropriate field.
Attach PI Previous/Current/Pending Support
Research & Related
(Support_LastName.pdf) to the appropriate field.
Senior/Key Person
Attach Biographical Sketch (Biosketch_LastName.pdf) for
Profile (Expanded)
each senior/key person to the appropriate field.
Attach Previous/Current/Pending (Support_LastName.pdf)
for each senior/key person to the appropriate field.
Research & Related Attach Budget Justification (BudgetJustification.pdf) to the
Budget appropriate field. Complete form as instructed.
Project/Performance Site
Complete form as instructed.
Location(s) Form
R&R Subaward Budget
Attachment(s) Form (if Complete form as instructed.
applicable)
Collaborating with DoD Complete form as instructed.
Military Facilities
APPENDIX 1: ACRONYM LIST
BAA Broad Agency Announcement
CDMRP Congressionally Directed Medical Research Programs
CFR Code of Federal Regulations
COI Conflict of Interest
DHA Defense Health Agency
DHP Defense Health Program
DoD Department of Defense
eBRAP Electronic Biomedical Research Application Portal
EC Ethics Committee
ET Eastern Time
FAD Funding Authorization Document
FY Fiscal Year
HRPO Human Research Protection Office
IRB Institutional Review Board
LOI Letter of Intent
M Million
MIPR Military Interdepartmental Purchase Request
NPC Non-Profit Corporation
OASD(HA) Office of the Assistant Secretary of Defense for Health Affairs
ORCID Open Researcher and Contributor ID, Inc.
ORP Office of Research Protections
PFC Prolonged Field Care
PI Principal Investigator
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[Document continues — 1 more pages]

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General Submission Instructions

General Submission Instructions for Funding
Opportunity Number: HT9425-23-S-SOC1
Broad Agency Announcement
for Extramural Biomedical and Human
Performance Research and Development
Fiscal Year 2023 – Fiscal Year 2028
Department of Defense
United States Special Operations Command
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General Submission Instructions

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Table of Contents
I. HELPFUL INFORMATION ................................................................................................ 5
A. Tips for Success .................................................................................................................. 5
B. Current Funding Opportunity Announcement .................................................................... 5
C. Receiving Emails from eBRAP, and Grants.gov ................................................................ 6
D. Agency Contacts ................................................................................................................. 6
II. REGISTRATION AND SUBMISSION INFORMATION ................................................ 7
A. eBRAP Registration ............................................................................................................ 7
B. Submission Dates and Times .............................................................................................. 8
C. Content and Form of pre-application Submission .............................................................. 8
III. Content and Form of Application Submission FOR RESEARCH pROPOSALS ........ 10
A. Grants.gov Submission Package Components for Research Proposals ............................ 13
B. Submission of a Grants.gov Workspace ........................................................................... 29
C. Applicant Verification of Grants.gov Submission in eBRAP .......................................... 29
D. Application Tracking ........................................................................................................ 30
APPENDIX 1 Regulatory Requirements .................................................................................. 31
A. Safety and Environmental Requirements .......................................................................... 31
B. Research Protections Review Requirements .................................................................... 31
C. Clinical Trial Registry....................................................................................................... 36
D. Research Involving Recombinant DNA Molecules .......................................................... 37
APPENDIX 2 Reporting Requirements and Administrative Information ........................... 38
A. Reporting Requirements for Awards ................................................................................ 38
B. Disclosure of Proprietary Information .............................................................................. 39
C. Marking of Proprietary Information ................................................................................. 39
D. Award Notices .................................................................................................................. 39
E. Inquiry Review.................................................................................................................. 39
F. Information Service .......................................................................................................... 40
G. Freedom of Information Act Requests .............................................................................. 40
H. Information Release .......................................................................................................... 40
I. Contracted Fundamental Research ................................................................................... 41
J. Sharing of Proposal Information ....................................................................................... 41
K. Data Management and Sharing ......................................................................................... 42
Purpose ..................................................................................................................................... 42
Data sharing enables researchers to rigorously test the validity of research findings, strengthen
analyses through combined datasets, reuse hard-to-generate data, and explore new
frontiers of discovery. In addition, USSOCOM emphasizes the importance of good data
management practices, which provide the foundation for effective data sharing and
improve the reproducibility and reliability of research findings. USSOCOM encourages
data management and data sharing practices consistent with the FAIR data principles
(https://www.go-fair.org/fair-principles/) ......................................................................... 42
USSOCOM expects researchers and institutions to implement data management and sharing
practices as described. ....................................................................................................... 42
Definitions ................................................................................................................................ 42
For the purposes of this BAA, terms are defined as follows: .................................................. 42
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Scientific Data: The recorded factual material commonly accepted in the scientific community
as of sufficient quality to validate and replicate research findings, regardless of whether
the data are used to support scholarly publications. Scientific data do not include
laboratory notebooks, preliminary analyses, completed case report forms, drafts of
scientific papers, plans for future research, peer reviews, communications with
colleagues, or physical objects, such as laboratory specimens. ........................................ 42
Data Management: The process of validating, organizing, protecting, maintaining, and
processing scientific data to ensure the accessibility, reliability, and quality of the
scientific data for its users................................................................................................. 42
Data Sharing: The act of making scientific data available for use by others (e.g., the larger
research community, institutions, the broader public), for example, via an established
repository. ......................................................................................................................... 42
Metadata: Data that provide additional information intended to make scientific data
interpretable and reusable (e.g., date, independent sample and variable construction and
description, methodology, data provenance, data transformations, any intermediate or
descriptive observational variables). ................................................................................. 42
Data Management and Sharing Plan (Plan): A plan describing the data management,
preservation, and sharing of scientific data and accompanying metadata. ....................... 42
Scope ........................................................................................................................................ 42
This guidance applies to all research, funded or conducted in whole or in part by USSOCOM,
that results in the generation of scientific data. This includes research funded or
conducted by extramural grants, contracts, Intramural Research Projects, or other funding
agreements regardless of USSOCOM funding level or funding mechanism. This guidance
does not apply to research and other activities that do not generate scientific data,
including training, infrastructure development, and non-research activities. ................... 42
Managing and Sharing Scientific Data .................................................................................... 43
USSOCOM expects that in drafting Plans, researchers will maximize the appropriate sharing
of scientific data, acknowledging certain factors (i.e., legal, ethical, or technical) that may
affect the extent to which scientific data are preserved and shared. Any potential
limitations on subsequent data use should be communicated to individuals or entities
(e.g., data repository managers) that will preserve and share the scientific data. ............. 43
Considerations for Scientific Data Derived from Human Participants: USSOCOM prioritizes
the responsible management and sharing of scientific data derived from human
participants. Applicable federal, Tribal, state, and local laws, regulations, statutes,
guidance, and institutional policies govern research involving human participants and the
sharing and use of scientific data derived from human participants. USSOCOM also
respects Tribal sovereignty in the absence of written Tribal laws or polices. This
USSOCOM guidance is consistent with federal regulations for the protection of human
research participants and other USSOCOM expectations for the use and sharing of
scientific data derived from human participants, including the NIH’s 2014 Genomic Data
Sharing (GDS) Policy (https://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-
124.html ) 2015 Intramural Research Program Human Data Sharing Policy
(https://policymanual.nih.gov/3016), and 45 CFR 46
(https://www.hhs.gov/ohrp/regulations-and-policy/regulations/45-cfr-46/index.html).
Researchers proposing to generate scientific data derived from human participants should
outline in their Plans how privacy, rights, and confidentiality of human research
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participants will be protected (i.e., through de-identification, Certificates of
Confidentiality (https://grants.nih.gov/grants/guide/notice-files/NOT-OD-17-109.html),
and other protective measures). ........................................................................................ 43
USSOCOM strongly encourages researchers to plan for how data management and sharing
will be addressed in the informed consent process, including communicating with
prospective participants how their scientific data are expected to be used and shared.
Researchers should consider whether access to scientific data derived from humans, even
if de-identified and lacking explicit limitations on subsequent use, should be controlled.
........................................................................................................................................... 43
Data Repository Selection: USSOCOM strongly encourages the use of established
repositories to the extent possible for preserving and sharing scientific data. The
Supplemental Information to the NIH Policy for Data Management and Sharing:
Selecting a Repository for Data Resulting from NIH-Supported Research
(https://sharing.nih.gov/data-management-and-sharing-policy/sharing-scientific-
data/selecting-a-data-repository) assists researchers in selecting a suitable data
repository(ies) or cloud-computing platform. ................................................................... 43
Data Preservation and Sharing Timelines: Shared scientific data should be made accessible as
soon as possible, and no later than the time of an associated publication, or the end of
performance period, whichever comes first. Researchers are encouraged to consider
relevant requirements and expectations (e.g., data repository policies, award record
retention requirements, journal policies) as guidance for the minimum time frame that
scientific data should be made available, which researchers may extend. Depending on
the research project, the PI may be required to participate in the following, which will be
specified in the award: ...................................................................................................... 43
L. Property/Equipment .......................................................................................................... 44
M. Title to Inventions and Patents .......................................................................................... 44
N. PI Changes and Award Transfers ..................................................................................... 44
APPENDIX 3 Qualification Information.................................................................................. 46
A. Contractor/Recipient Qualification ................................................................................... 46
B. Eligibility Information ...................................................................................................... 46
C. J-1 Visa Waiver................................................................................................................. 47
D. Conflict of Interest ............................................................................................................ 47
APPENDIX 4 Formatting Guidelines ....................................................................................... 48
APPENDIX 5 National Policy Requirements ........................................................................... 49
A. Certification ...................................................................................................................... 49
B. Representations ................................................................................................................. 50
APPENDIX 6 Acronym List ...................................................................................................... 52
This General Submission Instructions document must be read in conjunction with the Broad
Agency Announcement, available for downloading from Grants.gov.
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I. HELPFUL INFORMATION
A. Tips for Success
This symbol marks helpful hints throughout this document.
This symbol refers to the Broad Agency Announcement for specific instructions.
B. Current Funding Opportunity Announcement
The Fiscal Year 2023 – Fiscal Year 2028 (FY23-FY28) U.S. Special Operations Command
(USSOCOM) Broad Agency Announcement (BAA) can be found by searching Grants.gov
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(http://www.grants.gov/) using the Funding Opportunity Number HT9425-23-S-SOC1 or the
Catalog of Federal Domestic Assistance (CFDA) number 12.420 Military Medical Research
and Development.
USSOCOM utilizes the tools and processes provided by Congressionally Directed Medical
Research Programs (CDMRP). Additional information may be found on the CDMRP’s
electronic Biomedical Research Application Portal (eBRAP) website at
https://ebrap.org/eBRAP/public/index.htm.
The awarding agency will be the U.S. Army Medical Research Acquisition Activity
(USAMRAA). The USAMRAA Contracting Officials are the only individuals authorized to
obligate funds and bind the Federal Government for awards under this BAA.
C. Receiving Emails from eBRAP, and Grants.gov
To help ensure that all email correspondence is delivered correctly and is not treated as spam by
email programs, keep your email address up to date in eBRAP and Grants.gov and place the
following domains into your safe list: army.mil, us.army.mil, *.mail.mil, health.mil, eBRAP.org,
and Grants.gov. Also, use the same email address when submitting both the pre-proposal/pre-
application to eBRAP and the full proposal to Grants.gov.
On occasion, the Grants.gov proposal package may be updated or changed. The applicant must
use the latest version of the Grants.gov submission package; proposals submitted with a different
version of the Grants.gov submission package will be rejected by Grants.gov. Sign up in
Grants.gov (http://www.grants.gov/) for “Send me change notification emails” by following
the link on the Synopsis page for the BAA or by responding to the prompt provided by
Grants.gov when first downloading the Grants.gov submission package.
D. Agency Contacts
1. eBRAP Help Desk: Questions related to BAA content or submission requirements, as
well as questions related to submission of Pre-proposals through eBRAP, should be
directed to the eBRAP Help Desk, which is available Monday through Friday from
8:00 a.m. to 5:00 p.m. Eastern time. Response times may vary depending upon the
volume of inquiries. Be advised that the eBRAP Help Desk is unable to provide
technical assistance with Grants.gov submission.
Phone: 301-682-5507
Email: HELP@EBRAP.ORG
2. Grants.gov Contact Center: Questions related to proposal submission through the
Grants.gov portal should be directed to the Grants.gov Contact Center, which is
available 24 hours a day, 7 days a week (closed on U.S. Federal holidays).
Phone: 800-518-4726; International: 1-606-545-5035
Email: SUPPORT@GRANTS.GOV
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II. REGISTRATION AND SUBMISSION INFORMATION
Submission is a two-step process requiring both (1) Pre-proposal submission through eBRAP
(https://eBRAP.org/) and (2) full proposal submission through a Grants.gov Workspace or
eBRAP, depending on the type of application being submitted. General registration information
is provided below. For detailed instructions, refer to the eBRAP User Guide
(https://ebrap.org/eBRAP/public/UserGuide.pdf) for eBRAP registration, and www.grants.gov
for Grants.gov registration.
Submission of Proposals from U.S. Federal agencies and those proposing
collaborations with Military Facilities have unique requirements. Budget requirements
and restrictions apply. See Section III.A.5, Research & Related Budget.
For specific guidance regarding changes to the Principal Investigator (PI) or
organization, refer to the BAA.
USSOCOM encourages all PIs to participate in a digital identifier initiative through Open
Researcher and Contributor Identification (ORCID). Registration for a unique ORCID identifier
can be done online at http://orcid.org/.
A. eBRAP Registration
eBRAP is a multifunctional web-based system that allows PIs to submit their pre-proposals
electronically through a secure connection, to view and edit the content of their pre-proposals
and full proposals, to receive communications from the USSOCOM, and to submit
documentation during award negotiations and throughout the period of performance. A key
feature of eBRAP is the ability of an organization’s representatives and PIs to view and modify
the Grants.gov proposal submissions associated with them. eBRAP will validate Grants.gov
proposal files against the specific BAA requirements, and discrepancies will be noted in an email
to the PI and in the Full Application Files tab in eBRAP. It is the applicant’s responsibility to
review all proposal components for accuracy as well as to ensure proper ordering as specified in
the BAA.
eBRAP does not confirm the accuracy of file content!
To submit a pre-proposal, PIs must be registered in eBRAP.
During eBRAP registration, the PI must request to be affiliated with his/her organization from
the list of organizations already registered with eBRAP. If the PI’s organization is not already
registered with eBRAP, then the PI must invite an Authorized Organizational Representative
(AOR) to register the organization. The AOR does not need to complete the organization
registration in eBRAP in order for the pre-proposal to be submitted. However, before the full
proposal submission deadline, the organization’s eBRAP registration must be complete to allow
for processing, viewing, and modifying of the Grants.gov submission package components.
Specific information must be identical between the pre-proposal and the full proposal/application
for eBRAP to process a proposal. Mismatched information may delay the availability of the
proposal during the proposal/application verification period. For the PI to view/modify files, the
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PI’s name and email address in the eBRAP pre-proposal/pre-application submission must match
the information provided in Standard Form 424 (SF424) of the Grants.gov submission package.
For the Business Official to view/modify files, the Business Official’s name and email address in
the eBRAP pre-proposal submission must match the information provided in the SF424 of the
Grants.gov submission package.
During pre-proposal submission, the PI must identify a Business Official from the list of
Business Officials registered with eBRAP. If the PI’s Business Official is not already registered
with eBRAP, the PI must invite the Business Official to register. The Business Official’s
registration must be completed prior to the full proposal deadline to allow the Business Official
to view/modify the full proposal files in eBRAP after submission.
During pre-proposal submission, the PI must select the performing organization (site at which
the PI will perform the proposed work) and contracting organization (organization submitting on
behalf of the PI) and click on “Add Organizations to this pre-application.” The organization(s)
must be either selected from the eBRAP drop-down list or invited to allow submission of the pre-
proposal.
B. Submission Dates and Times
This BAA is continuously open for a 5 year period, from 1 August, 2023 through 31 July, 2028,
11:59 p.m. Eastern Time. Pre-proposals are required and may be submitted at any time
throughout the 5-year period.
C. Content and Form of pre-application Submission
For specific instructions regarding content of the pre-proposal submission
components, refer to the BAA.
The pre-proposal consists of the following components, which are organized in eBRAP by
separate tabs:
Tab 1 – Application Information: Enter the information as described in eBRAP before
continuing the pre-proposal. Submission of application information includes assignment of
primary and secondary research classification codes which can be found at
https://ebrap.org/eBRAP/public/program.htm. Note that the codes have recently been
revised. Applicants are strongly encouraged to review and confirm the codes prior to
making their selection. Click on “Save.”
Tab 2 – Application Contacts: Enter contact information for the PI. Enter the
organization’s Business Official responsible for sponsored program administration (the
“person to be contacted on matters involving this application” in Block 5 of SF424 in the
Grants.gov package). Depending on screen resolution, scrolling horizontally may be
necessary to locate the box to invite an AOR to register the performing and/or contracting
organization. Click on “Add Organizations to this pre-application.” The Business Official
must be either selected from the eBRAP list or invited in order for the pre-proposal to be
submitted.
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If the organization’s Business Official is not in eBRAP, an invitation to the Business
Official to register in eBRAP must be sent.
Depending on the screen resolution, scrolling horizontally may be necessary to locate the
box to invite an AOR to register the performing organization (site at which PI will perform
the proposed work) and contracting organization (organization submitting on behalf of the
PI; corresponds to Block 5 on SF424), and click on “Add Organizations to this pre-
application.” The organization(s) must either be selected from the eBRAP drop-down list
or invited to allow the pre-proposal to be submitted.
Tab 3 – Collaborators and Key Personnel: Enter the name, organization, and role of all
collaborators and key personnel associated with the proposal. Click on “Save.”
Note: USSOCOM does not follow National Institutes of Health (NIH) guidelines for
role designation of project participants. Unless otherwise noted, applicants should
assign the role of each participant in accordance with the participant’s respective
involvement in the project.
Federal agency personnel involved in the review process and/or with making funding
recommendations are prohibited from being involved in any pre-proposal and full proposal,
including, but not limited to, concept design, proposal development, budget preparation,
and the development of any supporting documentation.
If formal collaboration with Military Facility personnel is planned (i.e., included in the
proposal in performance of the research), this prohibition is not applicable; however, those
Military Facility personnel are prohibited from being involved in the review process and/or
with making funding recommendations.
To preserve the integrity of its peer and programmatic review processes, the USSOCOM
discourages employees or contracted personnel performing proposal review functions from
participating or submitting proposals. For FY23-FY28, the peer review contractor is
General Dynamics Information Technology (GDIT). The programmatic review contractor
may vary. Proposals that include names of personnel from a review contractor may be
administratively withdrawn unless plans to manage conflicts of interest (COIs) are
provided and deemed appropriate by the Government. Questions related to this topic
should be directed to the eBRAP Help Desk at help@eBRAP.org or 301-682-5507. Refer
to Appendix 3 for additional information.
Tab 4 – Conflicts of Interest (COI’s): To avoid COIs during the screening and review
processes, list all individuals other than collaborators and key personnel who may have a
COI in the review of the proposal (including those with whom the PI has a personal or
professional relationship). Click on “Save.”
Tab 5 – Required Files: Upload all documents as PDF as specified in the BAA.
Documents should conform to the formatting guidelines outlined in Appendix 4. Click on
“Upload.”
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• eBRAP will truncate characters exceeding the limit specified for each data field as
specified in the BAA.
• eBRAP will not allow a document to be uploaded in the Required Files tab if the
number of pages exceeds the limits specified in the BAA.
Tab 6 – Submit pre-proposal: Enter eBRAP password and click the “Submit” button.
Click the “Confirm Submission” button to complete the pre-proposal submission. This
finalizes the pre-proposal process.
The pre-proposal is not submitted until Tab 6 is complete.
Pre-proposals not completed are left in DRAFT status.
Following completion of pre-proposal/pre-application submission, the status of the pre-
proposal in eBRAP will change from “DRAFT” to “SUBMITTED” and a confirmation
email will be sent to the PI and named Business Official. A pre-proposal in DRAFT status
will not be forwarded for review.
III. CONTENT AND FORM OF APPLICATION SUBMISSION FOR RESEARCH
PROPOSALS
A PI must be invited to submit a full proposal. An invited full proposal must be submitted
electronically through a Grants.gov Workspace (http://www.grants.gov). Proposals will not be
accepted by mail or in person.
Grants.gov applicants must apply online using Workspace. Workspace is a shared, online
environment where members of a grant team (investigators and business officials) may
simultaneously access and edit different webforms within an application. Applicants must create
a Workspace, invite grant team members to join the Workspace, complete the required forms,
and submit their application Workspace package.
To apply through Grants.gov, an organization must first complete the Grants.gov registration
process. Allow up to 8 weeks for the completion of the Grants.gov registration process.
USSOCOM cannot make allowances/exceptions to its policies for submission problems
encountered by the applicant organization using system-to-system interfaces with Grants.gov.
Any modifications to the Project Narrative or Budget Form require submission of a
changed/corrected Grants.gov submission package to Grants.gov. The Project Narrative and
Budget Form cannot be modified during the proposal verification period.
It is the applicant’s responsibility to verify his/her Adobe Reader’s compatibility with
Grants.gov: http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. A
no-cost compatible version of Adobe Reader can be downloaded at
http://get.adobe.com/reader/otherversions/. Resubmission of a proposal prior to the Grants.gov
deadline must be coded as a “Changed/Corrected Application.”
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Foreign organizations doing business outside of the United States are also required to complete
the Grants.gov registration process, in addition to fulfilling supplementary requirements for
doing business with the U.S. Federal Government.
If business is conducted with the Federal Government on a continuing basis, it is likely that some
of the actions have already been completed, e.g., obtaining a Unique Entity Identifier (UEI)
number via registration as an Entity in the System for Award Management (SAM).
Detailed information, automated tools, and checklists are available at
http://www.grants.gov/web/grants/applicants/organization-registration.html.
The following steps are required as part of the Grants.gov registration process:
1. UEI and SAM
As of April 4, 2022, all organizations applying online through Grants.gov must register with the
SAM and will receive a(UEI number. Failure to register with SAM will prevent your
organization from applying through Grants.gov. Applicant organizations and all subrecipient
organizations must have an active registration in the (SAM) number to submit proposals to
Grants.gov. The applicant organization must also be registered in the Entity Management
functional area of the SAM with an “Active” status to submit proposals through the Grants.gov
portal. Verify the status of the applicant’s organization’s Entity registration in SAM well in
advance of the proposal submission deadline. Allow several weeks to complete the entire SAM
registration process. If an applicant has not fully complied with the requirements at the time the
Federal awarding agency 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.
2. SAM Registry
The applicant organization must be registered as an entity for all awards in SAM
(https://www.sam.gov) and receive confirmation of an “Active” status before submitting a
proposal through Grants.gov. The SAM validates organization information and electronically
shares the secure and encrypted data with Federal agencies’ finance offices to facilitate paperless
payments through electronic funds transfer. An organization must identify an Accounts
Receivable point of contact (POC), an Electronic Business (E-Biz) POC, and a Government
Business POC during the SAM registration process. Entity registrations in SAM have an
annual expiration. Verify the status of your organization’s Entity registration in SAM well in
advance of the proposal submission deadline. An organization can register in SAM online at
https://www.sam.gov/. If your organization does not have either an Employer Identification
Number (EIN) or Tax Identification Number (TIN), allow at least 2 weeks to receive this
information from the U.S. Internal Revenue Service. Allow several weeks to complete the entire
SAM registration process. If an applicant has not fully complied with the requirements by the
time the Federal awarding agency 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. Additional
information and step-by-step registration directions are detailed in the SAM User Guide and
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other General Services Administration (GSA) training materials in the Help area at
https://www.sam.gov/.
Applications will be rejected by Grants.gov if (1) the organization’s Entity registration in SAM
is not active, or (2) if during the SAM registration process, the organization did not answer
“Yes” when asked “Do you want to be eligible for grants and other Federal assistance?”
3. Commercial and Government Entity (CAGE) Code
The applicant organization must have a CAGE Code. The Defense Logistics Information
Service in Battle Creek, Michigan, is the only authorized source of CAGE Codes. CAGE Codes
will be assigned to registrants as their SAM registration advances through the validation process.
Foreign registrants in SAM must be assigned a North Atlantic Treaty Organization (NATO)
CAGE Code (NCAGE). An NCAGE code can be obtained by contacting the National
Codification Bureau of the country where the organization is located or by visiting the website
https://cage.dla.mil/Request. On average, CAGE Code or NCAGE Code validation in SAM
occurs within 3 business days after the TIN is validated.
4. Authorized Organizational Representative
Each organization must have an AOR who is registered with Grants.gov (individual PIs do not
register with Grants.gov). An AOR must be a member of the Grants.gov Workspace grant team
as the business official authorized to submit the completed Workspace application package. An
organization’s E-Biz POC must authorize an AOR. An individual may serve as both the E-Biz
POC and the AOR. Before proposal submission, the AOR must be registered to submit on
behalf of the organization at Grants.gov
(https://www.grants.gov/web/grants/applicants/registration.html).
An AOR must first register with the Grants.gov credential provider at
https://www.grants.gov/web/grants/applicants/registration.html to obtain a username and
password. Once an AOR has completed the Grants.gov registration process, Grants.gov will
notify the E-Biz POC of the registration. The E-Biz POC will then log in to Grants.gov and
assign and authorize the appropriate roles, which may include the AOR role, thereby giving the
AOR permission to complete and submit applications on behalf of the organization. When an E-
Biz POC approves an AOR, Grants.gov will send the AOR a confirmation email.
At the time of proposal submission to Grants.gov, the AOR is certifying to the best of his/her
knowledge that all information provided in the proposal is current, accurate, and complete.
When applications are submitted through Grants.gov, the name of the organization’s AOR that
submitted the application is inserted into the signature line of the application, serving as the
electronic signature. The E-Biz POC must authorize individuals who are able to make legally
binding commitments on behalf of the organization as an AOR; this step is often missed and it
is crucial for valid and timely submissions.
5. Grants.gov Workspace
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Applicants must create a Workspace, which allows the application components to be completed
online and routed through the applicant organization for review prior to submission. Once the
Workspace has been created, participants (grant team members) can be added and the required
forms can be completed and reviewed before submitting.
Each proposal submission must include the completed Grants.gov submission package of forms
associated with the BAA in Grants.gov (http://www.grants.gov/).
If the applicant decides not to apply by filling out webforms within the Workspace, individual
PDF forms can be downloaded, saved, and uploaded to the Workspace. A compatible version of
Adobe Reader must be used to view, complete, and submit an application package consisting of
PDF forms. If more than one person is entering text into an application package, the same
version of Adobe Reader software should be used by each person. Check the version number of
the Adobe software on each user’s computer to make sure the versions match. Using different
versions of Adobe Reader may cause submission and/or save errors – even if each version is
individually compatible with Grants.gov. Grants.gov will reject a submission package that is
opened at any time by an individual with an incompatible version of Adobe Reader. Rejected
proposals must be resubmitted using a new Grants.gov submission package and a supported
version of Adobe Reader prior to the proposal submission deadline. It is the applicant’s
responsibility to verify his/her Adobe Reader’s compatibility with Grants.gov:
https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. A no-cost
compatible version of Adobe Reader can be downloaded at
http://get.adobe.com/reader/otherversions/. All contributors to the proposal must use matching
compatible versions of Adobe software when editing and preparing proposal components outside
the Workspace. The use of different software versions will result in corruption of the submitted
file.
Any modifications to the Project Narrative or Budget Form require submission of a changed/
corrected Grants.gov submission package to Grants.gov prior to the proposal submission
deadline.
A. Grants.gov Submission Package Components for Research Proposals
1. SF424 (R&R), Application for Federal Assistance Form
All appropriate information must be entered into this form to allow for auto-population of
subsequent forms in this Grants.gov submission package. See below for clarification to general
instructions:
Block 1 – Type of Submission. For original submissions, select the “Application” box. For
changes that must be made after the original submission, the complete Grants.gov submission
package must be resubmitted with the “Changed/Corrected Application” box selected.
Block 2 – Date Submitted. Enter the date the proposal is submitted.
Applicant Identifier. Enter the submitting organization’s Control Number, if applicable. If
there is no Organization Control Number, leave this field blank.
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Block 3 – Date Received by State and State Application Identifier. Not applicable.
Block 4a – Federal Identifier Box. Enter in your eBRAP log number assigned during
pre-proposal submission.
Figure 1. Enter your eBRAP log number in Block 4a.
• Block 4b – Agency Routing Identifier. Not applicable.
• Block 4c – Previous Grants.gov Tracking ID. For changed/correct proposal, enter
the Grants.gov Tracking Number for the original proposal.
• Block 5 – Applicant Information. Enter the information for the applicant
organization. “Person to be contacted on matters involving this application” is the
Business Official.
• Block 6 – Employer Identification. Enter the EIN or TIN as assigned by the Internal
Revenue Service. If applying from an organization outside the United States, enter
44-4444444.
• Block 7 – Type of Applicant. Enter the information for the applicant organization.
• Block 8 – Type of Application. Select “New” for all submissions.
• Block 9 – Name of Federal Agency. Populated by Grants.gov.
• Block 10 – Catalog of Federal Domestic Assistance Number. Populated by
Grants.gov.
• Block 11 – Descriptive Title of Applicant’s Project. Enter the same project title as
used for the pre-proposal.
• Block 12 – Proposed Project. Enter the estimated start and end dates for the
project. Actual start and end dates will be determined during negotiations if the
proposal is recommended for funding.
• Block 13 – Congressional District of Applicant. If the applicant organization is
outside the United States, enter 00-000.
• Block 14 – Project Director/Principal Investigator Contact Information. Enter
information for the individual PI responsible for the overall scientific and technical
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direction of the proposal. If outside the United States, select the appropriate
country from the drop-down menu.
• Block 15 – Estimated Project Funding. Enter the total funds (direct + indirect costs)
requested for the entire performance period of the project. These figures should
match those provided in the Research & Related Budget.
• Block 16 – Is Application Subject to Review by State Executive Order 12372 Process?
Select option b., “NO, program is not covered by E.O.12372.”
• Block 17 – Complete Certification. Select the “I agree” box to provide the required
certifications and assurances.
• Block 18 – SFLLL (Disclosure of Lobbying Activities) or Other Explanatory
Documentation. If applicable, complete and attach Standard Form LLL (SFLLL) to
disclose lobbying activities pursuant to Title 31 of the United States Code,
Section 1352 (31 USC 1352).
• Block 19 – Authorized Representative. Enter the contact information for the
applicant organization’s authorized representative. The “Signature of Authorized
Representative” is automatically completed upon submission of the Grants.gov
submission package.
• Block 20 – pre-application. Not applicable.
• Block 21 – Cover Letter Attachment. Not applicable.
If a revised Project Narrative or Budget Form document is needed, an updated Grants.gov
submission package must be submitted via Grants.gov as a “Changed/Corrected Application”
with the previous Grants.gov Tracking ID found in Block 4.c. of the SF424 (R&R) Form prior
to the full proposal submission deadline.
2. Attachments Form
Grants.gov does not validate for the presence of attachments on this Attachments Form.
Following retrieval and processing of the Grants.gov proposal, eBRAP will notify the
organizational representatives and PI by email to log into the eBRAP to view, modify, and verify
the Grants.gov proposal submission. eBRAP will validate retrieved files against the BAA
guidelines. Discrepancies will be noted in both the email and in the Full Application tab.
eBRAP does not confirm the accuracy of file content. It is the applicant’s responsibility to
review all proposal components and ensure proper ordering as specified in the BAA. See III.C.,
Applicant Verification of Grants.gov Submission in eBRAP, for additional details.
Each attachment in the Attachment Form must be uploaded as an individual PDF file in
accordance with the formatting guidelines listed in Appendix 4. For all attachments, ensure that
the file names are consistent with the guidance. Grants.gov will reject attachments with file
names longer than 50 characters or incorrect file names that contain characters other than the
following: A-Z, a-z, 0-9, underscore, hyphen, space, and period. In addition, Grants.gov has file
size limits that may apply in some circumstances. Individual attachments may not exceed
20 MB and the file size for the entire submission package may not exceed 200 MB. Applicants
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 15
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must contact the Grants.gov Contact Center (support@grants.gov) for written confirmation that a
file exceeding the maximum size will be accepted or for other guidance.
For specific instructions regarding content and page limits of the Project Narrative,
Supporting Documentation, and all other attachments to this Grants.gov form, refer to
the BAA.
All documents that require signatures must be signed. Both electronic and hand
signatures will be accepted. Any document that is signed by hand should be scanned at a
low resolution such as 100-150 dots per inch.
The following must be included as attachments to this form:
Attachment 1: Project Narrative: Attach as a PDF file named “ProjectNarrative.pdf.”
The Project Narrative is the main body of the proposal. The page limit of the Project
Narrative applies to text and non-text elements (e.g., figures, tables, graphs, photographs,
diagrams, chemical structures, drawings, etc.) used to describe the project. Inclusion of
URLs that provide additional information to expand on the Project Narrative and could
confer an unfair competitive advantage is prohibited and may result in administrative
withdrawal of the proposal. There is no form for this information. A detailed description
of the research to be undertaken should be submitted. This should include the areas
described in the BAA.
Submission of a Project Narrative that exceeds the page limit specified in the BAA will
result in administrative rejection of the proposal.
Attachment 2: Supporting Documentation: Combine and attach as a single PDF file
named “Support.pdf.” Include only supporting documentation as indicated in the BAA.
Submitting material that is not requested may be viewed as an attempt to gain an unfair
competitive advantage; such material will be removed or the proposal may be
administratively withdrawn. The Supporting Documentation attachment should not
include additional information such as figures, tables, graphs, photographs, diagrams,
chemical structures, or drawings. These items should be included in the Project
Narrative. Any additional material viewed as an extension of the Project Narrative will
be removed or may result in administrative withdrawal of the proposal.
All proposals are given fair and thorough reviews. Letters of support not requested in
the BAA, such as those from members of Congress, do not impact proposal review or
funding decisions.
For a list and descriptions of required supporting documents, refer to the BAA.
Attachment 3: Technical Abstract: Attach as a PDF file named “TechAbs.pdf.”
Abstracts of all funded research projects will be posted on the CDMRP website at
https://cdmrp.health.mil/. Do not include proprietary or confidential information. Use only
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 16
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characters available on a standard QWERTY keyboard. Spell out all Greek letters, other
non-English letters, and symbols. Graphics are not allowed.
The Technical Abstract will be posted publicly and will be included in the award
agreement.
Attachment 4: Lay Abstract: Attach as a PDF file named “LayAbs.pdf.” Do not include
proprietary or confidential information. Use only characters available on a standard
QWERTY keyboard. Spell out all Greek letters, other non-English letters, and symbols.
Graphics are not allowed.
The Lay Abstract will be posted publicly and will be included in the award agreement.
Attachment 5: Statement of Work (SOW): Attach as a PDF file named “SOW.pdf.”
The SOW outlines and establishes the performance expectations and milestones for which
USSOCOM may provide funding. The SOW for all award types will be incorporated into
the award document and, as such, is subject to release under Freedom of Information Act
(FOIA).
SOW Format: There is no limit to the number of specific aims, tasks, or subtasks that are
described within the SOW page limit. The suggested SOW format and examples specific
to different types of research projects are available on the eBRAP “Funding
Opportunities and Forms” web page (https://ebrap.org/eBRAP/public/Program.htm).
The SOW must be in PDF format prior to attaching. The Government reserves the right
to request a revised SOW format and/or additional information.
The SOW should include a list of major tasks that support the proposed specific aims,
followed by a series of subtasks outlined step-by-step as they relate to the major tasks and
milestones within the period of performance. The SOW should describe only the work for
which funding is being requested by this proposal and, as applicable, should also:
• Include the following information for each study site/subaward site: Organization;
organization address; investigator(s), collaborator(s), consultant(s); description of
research with animals, human anatomical substances, and/or human subjects or
cadavers to be conducted at the site; and key personnel responsible for each major
task and each subtask to be performed at the site.
• Indicate the number (and type, if applicable) of research subjects (animal or human)
and/or human anatomical samples projected or required for each task and at each
site. As applicable, estimated times to complete each task should include time for
local USSOCOM and the U.S. Army Medical Research and Development Command
(USAMRDC) regulatory review and approval, as shown below. Refer to Appendix 6
for additional information regarding regulatory review.
○ For studies involving human subjects, include a subtask that allows at least 2 to 3
months for regulatory review and approval by the USAMRDC Office of Human
Research Oversight (OHRO); this does not include the additional time required
for local Institutional Review Board (IRB) review and approval.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 17
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For animal studies, include a subtask that allows at least 1 to 2 months for regulatory review and approval
by the USSOCOM Veterinarian Review Office (VRO) and international regulatory requirements.
Specific documents relating to the use of animals in the proposed research will be requested if
the application is selected for funding. The VRO must review and approve all animal use prior
to the start of working with animals, including amendments to ongoing projects. PIs must
submit the institutional animal use protocol.
Questions concerning animal use and review should be directed to the USSOCOM VRO:
Phone: 813-826-6548; Email: socom_vet@socom.mil
○ Attachments 6-12: Additional Documents (as applicable): Attach each as a
separate PDF file, named as indicated in the BAA (e.g., “Impact.pdf,”
“Transition.pdf,” etc.).
For specific instructions regarding content, titles, and page limits for the Additional
Documents, refer to the BAA.
3. Research & Related (R&R) Personal Data
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 (PD)/PI and all other persons
identified as Co-PD(s)/Co-PI(s).
Each application must include this form with the name fields of the PD/PI and any Co-PD(s)/Co-
PI(s) completed; however, provision of the demographic information in the form is voluntary. If
completing the form for multiple individuals, each Co-PD/Co-PI can be added by selecting the
“Next Person” button. The demographic information, if provided, will be used for statistical
purposes only and will not be made available to merit reviewers. Applicants who do not wish to
provide some or all of the information should check or select the “Do not wish to provide”
option.
4. Research & Related Senior/Key Person Profile (Expanded)
Include the requested information for each person who will contribute significantly to the
proposed research project.
In the “PROFILE – Project Director/Principal Investigator” section, enter the PI’s username
provided by eBRAP into the data field labeled “Credential, e.g., agency login” (Figure 2).
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 18
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Figure 2. PI’s eBRAP User Name
Biographical Sketch Suggested Format: The suggested biographical sketch format is available
in a Microsoft Word document on the “Funding Opportunities and Forms” web page
(https://ebrap.org/eBRAP/public/Program.htm) in eBRAP. Use of this document is optional.
The NIH Biographical Sketch may also be used. Each biographical sketch must be in PDF
format prior to attachment. Note the page limitation specified in the BAA. Biographical
Sketches should also be used to demonstrate background and expertise through education,
positions, publications, and previous work accomplished.
• PI Biographical Sketch: This file must be titled “Biosketch_LastName.pdf,” where
“LastName” is the last name of the PI.
• PI Previous/Current/Pending Support: This file must be titled
“Support_LastName.pdf,” where “LastName” is the last name of the PI.
○ For all previous (award period of performance ending within the past 5 years),
current, and pending (includes period of time awaiting funding status and/or
period of time awaiting start date) research support, include the title, time
commitments, supporting agency, name and address of the funding agency’s
procuring Contracting Officer, performance period, level of funding, brief
description of the project’s goals, and list of the specific aims. If applicable,
identify where the proposed project overlaps with other existing and pending
research projects. Clearly state if there is no overlap.
○ List all positions and scientific appointments, both domestic and foreign, held by
senior/key personnel that are relevant to an application, including affiliations with
foreign entities or governments. This includes titled academic, professional, or
institutional appointments whether or not remuneration is received, and whether
full-time, part-time, or voluntary (including adjunct, visiting, or honorary).
○ Report all resources and other support for all individuals designated in an
application as senior/key personnel – including for the PI and for other individuals
who contribute to the scientific development or execution of a project in a
substantive, measurable way, whether or not they request salaries or
compensation. Information must be provided about all current support for
ongoing projects, whether such support is provided through the applicant
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 19
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organization, through another domestic or foreign organization, or is directly
provided to an individual who supports the senior/key personnel’s research
efforts.
○ Report all current projects and activities that involve senior/key personnel, even if
the support received is only in-kind (e.g., office/laboratory space, equipment,
supplies, employees). All research resources including, but not limited to, foreign
financial support, research or laboratory personnel, lab space, scientific materials,
selection to a foreign “talents” or similar-type program, or other foreign or
domestic support must be reported.
○ Consistent with National Security Presidential Memoranda-33, individuals are
required to disclose grants and contracts associated with participation in programs
sponsored by foreign governments, instrumentalities, or entities, including foreign
government- sponsored talent recruitment programs. Further, if individuals
receive direct or indirect support that is funded by a foreign government-
sponsored talent recruitment program, even where the support is provided through
an intermediary and does not require membership in the foreign government-
sponsored talent recruitment program, that support must be disclosed. Individuals
must also report other foreign government sponsored or affiliated activity.
Foreign government-sponsored talent recruitment program” is defined as an effort
organized, managed, or funded by a foreign government, or a foreign government
instrumentality or entity, to recruit science and technology professionals or
students (regardless of citizenship or national origin, or whether having a full-time
or part-time position).
○ Provide the total award amount for the entire award period covered (including
facilities and administrative costs), as well as the number of person-months (or
partial person- months) per year to be devoted to the project by the senior/key
personnel involved.
○ If there is no previous, current, or pending support, enter “None.” An updated
previous, current, and pending support document will be required if an award is
recommended for funding.
• Key Personnel Biographical Sketches: Each file must be titled
“Biosketch_LastName.pdf,” where “LastName” is the last name of the respective
individual.
• Key Personnel Previous/Current/Pending Support: Each file must be titled
“Support_LastName.pdf,” where “LastName” is the last name of the respective
individual. Refer to content requirements under “PI Previous/Current/Pending
Support” listed above.
○ Report all current projects and activities that involve senior/key personnel, even if
the support received is only in-kind (e.g., office/laboratory space, equipment,
supplies, employees). All research resources including, but not limited to, foreign
financial support, research or laboratory personnel, laboratory space, scientific
materials, selection to a foreign “talents” or similar-type program, or other foreign
or domestic support must be reported.
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5. Research & Related Budget
An estimate of the total proposed research project costs, with a breakdown of all cost categories
for each year, must be submitted on the Grants.gov Research & Related Budget form. Include a
sufficiently detailed budget and budget justification for each year so that the Government can
determine the proposed costs to be allowable, allocable, and reasonable for the proposed
research. The budget justification for the entire period of performance must be uploaded to
the Research & Related Budget after completion of the budget for Period 1. At the time of
proposal submission to Grants.gov, the AOR is certifying to the best of his/her knowledge that
all costs are current, accurate, and complete.
If the budget fails eBRAP validation or the budget needs to be modified, an updated Grants.gov
submission package must be submitted via Grants.gov as a “Changed/Corrected Application”
with the previous Grants.gov Tracking ID prior to proposal submission deadline.
Budget Regulations and Restrictions:
The following must be utilized in developing the budget:
• Administrative and Cost Principles. Awardees are required to comply with the
following, as applicable:
○ Federal Acquisition Regulation (FAR) Part 31
○ Defense FAR Supplement Part 231
○ 2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards,” implemented by Chapter XI of Title 2, CFR.
• Award Funding/Maximum Obligation:
○ Contract Awards: Reference contract funding regulations in FAR 32.7 and
Defense Federal Acquisition Regulation Supplement (DFARS) 232.7.
• Pre-Award Costs: Pre-award costs may be allowable as follows:
○ Contract Awards: An organization may request and negotiate pre-contract costs
prior to contract award. An advanced agreement must be executed by the
Contracting Officer prior to incurring any cost. Advanced Agreement Costs (Pre-
Contract Costs) are referenced in FAR 31.205-32 and Advanced Agreements in
31.109.
• Cost of Preparing Proposals: The cost of preparing proposals in response to the BAA
is not considered an allowable direct charge to any resultant award. However, the cost
of preparing proposals may be an allowable expense included in the indirect/facilities
and administrative cost as specified in the organizations applicable cost principles.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 21
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• Currency: All costs must be entered in U.S. dollars. Recipients performing research
outside of the United States should include the cost in local currency, the rate used for
converting to U.S. dollars, and justification/basis for the conversion rate used. Foreign
currency exchange rates for recipients performing research outside of the United States
will be based on the official rate in effect at the time of submission.
Submit a detailed budget and justification that covers the entire period of
performance (not just the first year). The Government reserves the right to request a
revised budget and budget justification and/or additional information.
Budget Instructions: Complete the Research & Related Budget following the instructions
below. Begin by entering the organizational UEI number, Budget Type, Name of Organization,
and anticipated start and end dates. Ensure that the UEI number is entered accurately or
Grants.gov will reject the proposal. For all Federal agencies or organizations collaborating
with Military Facilities, special restrictions apply to the budget and are described below.
For Federal Agencies (as applicant): A proposal from a Federal agency must include in
the budget justification a Federal Financial Plan (Plan). The Plan must address how all
funds will be obligated before their period for obligation expires, and how funds will be
available to cover research costs over the entire award period. The Plan must include the
funding mechanism(s) that will be used to carry over funds between fiscal years.
For Collaborating Military Facilities: A proposal from an extramural organization that
includes collaboration with a Military Facility (Military Health System facility, research
laboratory, medical treatment facility, dental treatment facility, or a DoD activity
embedded with a civilian medical center) must submit a Collaborating DoD Military
Facility Budget Form(s). Include any Military Facility’s direct and indirect costs on this
form. Also, include the Military Facility’s total costs (direct and indirect) on the
Subaward/Consortium/Contractual Costs line of the Research & Related Budget Form
(Section F.5.). See Section III.A.8, Collaborating with DoD Military Facilities, for
additional information.
Section A: Senior/Key Person
• Prefix; First, Middle, and Last Name; and Suffix: Beginning with the PI, list all
senior/key persons from the applicant organization who will be involved in the
proposed research project, whether or not salaries are requested. Include all
investigators, research associates, etc. If applicable, all investigators outside the
applicant organization should be included on the R & R Subaward Budget
Attachment(s) Form. Consultant costs should be listed under Section F.3.
• Project Role: Identify the role of each senior/key person listed. Describe his/her
specific functions in the budget justification.
• Base Salary: Enter the current annual base salary (based on a full-time appointment)
for each individual listed for the proposed research project. Establish labor costs using
current labor rates or salaries. Labor rates or salaries may not be increased as a result
of receiving an award. Identify and explain in the budget justification any proposed
adjustments to rates or salaries. Any proposed increases in rates or salaries over the
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period of the award must be consistent with the applicable cost principles and
organization’s estimating procedures. For most Federal agencies, funding cannot be
applied toward Federal salaries; therefore, these salaries should not be included in
the requested budget.
• Calendar, Academic, and Summer Months: For each senior/key person, including
unpaid personnel, list the number of months to be devoted to the proposed research
project in the appropriate box.
• Requested Salary: Enter the amount of salary requested for this budget period.
• Fringe Benefits: Enter the fringe benefits requested for each individual in accordance
with organizational guidelines. If the proposal is recommended for funding, the
organization will be required to provide documentation to support the fringe benefits
(e.g., the current Department of Health and Human Services [DHHS] Rate Agreement
or other policy document).
• Funds Requested: Enter the total funds requested for each senior/key person listed for
the proposed research project.
• Project Role: Identify the role of each senior/key person listed. Describe his/her
specific functions in the budget justification.
Section B: Other Personnel
• Number of Personnel: For each project role category, indicate the number of
personnel for the proposed research project, including unpaid personnel.
• Project Role: Identify each project role category. Within the budget justification,
describe the specific functions of the personnel in each project role.
• Calendar, Academic, and Summer Months: For each project role category, list the
number of months to be devoted to the proposed research project in the appropriate
box.
• Requested Salary: Enter the amount of salary requested for this budget period. For
most Federal agencies, funding cannot be applied toward Federal salaries; therefore,
these salaries should not be included in the requested budget.
• Fringe Benefits: Enter the fringe benefits requested for each project role category in
accordance with organizational guidelines. If the proposal is recommended for
funding, the organization will be required to provide documentation to support the
fringe benefits (e.g., the current DHHS Rate Agreement, other federally approved rate
agreement, or other policy document).
• Funds Requested: Enter the total funds requested for each project role category listed
for the proposed research project.
Section C: Equipment Description: Equipment is tangible personal property (including
information technology systems) having a useful life of more than 1 year and a per unit
acquisition cost of (a) $5,000 or more per unit, or (b) the awardee’s or subawardees’
capitalization threshold for financial statement purposes. Applicant organizations are
encouraged to provide all equipment necessary to conduct the proposed research project. If
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 23
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equipment is requested, provide a detailed list showing the cost of each item. The budget
justification for any requested equipment must describe, as applicable:
• Special test equipment to be fabricated for specific research purposes and its cost.
• Standard equipment to be acquired and modified to meet specific requirements,
including acquisition and modification costs; list separately.
• Existing equipment to be modified to meet specific research requirements, including
modification costs. Do not include as special test equipment those items of equipment
that, if purchased by the contractor/awardee with award funds, would be capitalized for
Federal income tax purposes.
In addition, requests for equipment must include a rationale for estimated costs.
Section D: Travel: Travel costs may include:
• Costs to attend one scientific/technical meeting per year: Include the meeting name,
purpose, location, and date, if known, in the budget justification. International travel
may be requested but must be well justified and is subject to approval.
• Costs for travel required for the execution of the proposed work (if applicable):
Reasonable costs for travel between collaborating organizations should be included.
International travel may be requested but must be well justified and is subject to
approval.
• The PI may be required to participate in an In-Progress Review (IPR). The PI should
budget for an IPR yearly, lasting not more than 2 days and including up to two
overnight stays, at the Contracting Officer’s Representative’s (COR) request. The
invitation and format for the IPR will be provided by the COR at least 90 days prior to
the meeting. The meetings will generally be held in the MacDill Airforce Base, Florida
area but could occur elsewhere in the United States.
Section E: Participant/Trainee Support Costs: Enter the funds requested for
tuition/fees, health insurance, stipends, travel, subsistence, and other costs.
Section F: Other Direct Costs
• Materials and Supplies: Supplies means all tangible personal property, including a
computing device, acquired under an award that does not meet the definition of
equipment. The budget justification for supporting material and supply (consumable)
costs should include a general description of expendable material and supplies for each
year. For individual or total materials and supplies costing $5,000 or more per year,
provide additional breakdown. If animals are to be purchased, state the species, strain
(if applicable), number to be used, cost per animal and total costs, proposed vendor, and
a copy of the animal per diem cost/rate agreement. If human cell lines are to be
purchased, state the source, cost, and description.
Computers and software are considered to be general office supplies and are not
normally allowable direct cost charges unless the computer/software is essential and
unique to the proposed research project.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical Research and Development– 24
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○ If a computer/software purchase is requested, include the following in the budget
justification:
– Detailed explanation for why purchase of computer/software is required to
complete the proposed research project.
– Statement verifying that the requested computer/software is not currently
available for use by the PI.
– Statement assuring that the requested computer/software will be purchased in
accordance with applicable cost principles.
• Publication Costs: Estimate the costs of publishing and reporting research results,
including direct charges for clerical preparation, illustrations, reprints, and distribution.
• Consultant Services: Regardless of whether funds are requested, include in the budget
justification the names and organizational affiliations of all consultants, and include the
daily consultant fee, travel expenses, nature of the consulting effort, and why
consultants are required for the proposed research project.
• Automated Data Processing (ADP)/Computer Services: Include the cost of
computer services, including computer-based retrieval of scientific, technical, and
education information. Include in the budget justification the provider’s computer
service rates.
• Subaward/Consortium/Contractual Costs: Include the total funds (direct and
indirect costs) requested for (1) all subaward/consortium organization(s) proposed for
the research project and (2) any other contractual costs proposed for the research
project. This amount should be supported in the subaward/consortium/contractual costs
provided in the R & R Subaward Budget Attachment(s) Form.
If a Military Facility (Military Health System facility, research laboratory, medical
treatment facility, dental treatment facility, or a DoD activity embedded with a civilian
medical center) will be a collaborator in performance of the project, complete the DoD
Military Budget Form, available for download on the eBRAP “Funding Opportunities
& Forms” web page (https://ebrap.org/eBRAP/public/Program.htm), including a budget
justification, for each Military Facility as instructed. The costs per year should be
included on the Grants.gov Research and Related Budget form under subaward costs.
See Section III.A.8., Collaborating with DoD Military Facilities below, for more
information.
Subcontracts shall be submitted in accordance with FAR 19.704 as necessary.
• Equipment or Facility Rental/User Fees: List proposed equipment or facility
rental/user fees. Include appropriate information (hours and rates) in the budget
justification.
• Alterations and Renovations: Alteration and renovation (A&R) costs can be
requested if the costs are essential to accomplish the objectives of the research project
and are a minor portion of the overall budget. A description of the existing facility
and detailed description of the requested changes, along with a cost estimate, must be
included in the budget justification. Costs for the construction of facilities are not
allowable.
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• Other Expenses: Itemize other anticipated direct costs such as communication costs
and organizationally provided services. These items should be described in detail and
clearly justified in the budget justification. Organizationally provided services should
be supported by the organization’s current cost/rate schedule.
For research involving human subjects, include itemized research-related subject costs
for the proposed research project. These costs are strictly limited to expenses
specifically associated with the proposed research project.
Section G: Direct Costs: Include the total direct costs (A-F).
Section H: Indirect Costs: The indirect costs category may include Facilities and
Administrative (F&A) costs, overhead, General and Administrative (G&A), and other. The
most recent Federal agency approved rate(s) should be applied. If the rate(s) has been
approved by other than a Federal agency, indicate the source of the approval.
In accordance with 2 CFR 200.414, a non-Federal entity that has never received a
negotiated indirect cost rate, may elect to charge a de minimis rate of 10% of modified total
direct costs. If this methodology is chosen, it must be used consistently for all Federal
awards until such time as the non-Federal entity chooses to negotiate for a rate. Costs must
be consistently charged as either indirect or direct costs, but may not be double charged or
inconsistently charged as both.
Provide details of the direct cost base (modified total direct costs, salary and wage, or
other). Identify any costs that have been excluded from the base (in accordance with the
approved rate agreement). Also indicate if the rate(s) is an on- or off-site rate(s). If more
than one rate is applicable, provide a breakdown of the calculation.
Provide documentation to support the indirect cost rate (e.g., the current DHHS, Defense
Contract Audit Agency [DCAA], Office of Naval Research [ONR] Rate Agreement, other
Federally approved rate agreement, or other policy document) via eBRAP
(https://eBRAP.org).
Organizations can also visit the DHHS
(https://www.hhs.gov/about/agencies/asa/psc/indirect-cost-negotiations/index.html), the
ONR (https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award),
and the DCAA (http://www.dcaa.mil/) for additional information on indirect rates.
Section I: Total Direct and Indirect Costs: Include total costs for the proposed research
project.
Section J: Fee: Statutory limits for fees are specified in FAR 15.404-4(c)(4).
Section K: Budget Justification: Provide a clear budget justification for each year and
for each item in the budget over the entire period of performance and attach as a single
PDF file to Section K of the Research & Related Budget.
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Proposals from Federal agencies must include in their budget justifications a Federal
Financial Plan. The Plan must address how all funds will be obligated before their
expiration for obligation, and how funds will be available to cover research costs over the
entire award period. The Plan must include the funding mechanism(s) that will be used to
carry over funds between fiscal years.
Organizations must provide sufficient detail and justification to enable the Federal
Government to determine that the proposed costs are allowable, allocable, and
reasonable for the proposed research effort.
6. Project/Performance Site Location(s) Form
Indicate the primary site where the work will be performed. If a portion of the work will be
performed at any other site(s), include the name and address for each collaborating location in
the data fields provided. Add more sites as necessary using the “Next Site” button. If more than
eight performance site locations are proposed, provide the requested information in a separate
file and attach it to this form. Each additional research site requesting funds will require a
subaward budget.
7. R & R Subaward Budget Attachment(s) Form (if applicable)
Complete a separate detailed Research & Related Budget (direct and indirect costs) including a
budget justification for each subaward (subgrant or subcontract) in accordance with the
instructions listed above. Title each individual subaward, “Research & Related Budget,” with
the name of the subrecipient/subawardee organization and attach to the R & R Subaward Budget
Attachment(s) Form.
A description of services or materials that are to be provided under the subaward is required.
Organizations must provide sufficient detail and justification to enable the Federal Government
to determine that the proposed costs are allowable, allocable, and reasonable for the proposed
research effort.
If collaborating with a DoD Military Facility, do not complete this form; complete the
Collaborating DoD Military Facility Budget Form. See Section III.A.8, Collaborating with DoD
Military Facilities.
8. Collaborating with DoD Military Facilities
This section addresses requirements and procedures when a Military Facility will be a
collaborator in performance of an extramural project.
Budget Form: Complete a separate “Collaborating DoD Military Facility Budget Form,” for
each Military Facility involved in the project. The form is available for download on the eBRAP
“Funding Opportunities and Forms” web page (https://eBRAP.org). Do not complete the
grants.gov R&R Subaward Budget Attachment Form.
Direct Costs:
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• Salaries: Include the positions/titles/ranks and levels of effort of all DoD civilian and
military personnel expected to work on the extramural project, whether or not
salaries/fringe benefits are proposed. Salaries/fringe benefits may be reimbursed,
either directly by the Federal Government to the facility or through the extramural
award to the facility, but only under certain limited circumstances, which will be
discussed during negotiations. Extramural organizations may provide personnel to
work at intramural DoD partnering organizations. The Extramural personnel costs
should not be included here but on the organization’s Research and Related Budget
Form.
• Travel: Include costs to be incurred by DoD civilian and military personnel.
However, note that these costs cannot be reimbursed through the extramural
award. They can only be funded directly by the Federal Government to the facility.
Some restrictions apply. Processes will be discussed during negotiations.
• Consultants, Equipment, Materials, Supplies, Other, Etc.: Include all anticipated
direct costs. The Military Facility should consider whether the applicant organization
can purchase the items/resources and provide them to the facility. The organization
may provide resources to the Military Facility, such as consultants, supplies,
equipment, etc., acquired with award funds. If this is feasible, these funds should be
included on the applicant organization’s Research & Related Budget Form and should
not be included on this form. Title of all equipment will remain with the Government.
• Rates/Fees (Other than Indirect Cost Rates and Profit): Where there are no DoD-
established reimbursement rates (e.g., Institutional Review Board [IRB] fees), the
Military Facility’s Resource Manager/Comptroller/Task Area Manager or equivalent
Business Official must provide details of how the proposed rates/fees were determined.
Rates/fees should be included in the Other Direct Costs line of the Research & Related
Budget Form (Section F.8-10.).
• Indirect Costs: If an indirect cost rate is proposed, include documentation to support
the rate (i.e., cost pool(s) and what items are included in each pool). The Military
Facility should consult with its RM office (or equivalent) for assistance in determining
a rate.
• Total Costs: Include the facility’s combined direct and indirect costs. Enter the total
here and also include it in the Subaward/Consortium/Contractual Costs budget line on
the Research & Related Budget Form (Section F.5).
Budget Justification: Include a budget justification for each year, for each Military Facility. A
description of services or materials that are to be provided by the collaborating Military Facility
is required. The Military Facility researcher(s) should coordinate with his/her local RM office
(or equivalent) to prepare a sound budget and justification for the estimated costs. Applicant
organizations must provide sufficient detail and justification to enable the Federal Government to
determine that the proposed costs are allowable, allocable, and reasonable for the proposed
research effort. In addition, the Military Facilities’ direct and indirect costs to be supported
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when performing collaborative research with the extramural organization must meet the
requirements of the DoD’s Financial Management Regulation (FMR) 7000.14-R.
Direct Fund by Federal Agency: The USSCOM’s RM office will “direct fund” (via a Funding
Authorization Document [FAD], Military Interdepartmental Purchase Request [MIPR], or other
authorized method) the collaborating Military Facility to support all costs to be incurred in
performance of the Military Facility’s portion of the research project. When direct funded, these
funds will not be included in the award amount to awardee.
Technology Transfer: The Military Facility researcher(s) should also coordinate with his/her
technology transfer office, when applicable. The facility may require that a Cooperative
Research and Development Agreement (CRADA) or other instrument (as authorized by law or
regulation) be executed between the facility and the awardee before work between the
organizations can begin or funds can be provided to the Military Facility. The CRADA (or other
instrument) is not required at the time of proposal submission. A timeline for execution of the
document will be established during negotiations.
B. Submission of a Grants.gov Workspace
An application must be submitted through Workspace by clicking the “Sign and Submit” button
on the Manage Workspace page, under the “Forms” tab. Grants.gov recommends submitting the
application package at least 24-48 hours prior to the close date to provide time to correct any
potential technical issues that may disrupt the application submission.
All applications must be received by the deadline indicated on the title page of the respective
BAA. Proof of timely submission is automatically recorded by Grants.gov. An electronic
date/time stamp is generated within the system when the application is successfully received by
Grants.gov. The applicant AOR will receive an acknowledgement of receipt and a Tracking
Number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of their
application. Applicant AORs will also receive the official date/time stamp and Grants.gov
Tracking Number in an email serving as proof of their timely submission.
C. Applicant Verification of Grants.gov Submission in eBRAP
The full application package submitted to Grants.gov may be viewed in eBRAP until the end of
the application verification period. After eBRAP has processed the full application, PIs will
receive an email notification of this status and will be able to view and modify application
components in eBRAP. During the application verification period, the full application package,
with the exception of the Project Narrative and Budget Form, may be modified. See the BAA
for specific full application submission and application verification deadlines.
Specific information must be identical between the pre-application and the full application for
eBRAP to process an application. The application title, eBRAP log number, and all information
for the PI, Business Official(s), performing organization, and contracting organization must be
consistent for the entire pre-application and application submission process. Inconsistencies may
delay application processing and limit or negate the ability to view, modify, and verify the
application in eBRAP.
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Prior to the end of the application verification period, PIs and organizational representatives can
review and modify in eBRAP certain components of an application submitted to Grants.gov.
Following retrieval and processing of the Grants.gov application, eBRAP will notify the
organizational representatives and PI by email to log into eBRAP to review, modify, and verify
the Grants.gov application submission. eBRAP will validate retrieved files against the specific
BAA requirements and discrepancies will be noted in both the email and in the “Full Application
Files” tab in eBRAP. eBRAP does not confirm the accuracy of file content. It is the applicant’s
responsibility to review all application components and ensure proper ordering as specified in the
BAA. If either the Project Narrative or the budget fails eBRAP validation or if the Project
Narrative or the budget need to be modified, an updated Grants.gov application package must
be submitted via Grants.gov as a “Changed/Corrected Application” with the previous
Grants.gov Tracking ID prior to the application submission deadline. The Project Narrative
and Budget Form cannot be changed after the application submission deadline. The full
application submission deadline and the end of the application verification period in eBRAP are
stated in the specific BAA.
D. Application Tracking
After a Workspace package has been successfully submitted, a Grants.gov Tracking Number
(GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on
the Confirmation page that is generated after submission. Participants can also find the
Grants.gov Tracking Number on the Manage Workspace page, under the “Details” tab. The
submission of a Workspace package can be tracked from the Workspace or by visiting
Grants.gov (https://www.grants.gov/web/grants/applicants/track-my-application.html) and
entering the Tracking Number.
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APPENDIX 1
REGULATORY REQUIREMENTS
A. Safety and Environmental Requirements
Based on changes to DoD compliance requirements (Department of the Army Pamphlet [DA
PAM] 385-69, DA PAM 385-10, 32 CFR 651, 6 September 2012), provisions previously
required for Safety and Environmental Compliance have been removed. However, in certain
instances, compliance review may require submission of additional documentation prior to the
awarding of any assistance agreement. Such instances may include use of Army-provided
infectious agents or toxins, Biological Select Agents or Toxins, specific chemical agent(s), or
pesticides outside of an established laboratory. The USAMRDC Office of Surety and
Environment will identify any need for compliance review and documents must be submitted
upon request.
Additional information is available at:
https://mrdc.health.mil/index.cfm/resources/researcher_resources/safety.
B. Research Protections Review Requirements
Use of Human Subjects, Human Anatomical Substances, Human Subject Data, Human
Cadavers, and Animals
The USAMRDC Office of Human Research Oversight (OHRO)and USSOCOM’s Veterinarian
Review Office (VRO) ensures that research conducted, contracted, sponsored, supported, or
managed by the DoD and involving human subjects, human anatomical substances, human
subject data, human cadavers, and animals are conducted in accordance with Federal, DoD,
Army, USAMRDC, USSOCOM, and international regulatory requirements.
PIs and applicant organizations may not commence performance of research involving the
above, or expend funding on such efforts, until regulatory documents are submitted and
approved by the USAMRDC ORP to ensure that DoD regulations are met. All expectations
described below are consistent with the DoD Instruction (DoDI) 3216.01, “USE OF ANIMALS
IN DOD CONDUCTED AND SUPPORTED RESEARCH AND TRAINING,” as issued March
20, 2019, available at https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321601p.pdf
and DoDI 3216.02, “PROTECTION OF HUMAN SUBJECTS AND ADHERENCE TO
ETHICAL STANDARDS IN DOD-CONDUCTED AND -SUPPORTED RESEARCH,” as
issued on April 15, 2020 with Change 1 Effective June 29, 2022, and available at
www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321602p.pdf
The USSOCOM Veterinarian Review Office (VRO) is responsible for administrative review,
approval, and oversight of all animal research protocols, including all changes made during the
life of the protocol.
The Office of Human Research Oversight (OHRO)is responsible for administrative review,
approval, and oversight of research involving human subjects, human anatomical substances or
data, and use of human cadavers. Research involving use of human subject data and/or
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specimens that is anticipated to be exempt from human subjects protections regulations
requires a determination from the PI’s institution as well as a determination from the Office
of Human Research Oversight (OHRO) at USAMRDC. A timeframe for submission of the
appropriate protocols and required approvals will be established during negotiations.
1. Research Involving Animal Use
Specific documents relating to the use of animals in the proposed research will be requested if
the proposal is selected for funding. The USSOCOM VRO, must review and approve all
animal use prior to the start of working with animals. All amendments or modifications must
also be reviewed prior to initiation for the life of the award. PIs must submit the institutional
animal use protocol, IACUC approval of that protocol, and a “VRO_Animal Research_Review”.
The VRO review documents can be found on the USSOCOM Research Protections website at:
https://www.socom.mil/SOF-ATL/Pages/HRPO.aspx
Allow at least 1 to 2 months for regulatory review and approval processes for animal studies.
For additional information, send questions via email to VRO (socom_vet@socom.mil).
2. Use of Human Cadavers or Human Anatomical Substances Obtained from Human
Cadavers
Research, development, test and evaluation (RDT&E), education or training activities involving
human cadavers or human anatomical substances obtained from cadavers shall not begin until
approval is granted in accordance with the Army Policy for Use of Human Cadavers for
Research, Development, Test and Evaluation, Education, or Training, November 05 2019
(https://mrdc.health.mil/index.cfm/collaborate/research_protections/hrpo). The USAMRDC OHRO is
the Action Office (usarmy.detrick.medcom-USAMRMC.other.hrpo@health.mil) for this policy.
OHRO must review the use of postmortem specimens for compliance with the Army
Cadaver Use Policy. Award recipients must coordinate with the supporting/funding Army
organization to ensure that proper approvals are obtained. Written approvals to begin the activity
will be issued under separate notification to the awardee. Questions regarding submission of
human cadaver research for USAMRDC OHRO review and approval should be directed to the
OHRO at usarmy.detrick.medcom-USAMRMC.other.hrpo@health.mil.
3. Research Involving the Secondary Use of Data/Specimens
All USSOCOM-supported research involving the secondary use of human data, records, human
tissue, or human specimens (hereafter referred as data/specimens) must be reviewed for
compliance with Federal and DoD human subjects protection requirements and approved by the
USAMRDC ORP prior to implementation. USAMRDC OHRO review includes assessing the
source of the data/specimens and whether the initial manner and consent for the data/specimen
collection permits use in the DoD-funded research protocol. OHRO review, approvals, and
determinations for specimen research are based upon the nature of the research, the source of the
data/
specimens, use and/or disclosure of identifiable health information, privacy and confidentiality
protections, and whether the individual providing the data/specimens allowed the use of his/her
data/specimens for research. For additional guidance and instructions on OHRO review of any
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DoD-funded research activities involving access, use, and analysis of data/specimens,
investigators should submit the OHRO Submission Form for Secondary research found on the
OHRO website. https://mrdc.health.mil/index.cfm/collaborate/research_protections/hrpo.
4. Research Involving Human Subjects
In addition to local IRB review, investigators must submit all USSOCOM-funded
research protocols involving human subjects for review and approval by the
USAMRDC OHRO prior to implementation of the research. The focus of this review
is to validate the IRB review as appropriate and ensure that DoD, Army, and
USAMRDC and USSOCOM regulatory requirements have been met.
Human subject research definitions, categories, and resource information may be found in the
Human Subject Resource Document on the eBRAP website
(https://ebrap.org/eBRAP/public/Program.htm). This information should only be used as a
guide; it is not intended to be a source for human subjects protection regulations. Questions
regarding applicable human subjects protection regulations, policies, and guidance should be
directed to the local IRB, the OHRO (usarmy.detrick.medcom-
USAMRMC.other.hrpo@health.mil), and/or the U.S. Food and Drug Administration (FDA) as
appropriate. For in-depth information and to access HRPO protocol submission forms, refer to
the OHRO website (https://mrdc.health.mil/index.cfm/collaborate/research_protections/hrpo).
OHRO-required language must be inserted into the consent form, and compliance with
DoD regulations may require that additional information be included in the protocol.
The OHRO ensures that DoD-supported and/or -conducted research complies with
specific DoD laws and requirements governing research involving human subjects. These laws
and requirements may require information in addition to that supplied to the local IRB.
During the regulatory review process for research involving human subjects, the ORP HRPO
requirements must be addressed, and any changes to the already approved protocol must be
approved as an amendment by the local IRB. It is strongly recommended that investigators
carefully read the “Information for Investigators” found at
https://mrdc.health.mil/index.cfm/collaborate/research_protections/hrpo. The time to approval
depends greatly on adherence to the requirements described within. If the protocol has not been
submitted to the local IRB at the time of award negotiation, these guidelines should be
considered before submission.
Documents related to the use of human subjects or human anatomical substances will be
requested if the proposal is recommended for funding. Allow at least 2 to 3 months for
regulatory review and approval processes for studies involving human subjects.
Specific requirements for HRPO submission and review of research involving human subjects
can be found at https://mrdc.health.mil/index.cfm/collaborate/research_protections/hrpo.
(1) Assurance of Compliance: Each institution engaged in non-exempt human subjects
research must have a current DHHS Office for Human Research Protection (OHRP)
Federal Wide Assurance (FWA) or DoD Assurance.
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(2) Training: Personnel involved in human subjects research must have completed
appropriate training in the protection of human subjects. Documentation confirming
completion of appropriate training may be required during the regulatory review process.
(3) Informed Consent Form: The following must appear in the consent form:
• A statement that the U.S. DoD is providing funding for the study.
• A statement that representatives of the DoD are authorized to review research
records.
• In the event that a Health Insurance Portability and Accountability Act (HIPAA)
authorization is required, the DoD must be listed as one of the parties to whom
private health information may be disclosed.
(4) Intent to Benefit: The requirements of 10 USC 980, which are applicable to DoD-
sponsored research, must be considered. 10 USC 980 requires that “Funds appropriated
to the Department of Defense may not be used for research involving a human being as
an experimental subject unless (1) the informed consent of the subject is obtained in
advance; or (2) in the case of research intended to be beneficial to the subject, the
informed consent may be obtained from a legal representative for the subject.”
An individual not legally competent to provide informed consent (e.g., incapacitated
individuals, cognitively impaired, minors) may not be enrolled as an experimental
subject in a DoD-supported study unless the research is intended to benefit each subject
enrolled in the study, to include subjects enrolled in study placebo arms. Studies
designed in a manner that permits all subjects to potentially benefit directly from medical
treatment or enhanced surveillance beyond the standard of care can meet the 10 USC 980
requirements. Note that the definition of experimental subject as defined in the DoDI
3216.02 is a much narrower definition of human subject. Research with experimental
subjects must involve an intervention or interaction where the primary purpose of the
research is to collect data regarding the effects of the intervention or interaction.
10 USC 980 is only applicable to certain intervention studies. It does not apply to
retrospective studies, observational studies, studies that involve only blood draws, and
tissue collections. Contact the OHRO at usarmy.detrick.medcom-
USAMRMC.other.hrpo@health.mil if further clarification regarding applicability of
10 USC 980 to the proposed research project is required.
Research Monitor Requirement: For research determined to be greater than minimal risk,
DoDI 3216.02 requires that the IRB approve, by name, an independent research monitor with
expertise consonant with the nature of risk(s) identified within the research protocol. The IRB
must approve a written summary of the monitor’s duties, authorities, and responsibilities.
The research monitor’s duties should be based on specific risks or concerns about the research.
The research monitor may perform oversight functions and report his/her observations and
findings to the IRB or a designated official. The research monitor may be identified from within
or outside the PI’s institution. Research monitor functions may include:
• Observing recruitment and enrollment procedures and the consent process for
individuals, groups or units;
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• Overseeing study interventions and interactions;
• Reviewing monitoring plans and Unanticipated Problems Involving Risk to Subjects
or Others (UPIRTSO) reports; and/or
• Overseeing data matching, data collection, and analysis.
There may be more than one research monitor (e.g., if different skills or experiences are
necessary). The monitor may be an ombudsman or a member of the data safety monitoring
board. At a minimum, the research monitor:
• May discuss the research protocol with the investigators, interview human subjects,
and consult with others outside of the study about the research;
• Shall have authority to stop a research protocol in progress, remove individual human
subjects from a research protocol, and take whatever steps are necessary to protect the
safety and well-being of human subjects until the IRB can assess the monitor’s report;
and
• Shall have the responsibility for promptly reporting his or her observations and
findings to the IRB or other designated official and the OHRO.
A curriculum vitae or biographical sketch and documentation of human subjects protection
training for the research monitor must be provided. There should be no apparent COI, and the
research monitor cannot be under the supervision of the PI, other investigators, or research staff
associated with the proposed research project. If the duties of the research monitor could require
disclosure of subjects’ Protected Health Information outside a covered entity (i.e., the research
monitor is not an agent of the covered entity), the PI’s institution may require the identity and
location of the research monitor to be described in the study HIPAA authorization. It is
acceptable to provide appropriate compensation to the research monitor for his or her services.
1. Military Personnel Volunteers: The following is important information for research
projects proposing to include military personnel as volunteers.
• Recruitment of Military Personnel: Civilian investigators attempting to access
military volunteer pools are advised to seek collaboration with a military investigator
familiar with Service-specific requirements.
A letter of support from Commanders of military units in which recruitment will
occur or the study will be conducted will be requested by the OHRO. Some military
sites may also require that each volunteer seek written permission from his/her
supervisor prior to participation in research studies.
Special consideration must be given to the recruitment process for military personnel.
The Chain of Command must not be involved in the recruitment of military personnel
and cannot encourage or order Service members to participate in a research study.
For greater than minimal risk research, an ombudsman must be employed when
conducting group briefings with active duty personnel to ensure that volunteers
understand that participation is voluntary; this ombudsman may be recommended in
other situations as well, especially when young enlisted Service members, who by
virtue of their age and enlistment status are trained to follow orders, are being
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recruited. Service members are trained to act as a unit, so peer pressure should also
be considered and minimized, if possible.
• Payment to Federal Employees and Military Personnel: Under 24 USC 30,
payment to Federal employees and active duty military personnel for participation in
research while on duty is limited to blood donation and may not exceed $50 per blood
draw. These individuals may not receive any other payment or non-monetary
compensation for participation in a research study unless they are off duty or on leave
during the time they are participating in the protocol.
• Confidentiality for Military Personnel: Confidentiality risk assessment for military
personnel requires serious consideration of the potential to affect the military career.
Medical and psychological diagnoses can lead to limitation of duties and/or discharge
from active duty. Information regarding alcohol or drug abuse, drunk driving, and
sexual or spousal abuse can lead to actions under the Uniform Code of Military
Justice, including incarceration and dishonorable discharge.
2. Site Visits: The USAMRDC OHRO conducts site visits as part of its responsibility for
compliance oversight.
Accurate and complete study records must be maintained and made available to
representatives of the USAMRDC as a part of their responsibility to protect human
subjects in research. Research records must be stored in a confidential manner so as to
protect the confidentiality of subject information.
Additional information pertaining to the human subjects regulatory review process,
guidelines for developing protocols, and suggested language for specific issues can be
found at: https://mrdc.health.mil/index.cfm/collaborate/research_protections/hrpo.
3. Protocol Submission Format: The OHRO accepts protocol submissions in the format
required by the local IRB. The IRB protocol application, if separate from the protocol
itself, should be included with protocol submissions. A OHRO protocol submission form
should be completed and submitted with each protocol.
C. Clinical Trial Registry
PIs are required to register clinical trials individually on https://clinicaltrials.gov/ using a
Secondary Protocol ID number designation of “CDMRP-eBRAP Log Number” (e.g., CDMRP-
BA23####). If several protocols exist under the same application, the Secondary Protocol ID
number must be designated “CDMRP-eBRAP Log Number-A, B, C, etc.” (e.g., CDMRP-
BA23####-A). Clinical trials must be registered prior to enrollment of the first patient. All trials
that meet the definition on the NIH database (see http://prsinfo.clinicaltrials.gov/, click on
“Support Materials (including data element definitions)”) are required to register. Failure to do
so may result in a civil monetary penalty and/or the withholding or recovery of grant funds as per
U.S. Public Law 110-85.
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D. Research Involving Recombinant DNA Molecules
The awardee assures that all work involving the use of recombinant DNA will be in compliance
with guidance provided at https://osp.od.nih.gov/biotechnology/nih-guidelines/.
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APPENDIX 2
REPORTING REQUIREMENTS AND ADMINISTRATIVE INFORMATION
A. Reporting Requirements for Awards
The Government requires periodic reports to be submitted to continue the research and funding
through the entire period of performance. Specific reports required by the Government will be
described in each award and may include:
• Technical/Scientific:
○ Monthly, quarterly, and/or annual progress reports
○ Final progress report
○ In-progress reviews
○ Quad charts: The Quad Chart template is a one-page Word document or
PowerPoint file that must be downloaded from eBRAP at
https://ebrap.org/eBRAP/public/ProgramFY.htm?programFYId=513103 and
completed for submission and application.
USAMRDC research progress reporting requirements and instructions can be found at
https://mrdc.health.mil/index.cfm/resources/researcher_resources/reporting/technical.
• Fiscal (SF 425 “Federal Financial Report”) (assistance agreements only):
○ Quarterly and/or annual reports
○ Final report
• Regulatory:
○ Research with Human Subjects – For DoD awards that include funding to support
research with human subjects, the USAMRDC’s OHRO requires submission of
institutional continuing review reports and study event and modification reports.
Instructions are found at
https://mrdc.health.mil/index.cfm/collaborate/research_protections/hrpo. Questions
related to OHRO review requirements should be directed to the OHRO mailbox at
usarmy.detrick.medcom-USAMRMC.other.hrpo@health.mil.
Research Involving Animals: Questions concerning animal use and review should
o
be directed to the USSOCOM VRO:
Phone: 813-826-6548
Email: socom_vet@socom.mil
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B. Disclosure of Proprietary Information
Do not include proprietary information in a pre-application/pre-proposal or abstract. Proprietary
information should only be included in a full proposal if necessary for evaluation.
Proprietary information submitted in a proposal may be disclosed outside the Government for the
sole purpose of evaluation. Evaluators must agree that proprietary information in the proposal
will be used for evaluation purposes only and will not be further disclosed or used. All proposal
may be subject to public release under the FOIA.
Proposals for funded projects will be subject to public release under the FOIA to the extent that
they are incorporated into an award document; proposals that are not selected for funding will
not be subject to public release.
C. Marking of Proprietary Information
Conspicuously and legibly mark any proprietary information that is included in the proposal.
D. Award Notices
Awards are made to organizations, not to individual PIs. The requiring activity executes its
extramural research program primarily through the award of contracts. Any resultant award
from this BAA will be issued as a research and development contract that will adhere to the
FAR. Please familiarize yourself with the FAR at https://acquisition.gov/far/.
A procurement contract is required when the principal purpose of the instrument is to acquire
(by purchase, lease, or barter) supplies or services for the direct benefit or use of the U.S.
Government (31 USC 6303). The contract type, along with the start date, will be determined
during the negotiation process. After email notification that proposal review results can be found
on eBRAP, and if the proposal is selected for funding, a representative from the USAMRAA will
contact the Business Official authorized to negotiate on behalf of the PI’s organization.
Only an appointed USAMRAA Contracting Officer may obligate the Government to the
expenditure of funds. No commitment on the part of the Government should be inferred from
discussions with any other individual. The award document signed by the Contracting is the
official authorizing document.
E. Inquiry Review
If an application is not recommended for funding, the organization or PI may submit an inquiry
within 15 business days after the notification email is sent. Inquiries submitted after 15 business
days will not be considered.
The inquiry must specifically address a factual or procedural error that is believed to have
occurred during review of the proposal as defined below:
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Inquiries in response to funding recommendations should be submitted to the USAMRAA
Contracting Officers through the eBRAP Help Desk at help@eBRAP.org.
The final determination of the IRP and the funding decision are not subject to appeal. Questions
related to the IRP prior to or after submitting an inquiry should be directed to the eBRAP Help
Desk at help@eBRAP.org.
F. Information Service
Applicants may use the technical reference facilities of Defense Technical Information Center
(DTIC). DTIC or the National Technical Information Service (NTIS) to acquire information
regarding existing research to avoid duplication of scientific and engineering effort. The DTIC
physical address is 8725 John J. Kingman Road, Fort Belvoir, VA 22060-6218; the website is
http://www.dtic.mil; and the telephone number is 800-225-3842. NTIS is located at 5285 Port
Royal Road, Springfield, VA 22161; the website is www.ntis.gov; and the telephone number is
703-605-6000.
G. Freedom of Information Act Requests
The FOIA (5 USC 552) provides a statutory basis for public access to official Government
records. “Records” are defined to include documentation received by the Government in
connection with the transaction of public business. Records must be made available to any
person requesting them unless the records fall under one of nine exceptions to the Act
(www.usdoj.gov/oip/index.html).
When an FOIA request asks for information contained in a successful proposal that has been
incorporated into an award document, the submitter will be contacted and given an opportunity
to object to the release of all or part of the information that was incorporated. A valid legal basis
must accompany each objection to release. Each objection will be evaluated by USAMRAA in
making its final determination concerning which information is or is not releasable. If
information requested is releasable, the submitter will be given notice of USAMRAA’s intent to
release and will be provided a reasonable opportunity to assert available action.
H. Information Release
An awardee will be required to agree to the release of information pertaining to the research and
development supported by the Federal agency. “Information” includes but is not limited to news
releases, articles, manuscripts, brochures, advertisements, still and motion pictures, speeches,
trade association meetings, and symposia. Certain research topics may require prior approval by
the contracting officer prior to publishing, reference DFARS 252.204-7000.
The following statements must be included in all information releases:
(1) All releases shall identify the award number and include a statement acknowledging the
Federal sponsoring agency. The release shall also contain the following disclaimer: “Any
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opinions, findings and conclusions or recommendations expressed in this material are those of
the author(s) and do not necessarily reflect the views of the (name of contracting agency(ies)).”
“This work was supported by the Office of the Assistant Secretary of Defense for Health Affairs
and the Defense Health Agency J9, Research and Development Directorate, through the (insert
program name) under Award No. (HT9425-23-X-XXXX). Any opinions, findings and
conclusions or recommendations expressed in this material are those of the author(s) and do not
necessarily reflect the views of the Department of Defense.”
(2) “In conducting research using animals, the investigator(s) adheres to the laws of the
United States and regulations of the Department of Agriculture.” Include required assurances,
approvals, documents and information specified on the ACURO website.
(https://mrdc.health.mil/index.cfm/collaborate/research_protections/acuro)
(3) “In the conduct of research utilizing recombinant DNA, the investigator adhered to NIH
Guidelines for research involving recombinant DNA molecules.” (http://www.nih.gov)
(4) “In the conduct of research involving hazardous organisms or toxins, the investigator
adhered to the CDC-NIH Guide for Biosafety in Microbiological and Biomedical Laboratories.”
(https://www.cdc.gov/labs/BMBL.html)
Failure to include the above statements and adhere to the above regulations, when required,
may result in loss of funding.
I. Contracted Fundamental Research
Any awards to universities or industry and funded by Basic Research funds (6.1), or to
universities for on-campus research and funded by Applied Research funds (6.2), meet the DoD
definition of “Contracted Fundamental Research.” The results of this research are to be
unrestricted to the maximum extent possible. It is at US Government discretion to fund research
with Budget Activity 3 or higher funds without placing restrictions on publication or personnel.
The research shall not be considered fundamental in those rare and exceptional circumstances
where the effort presents a high likelihood of disclosing performance characteristics of military
systems or manufacturing technologies that are unique and critical to defense, and where
agreement on restrictions have been recorded in the award.
J. Sharing of Proposal Information
The USSOCOM shares proposal information with other Federal funding agencies (e.g., NIH,
National Science Foundation, Department of Veterans Affairs) to inform funding priorities and
decisions, and to increase transparency. By sharing and leveraging this information, duplication
of efforts can be avoided, allowing for the support of more investigators with Federal funds. The
USSOCOM believes that such sharing allows for a more expeditious translation of research
results into knowledge, products, and procedures to improve human health. Updates on
USSOCOM-funded awards including awardee information and published results are shared on
DTIC. Additional information on DTIC can be found at https://discover.dtic.mil/
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K. Data Management and Sharing
Purpose
Data sharing enables researchers to rigorously test the validity of research findings,
strengthen analyses through combined datasets, reuse hard-to-generate data, and explore
new frontiers of discovery. In addition, USSOCOM emphasizes the importance of good
data management practices, which provide the foundation for effective data sharing and
improve the reproducibility and reliability of research findings. USSOCOM encourages
data management and data sharing practices consistent with the FAIR data principles
(https://www.go-fair.org/fair-principles/)
USSOCOM expects researchers and institutions to implement data management and
sharing practices as described.
Definitions
For the purposes of this BAA, terms are defined as follows:
Scientific Data: The recorded factual material commonly accepted in the scientific
community as of sufficient quality to validate and replicate research findings, regardless
of whether the data are used to support scholarly publications. Scientific data do not
include laboratory notebooks, preliminary analyses, completed case report forms, drafts
of scientific papers, plans for future research, peer reviews, communications with
colleagues, or physical objects, such as laboratory specimens.
Data Management: The process of validating, organizing, protecting, maintaining, and
processing scientific data to ensure the accessibility, reliability, and quality of the
scientific data for its users.
Data Sharing: The act of making scientific data available for use by others (e.g., the
larger research community, institutions, the broader public), for example, via an
established repository.
Metadata: Data that provide additional information intended to make scientific data
interpretable and reusable (e.g., date, independent sample and variable construction and
description, methodology, data provenance, data transformations, any intermediate or
descriptive observational variables).
Data Management and Sharing Plan (Plan): A plan describing the data management,
preservation, and sharing of scientific data and accompanying metadata.
Scope
This guidance applies to all research, funded or conducted in whole or in part by
USSOCOM, that results in the generation of scientific data. This includes research funded
or conducted by extramural grants, contracts, Intramural Research Projects, or other
funding agreements regardless of USSOCOM funding level or funding mechanism. This
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guidance does not apply to research and other activities that do not generate scientific data,
including training, infrastructure development, and non-research activities.
Managing and Sharing Scientific Data
USSOCOM expects that in drafting Plans, researchers will maximize the appropriate
sharing of scientific data, acknowledging certain factors (i.e., legal, ethical, or technical)
that may affect the extent to which scientific data are preserved and shared. Any potential
limitations on subsequent data use should be communicated to individuals or entities (e.g.,
data repository managers) that will preserve and share the scientific data.
Considerations for Scientific Data Derived from Human Participants: USSOCOM
prioritizes the responsible management and sharing of scientific data derived from human
participants. Applicable federal, Tribal, state, and local laws, regulations, statutes,
guidance, and institutional policies govern research involving human participants and the
sharing and use of scientific data derived from human participants. USSOCOM also
respects Tribal sovereignty in the absence of written Tribal laws or polices. This
USSOCOM guidance is consistent with federal regulations for the protection of human
research participants and other USSOCOM expectations for the use and sharing of
scientific data derived from human participants, including the NIH’s 2014 Genomic Data
Sharing (GDS) Policy (https://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-
124.html ) 2015 Intramural Research Program Human Data Sharing Policy
(https://policymanual.nih.gov/3016), and 45 CFR 46
(https://www.hhs.gov/ohrp/regulations-and-policy/regulations/45-cfr-46/index.html).
Researchers proposing to generate scientific data derived from human participants should
outline in their Plans how privacy, rights, and confidentiality of human research
participants will be protected (i.e., through de-identification, Certificates of Confidentiality
(https://grants.nih.gov/grants/guide/notice-files/NOT-OD-17-109.html), and other
protective measures).
USSOCOM strongly encourages researchers to plan for how data management and sharing
will be addressed in the informed consent process, including communicating with
prospective participants how their scientific data are expected to be used and shared.
Researchers should consider whether access to scientific data derived from humans, even if
de-identified and lacking explicit limitations on subsequent use, should be controlled.
Data Repository Selection: USSOCOM strongly encourages the use of established
repositories to the extent possible for preserving and sharing scientific data. The
Supplemental Information to the NIH Policy for Data Management and Sharing: Selecting
a Repository for Data Resulting from NIH-Supported Research
(https://sharing.nih.gov/data-management-and-sharing-policy/sharing-scientific-
data/selecting-a-data-repository) assists researchers in selecting a suitable data
repository(ies) or cloud-computing platform.
Data Preservation and Sharing Timelines: Shared scientific data should be made accessible
as soon as possible, and no later than the time of an associated publication, or the end of
performance period, whichever comes first. Researchers are encouraged to consider
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relevant requirements and expectations (e.g., data repository policies, award record
retention requirements, journal policies) as guidance for the minimum time frame that
scientific data should be made available, which researchers may extend. Depending on the
research project, the PI may be required to participate in the following, which will be
specified in the award:
• Traumatic Brain Injury: If the project includes traumatic brain injury (TBI) research, the
PI may be required to make TBI data generated via an award available to the research
community by depositing de-identified research data into the Federal Interagency TBI
Research (FITBIR) Informatics System (https://fitbir.nih.gov/content/policies-and-
procedures).
• Clinical Trials: If the project includes a clinical trial(s), the PI may be required to register
the clinical trial(s) individually on the registry and database ClinicalTrials.gov
(https://www.clinicaltrials.gov/).
• Systems Biology: If the project includes systems biology (SB)-related research, the PI
may be required to make SB data, generated via an award, available to the research
community by depositing research data into the SysBioCube system (https://sysbiocube-
abcc.ncifcrf.gov/).
For additional information on USSOCOMS’s expectations and policies for data-sharing, refer to
the document titled “Policy on Data & Resource Sharing”, available on eBRAP under Resources
and Reference Material at https://ebrap.org/eBRAP/public/Program.htm. For unique data-
sharing guidelines and requirements, refer to the instructions in the BAA.
L. Property/Equipment
Contracts: Reference FAR Part 45 and DFARS Part 245.
M. Title to Inventions and Patents
In accordance with the Bayh-Dole Act (Title 35, United States Code, Sections 200 et seq.), the
contractor/recipient and collaborators may elect to retain title to their subject inventions and
technical data, subject to meeting the reporting and patent filing requirements and retained rights
to the Federal Government. The Federal Government shall, at a minimum, retain non-exclusive
rights for the use of such inventions. Instructions in the assistance agreement concerning subject
inventions must be followed. The FAR and DFARS govern the disposition of technical data
rights, and generally the ownership of technical data is determined by the funding that governs it.
For additional information, reference:
Contracts: FAR part 27 and DFARS part 227
N. PI Changes and Award Transfers
Transfer of a Contract Award to New Organization: Unless restricted by the specific BAA, a
change in organizational affiliation will be considered on a case-by-case basis by the
USAMRAA Contacting Officer. If approved, the PI’s original organization will be required to
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agree to relinquish the award. The new organization will be required to resubmit the entire
application on behalf of the PI, including regulatory documentation. Extended times for transfer
may put the award funding at risk. A transfer will not, unless under extraordinary circumstances,
be allowed for any organization that includes a study site/clinical trial at its location.
Change in Principal Investigator: Unless otherwise restricted, changes in PI will be allowed at
the discretion of the USAMRAA Contracting Officer, provided that the intent of the award is
met.
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APPENDIX 3
QUALIFICATION INFORMATION
A. Contractor/Recipient Qualification
The USAMRAA utilizes the Exclusions within the Performance Information functional area of
SAM to identify individuals and organizations unqualified to receive Federal awards. More
information about Exclusions reported in SAM is available at https://www.sam.gov/portal. The
USAMRAA also reviews and considers information about the applicant in the Office of
Management and Budget (OMB)-designated integrity and performance system, currently the
SAM.gov Responsibility/ Qualification (R/Q), prior to making an award, as described in the
BAA, Section II.E.5.
B. Eligibility Information
Effective January 1, 2016, prior to making an award where the Federal share is expected to
exceed the simplified acquisition threshold (currently $250,000) over the period of performance,
the Federal awarding agency is required to review information regarding the recipient that is
available through R/Q. The recipient may submit comments to R/Q about any information that
the Federal awarding agency reported to R/Q, for consideration by the Federal awarding agency
in making future Federal awards to the recipient.
In accordance with OMB’s final guidance implementing the Duncan Hunter National Defense
Authorization Act for Fiscal Year 2009 (hereafter referred to as “Section 872”), as that statute
applies to grants, effective January 1, 2016, recipients that have Federal contract, grant, and
cooperative agreement awards with a cumulative total value greater than $10,000,000, or for
existing awards that are terminated on or after January 2, 2016 due to material failure to comply
with the Federal awards terms and conditions, are required to provide information to R/Q about
certain civil, criminal, and administrative proceedings that reached final disposition within the
most recent five-year period and that were connected with performance of a Federal award.
Recipients are required to disclose semiannually the information about the criminal, civil, and
administrative proceedings that Section 872(c) describes. Reference Federal Register Notice,
Vol. 80, No. 140, Wednesday, July 22, 2015. In addition, per NDAA 2021 Section 1062,
beginning October 1, 2023, DoD may not fund institutions of higher education (as defined by 20
USC 1002) that host a Confucius Institute, other than amounts provided directly to students as
education assistance, unless a waiver is provided. A Confucius Institute is defined as a cultural
institute directly or indirectly funded by the Government of the People’s of Republic of China
General eligibility for investigators, organizations, and agencies:
• Eligible Investigators: Includes all individuals, regardless of ethnicity, nationality, or
citizenship status, who are employed by, or affiliated with, an eligible organization.
Note: Awards are made to organizations only, not individuals. Investigators must
meet the specific BAA requirements.
• Eligible Organizations: Include national and international organizations. Eligible
organizations include for-profit, non-profit, public, and private organizations, such as
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universities and colleges (including historically black colleges and universities, and
minority institutions), hospitals, laboratories, and companies.
• Government Agencies within the United States: Local, state, and Federal Government
agencies are eligible to the extent that proposals do not overlap with their fully funded
intramural programs. Such agencies are required to explain how their proposals do not
overlap with their intramural programs.
C. J-1 Visa Waiver
Each organization, including organizations located outside of the United States, is
responsible for ensuring that the personnel associated with any proposal recommended for
funding are able to complete the work without intercession by the DoD for a J-1 Visa
Waiver on behalf of a foreign national in the United States under a J-1 Visa.
Note: The Federal Government will not provide funds to support scientists from countries
meeting the criteria for designation as a State Sponsor of Terrorism
(http://www.state.gov/j/ct/list/c14151.htm). Additional information on J-1 Visa Waivers can be
located at the following Department of State website: travel.state.gov/visa/temp.
D. Conflict of Interest
1. Contract Awards
Organizational and Consultant (individual) Conflicts of Interest: Contracts must comply with the
requirements found in FAR 9.5, Organizational and Consultant Conflicts of Interest. An
organizational COI may result when factors create a potential or actual COI, or when the nature
of the work to be performed creates a potential or actual COI on future acquisitions and some
restrictions on future activities of the contractor may be required. FAR 9.5 will be used as a
guide in analyzing and resolving organizational and consultant COIs relating to an award.
All COIs on the part of an organization or individual investigators that could bias the research
results must be disclosed in the proposal, along with a plan to resolve them. An award may not
be made if it is determined by the Contracting Officer that a COI cannot be avoided or managed.
2. Post-Employment Restrictions
There are certain post-employment restrictions on former Federal officers and employees as
defined in 18 USC 207. Post-employment restrictions may exist if a former Federal officer or
employee participates in the proposed project; the situation should be discussed with the
USSOCOM legal staff at (813) 826-9919, prior to expending time and effort in preparation of a
proposal.
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APPENDIX 4
FORMATTING GUIDELINES
All Pre-proposal and proposal documents must be legible and should conform to the formatting
guidelines described below. The font size, spacing, page size, and margins may differ among the
word processing, PDF, and printed versions. These guidelines apply to the document properties
of the electronic version of the PDF file(s) as viewed on a computer screen.
• Document Format: Each attachment to the full proposal forms must be uploaded as an
individual file in the format specified in the BAA. All contributors to the proposal must
use matching compatible versions of Adobe software for all PDF documents when
editing and preparing proposal components. The use of different software versions will
result in corruption of the submitted file.
• Font Size: 12 point, not condensed.
• Font Type: Times New Roman.
• Spacing: Single space or no more than six lines of type within a vertical inch (2.54 cm).
• Page Size: No larger than 8.5 inches x 11.0 inches (21.59 cm x 27.94 cm).
• Margins: At least 0.5 inch (1.27 cm) in all directions.
• Print Area: 7.5 inches x 10.0 inches (19.05 cm x 25.40 cm).
• Color, High-Resolution, and Multimedia Objects: Project narratives and pre-proposal
files may include color, high-resolution, or multimedia objects (e.g., MPEG, WAV, or
AVI files) embedded in the PDF files; however, these objects should not exceed 15
seconds in length and a size of 10 MB. Photographs and illustrations must be submitted
in JPEG format; bitmap and TIFF formats are not allowed. Please note that these types
of objects are not allowed in the technical and public abstracts.
• Scanning Resolution: 100 to 150 dots per inch.
• Internet URLs: URLs directing reviewers to websites that contain additional
information about the proposed research are not allowed in the proposal or its
components. Inclusion of such URLs may be perceived as an attempt to gain an unfair
competitive advantage. However, links to publications referenced in the proposal are
encouraged.
• Language: All documents must be submitted in English, unless otherwise specified in
the BAA (e.g., foreign transcripts submitted with English translations).
• Headers and Footers: Should not be used. Pre-existing headers and footers on required
forms are allowed.
• Page Numbering: Should not be used.
• Recommended Attachment Size: Individual attachments should be no larger than
20 MB. If the file size for the entire Grants.gov submission package will or may exceed
200 MB, applicants should contact the Grants.gov Contact Center (support@grants.gov)
for written confirmation that the file will be accepted or for other guidance.
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APPENDIX 5
NATIONAL POLICY REQUIREMENTS
The National Policy Requirements are available in full text at
https://www.usamraa.army.mil/Pages/Resources.aspx. For additional regulatory requirements
regarding safety, surety, and environmental requirements, and for use of animal and human
subjects in research, refer to Appendix 1 of this General Submission Instructions.
A. Certification
Certification of compliance with the national policy requirement regarding lobbying activities is
required from all recipients of awards over $100,000. Submission of this certification is required
by 31 USC 1352 and is a prerequisite for making or entering into an award over $100,000.
Complete SFLLL (Disclosure of Lobbying Activities), if applicable, and attach to Block 18 of
SF424 (R&R) (Application for Federal Assistance) Form.
Certification for Contracts, Grants, Loans, and Cooperative Agreements
By signing a proposal, the applicant certifies, to the best of his or her knowledge and belief, that:
(1) No Federally 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, and the making of any Federal loan, the
entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid, to any
person for influencing or attempting to influence an officer or employee of any 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 SFLLL (Disclosure of Lobbying
Activities), in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including 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 1352 USC 31. 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.
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B. Representations
All applicants are required to complete the representations below and submit with each proposal.
The form for completion and submission is posted in eBRAP
(https://ebrap.org/eBRAP/public/Program.htm) under the Organizational Forms Section,
document titled “Required Representations”. Upload the form into Grants.gov under
Attachments.
Representations Regarding Unpaid Federal Tax Liabilities and Conviction of Felony
Criminal Violations under Any Federal Law
At the time of proposal submission, the applicant organization represents that it:
(1) Is ___ is not _____ a Corporation (“Corporation” means any entity, including any
institution of higher education, other nonprofit organization, or for-profit entity that has
filed articles of incorporation). If the organization IS a corporation, complete (2) and
(3) below.
(2) 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.
(3) Is ______ is not ______ a Corporation that was convicted of a criminal violation under
any Federal law within the preceding 24 months.
NOTE: If the applicant organization responds in the affirmative to either (2) or (3) of the
above representations, the applicant is ineligible to receive an award unless the agency
suspension and debarment official has considered suspension or debarment and determined
that further action is not required to protect the Government’s interests. The applicant
organization therefore will be required to provide information about its tax liability and/or
conviction, upon request, to the Grants Officer, to facilitate completion of the required
consideration before award decisions are made.
In accordance with DoD appropriations, the following representation is required. The applicant,
by its signature on the SF424 (R&R) (Attachment 01) , represents:
Representation Regarding the Prohibition on Using Funds Under Grants and Cooperative
Agreements with Entities that Require Certain Internal Confidentiality Agreements.
By submission of its proposal, 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, or 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 (1) the basis for this representation is a
prohibition in Section 743 of the Financial Services and General Government Appropriations
Act, 2015 (Division E of the Consolidated and Further Continuing Appropriations Act, 2015,
Public Law 113-235) and any successor provision of law on making funds available through
grants and cooperative agreements to entities with certain internal confidentiality agreements or
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HT9425-23-S-SOC1-0002

I. OVERVIEW OF THE FUNDING OPPORTUNITY
United States Special Operations Command
Department of Defense
BROAD AGENCY ANNOUNCEMENT (BAA)
for Extramural Biomedical and Human Performance
Research and Development
Funding Opportunity Number: HT9425-23-S-SOC1
Announcement Type: Modified-0002
Catalog of Federal Domestic Assistance Number: 12.420
Military Medical Research and Development
KEY DATES
Release/Posted Date: Initial 01 August, 2023. Revised -0001: 11 AUG 2023. Revised -0002:
14 JUN 2024.
Closing Date: 31 July, 2028, 11:59 p.m. Eastern Time
This Funding Opportunity Announcement is a BAA. It is continuously open for a 5-year period,
from 1 August 2023 closing 31 July 2028, 11:59 p.m. Eastern Time. Note: This BAA will be
updated annually.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
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This Broad Agency Announcement must be read in conjunction with the General Submission
Instructions, which are available for downloading from Grants.gov. The General Submission
Instructions are located under the “package” tab and can be downloaded by selecting the
“Download Instructions” icon when previewing the submission package.
TABLE OF CONTENTS
I. OVERVIEW OF THE FUNDING OPPORTUNITY ....................................................... 1
II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY ............... 3
II.A. Program Description ....................................................................................................... 3
II.A.1. Research Area of Interest .......................................................................................... 4
II.B. Federal Award Information .......................................................................................... 14
II.C. Eligibility Information ................................................................................................... 16
II.C.1. Eligible Applicants ................................................................................................... 16
II.C.2. Cost Sharing ............................................................................................................. 17
II.C.3. Other ......................................................................................................................... 17
II.D. Proposal/Application Submission Information ....................................................... 18
II.D.1. Where to Obtain the Proposal/Application Submission Package ............................ 18
II.D.2. Content and Form of the Proposal/Application Submission .................................... 18
II.D.3. Unique Entity Identifier (UEI) and System for Award Management (SAM) ........... 38
II.D.4. Submission Dates and Times ................................................................................... 40
II.D.5. Funding Restrictions ................................................................................................ 40
II.D.6. Other Submission Requirements .............................................................................. 42
II.E. Proposal/Application Review Information .................................................................... 42
II.E.1. Criteria ...................................................................................................................... 42
II.E.2. Proposal/Application Review and Selection Process ............................................... 43
II.E.3. Integrity and Performance Information .................................................................... 44
II.E.4. Anticipated Announcement and Federal Award Dates ............................................ 45
II.F. Federal Award Administration Information .................................................................. 45
II.F.1. Federal Award Notices ............................................................................................. 45
II.F.2. Administrative and National Policy Requirements .................................................. 45
II.F.3. Reporting .................................................................................................................. 46
II.G. Federal Awarding Agency Contacts ............................................................................. 47
II.G.1. eBRAP Help Desk ................................................................................................... 47
II.G.2. Grants.gov Contact Center ....................................................................................... 47
II.H. Other Information ......................................................................................................... 48
II.H.1. Administrative Actions ............................................................................................ 48
II.H.2. Proposal/Application Submission Checklist ............................................................ 50
APPENDIX 1: ACRONYM LIST ............................................................................................ 52
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
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II. DETAILED INFORMATION ABOUT THE FUNDING
OPPORTUNITY
The Fiscal Year 2023 – Fiscal Year 2028 (FY23-FY28) United States Special Operations
Command (USSOCOM), BAA for Extramural
Biomedical and Human Performance Research and Development contains several changes from
previous USSOCOM BAAs. Read each section carefully. Note the following:
• The total individual project estimated cost ceiling has been increased from $4,000,000 to
$5,000,000, and generally anticipated project cost has been increased from $700,000 to
$2,000,000.
• The “Program Description” that describes the “Research Areas of Interest (RAIs)” have
been updated.
II.A. Program Description
This BAA is intended to solicit extramural research and development ideas using the authority
provided by United States Code, Title 10, Section 4001. This BAA is issued under the
provisions of the Competition in Contracting Act of 1984 (Public Law 98-369), as implemented
in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016. In accordance with FAR
6.102, projects funded under this BAA must be for basic and applied research to support
scientific study and experimentation directed toward advancing the state-of-the-art or increasing
knowledge or understanding rather than focusing on development of a specific system or
hardware solution. Research and development funding through this BAA is intended and
expected to benefit and inform both military and civilian medical practice and knowledge.
This BAA provides a general description of the USSOCOM’s research and development
programs, including RAIs, evaluation and selection criteria, pre-proposal/preapplication and full
proposal/application preparation instructions, and general administrative information.
Submission of a pre-proposal/pre-application is required. After review, if the USSOCOM is
interested in receiving a full proposal/application, the Applicant or Offeror will be invited to
submit a full proposal or full application. Specific submission information and additional
administrative requirements can be found in the document titled “General Submission
Instructions” available in Grants.gov along with this BAA.
The USSOCOM utilizes the tools and processes provided by the Congressionally Directed
Medical Research Programs (CDMRP). The CDMRP manages the electronic Biomedical
Research Application Portal (eBRAP) system and retrieval and processing of full
proposal/application submissions from Grants.gov. Refer to Section II.G, Agency Contacts, for
additional information.
The USSOCOM’s supporting contracting office, the U.S. Army Medical Research Acquisition
Activity (USAMRAA) will be the awarding and administering office for proposals selected for
funding.
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II.A.1. Research Area of Interest
A primary emphasis of the USSOCOM Biomedical, Human Performance, and Canine Research
Program is to identify and develop techniques, knowledge products, and materiel (medical devices,
drugs, and biologics) to support far-forward early intervention of life-threatening illnesses or injuries
within an Irregular Warfare or asymmetric, mult-domain operational environment; Prolonged
Casualty Care (PCC); human performance optimization; canine medicine/performance; brain health;
immune response; automation of systematic reviews and metanalysis; and novel post-traumatic
stress, depression, and anxiety treatment. Special Operations Forces (SOF) medical personnel place a
premium on medical equipment that is small, lightweight, ruggedized, modular, multi-use, and
designed for operation in extreme environments. The equipment must be simple to employ, require
minimum maintenance, and have low power consumption. Drugs and biologics should optimally not
require refrigeration or other special handling. All materiel and related techniques must be simple,
effective, and easily modified for commercialization. Research projects may apply existing scientific
and technical knowledge for which concept and/or patient care efficacy have already been
demonstrated to meet SOF requirements. The proposed research must be relevant to active-duty
service members, veterans, military beneficiaries, and/or the American public. Relevant research
must be responsive to the health care needs of the U.S. Armed Forces, family members of the U. S.
Armed Forces, and U.S. Veterans. Proposals must address a relevant health problem responsive to
one of the RAIs identified below. Additional RAIs may be added during the life of the BAA (FY23-
FY28). The following RAIs are in no particular order:
1. Damage Control Resuscitation:
SOF medical personnel require capabilities for far-forward medical care to reduce the mortality and
morbidity associated with critical wounds and injuries. The proposed research, application, and/or
development of medical techniques and materiel (medical devices and biologics) for optimal triage
and early intervention in critical life-threatening injuries when casualty evacuation is not possible or
is delayed. The project areas under “Damage Control Resuscitation” to which the USSOCOM will
give highest consideration are:
a. Global Treatment Strategies and Next Generation Wound Management:
The proposed project must research, apply, and/or develop effective treatment strategies that address
the following elements: hypotensive resuscitation, optimal fluid(s), uncomplicated shock,
noncompressible hemorrhaging, traumatic brain injuries, and austere damage control surgery. These
strategies must be optimized for medics in austere, far-forward areas, with minimal logistical or
specialty support, who must stabilize and treat patients for extended periods (days, not hours).
Projects that research and develop an all-in-one traumatic wound care treatment that can achieve
hemostasis, incorporate analgesia, deliver antibiotics, and start tissue regeneration are preferred.
b. Analgesia:
The proposed project must research, apply, and/or develop novel, safe, efficacious, peripherally, and
centrally acting analgesia that provide easy administration in the field, tolerance of extreme
environments, and effectiveness at the point of injury for a prolonged period of field care (days, not
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hours) and does not sensitize the patient to topical analgesia. Maximum analgesia with minimal
sedation is preferred.
c. Far Forward Blood, Blood Components, Blood Substitute, & Injectable Hemostatics:
The proposed project must research novel strategies to increase the ease, efficacy, and safety of blood
transfusions (i.e., person to person, pre-hospital blood banking, and blood substitutes) forward of
normal logistics support; (e.g., evaluating blood for type/cross matching and for the presence and/or
reduction of pathogens, leucocytes, and AB antibodies to improve safety of whole blood transfusion
at the point of injury). Projects that will be considered also include other blood components such as
freeze-dried plasma and platelets, cryoprecipitate, fibrinogen, prothrombin complex concentrate,
injectable medications to address the coagulopathy of trauma such as Tranexamic acid, and novel
strategies to improve tissue oxygen delivery in shock such as portable hyperbaric solutions. Research
should focus on extending shelf life of whole blood beyond current limitations. A long-term
objective is a blood substitute that is comparable in size, weight of traditional blood products, and
effectively functions like fresh whole blood without requiring refrigeration. Strategies to find the
delivery of these prototypes individually or in concert will also be considered. Priority will be given
towards projects that are oriented towards final solutions or prototypes that are highly portable, shelf-
stable requiring minimal to no refrigeration, and solutions that match the tissue oxygen delivery
capacity of healthy red blood cells.
d. Austere Surgical Stabilization:
Future theatres where SOF personnel will operate are likely to be much less medically robust than
the past decade of fighting in our current theatres (this can translate to remote civilian areas), and
there will be a mismatch between capability and need. Rather than sitting at hardened structures
waiting on patients, surgical personnel may be increasingly asked to go to the patient. Research
should focus on mobility/portability of medical and surgical equipment, including support equipment
such as sterilization, with emphasis on equipment with greater capabilities than currently fielded
devices, smaller size and weight, low power demands, and flexibility in power supplies.
Additionally, research and development efforts should include telehealth technologies linking
forward surgical providers with higher medical authority consultation and effective, relevant, and
dynamic surgical training capabilities. Lastly, research into future procedures and devices may also
include a human systems approach to define limitations and mitigation strategies of surgical
capability in austere environments (i.e., low light, temperature variability, improving surgical access
in distributed maritime environment, surgery in flight, etc.) to bridge time to surgery when patient
load exceeds surgical capability.
2. Prolonged Casualty Care (PCC):
SOF medical personnel require capabilities for far-forward medical care to reduce the mortality and
morbidity associated with critical wounds, injuries, diseases, and associated sepsis. PFC should focus
on novel treatments that support the ability to manage 3-5 patients across the spectrum of illness to
multi-system injury for a minimum of 5-7 days. SOF medical personnel require capability to
expedite evacuation and increase survivability with limited site of injury support in austere
environments including: hyperbaric, mountainous, high-altitude, artic, and distributed maritime
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operations. Significant consideration will be given to proposals focused on PFC that may also relate
to Sections 1 (a-d) and 3(a) of this BAA.
a. Medical Sensors and Devices:
The primary emphasis is to research, apply and/or develop medical techniques, pharmaceuticals,
biologics, and field-sustainable, rapidly deployable medical sensors and/or devices for extended care
beyond initial trauma resuscitation, to include austere/forward surgery while operating in disease
endemic areas where casualty evacuation is delayed or unavailable. In addition, proposals that
investigate or develop wireless biosensors should demonstrate physiological monitoring capabilities
to include, but not limited to, heart rate, blood pressure, pulse oximetry, respiration rate,
capnography, core temperature, heart rate variability and compensatory reserve index (CRI).
Research and development of devices and sensors should include or plan for the capability to
transmit (Bluetooth) to Android handheld devices and be designed with an open architecture to allow
for sensors to be incorporated into a family of sensors that may or may not report to a central
handheld device. (NOTE: Ideally, sensor and equipment technologies should be electronically
readable, scannable, or transmittable to the Battlefield Assisted Trauma Distributed Observation Kit
(BATDOK), an Android-driven, multi-patient, point of injury casualty monitoring capability being
fielded by the U.S. Air Force (USAF) Pararescuemen and other SOF Medics. Novel devices are
required which aid in measuring physiologic decompensation and/or adequacy of
treatment/resuscitation in the field environment and/or provide a trigger for a pre-hospital medical
intervention (i.e., validation of tissue (muscle) oxygen saturation (StO2), CRI, traumatic brain injury
(TBI) measures, etc.
3. Portable Lab Assays and Diagnostics:
The proposed project must research, apply and/or develop novel concepts for portable and
environmentally stable far forward laboratory assays and diagnostics. Equipment should be
extremely portable, ruggedized, use limited or no external power, and any reagents should be self-
contained and stable in extreme environmental conditions. Preference will be given to proposals that
are field oriented, rugged, low weight/cube space and have little to no refrigeration requirements.
Additionally, novel wireless, transmittable or scannable solutions such as patches, scanner/readers or
other noninvasive technologies as described in paragraph 3.a. below are encouraged.
a. Occupational and Environmental Health (OEH) Hazards:
The proposed project must focus on development of novel methods and devices for rapid
identification and analysis of exposures to OEH hazards. Research must support the development
and analysis of handheld, field hardened, and environmentally stable analytical devices, monitoring
devices, dosimetry, assays for rapid on-site identification, and real-time analysis of OEH hazards in
air, water, and soil that could pose an acute or chronic health hazard to SOF personnel. Such OEH
hazards include toxic industrial chemicals/toxic industrial materials (TICs/TIMs), lead exposures,
food and water borne pathogens, toxins, biological agents, and radiological material exposures.
Research consideration should be given to development of small lightweight and programmable
unmanned underwater vehicles (UUV) and unmanned aerial vehicles (UAV) to conduct
environmental analysis of OEH hazards in water, air, and soil. UUVs and UAVs must be capable of
travel to designated locations, conduct point of collection analysis of OEH hazards, transmit data,
and return to originating base.
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4. Force Health Protection and Environmental Medicine:
SOF personnel must often operate for extended periods of time in austere environments that expose
them to extremes in altitude, temperature, humidity, wind, kinetosis, infectious diseases, toxic
industrial chemicals, toxic industrial materials, and environmental hazards (including envenomation).
In addition, the environment may be compromised due to chemical, biological, and radiological
contamination. The primary emphasis of this research area is to research, apply, and develop
techniques, therapeutic measures, and materiel (personal protective equipment (PPE), medical
devices, drugs, and biologics) to ensure sustained human performance and effectiveness while
operating in harsh environmental conditions and/or wearing appropriate PPE. Additional research
opportunities include identification and characterization of specific risk profiles/threats associated
with the SOF unique mission sets.
a. Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Rapid Diagnostics,
Treatment, and Prophylaxis:
The proposed projects must research, apply, and/or develop novel approaches that will diagnose,
treat, and protect SOF personnel from exposure to chemical, biological, radiological, nuclear, and
high yield explosives in near real time.
b. Operational Monitoring:
The proposed project must seek to develop wireless biosensors for monitoring SOF personnel in
extreme environments (i.e., high altitude, whether in-flight or the environment itself, excessive heat
or cold, etc.), and potentially hazardous material exposure. Sensors should address physiological
measurements and/or chemical, biological and/or radiological hazards. For hazards monitoring, a
personal dosimetry device is desired that can detect and alarm based on radiation and chemical
presence. The alarming function can be pre-determined to account for known environmental
conditions (i.e., natural occurring radiation levels that are below threshold/detrimental health levels)
and Parts Per Million (PPM) counts that would trigger an alert. This detection device needs to be able
to alarm differently to identify the "type" of hazard(s), and to trigger a back-off and/or donning of
additional PPE. Monitoring should be capable of wirelessly communicating via Bluetooth to Android
handheld devices, tablets, or compatible wrist-mounted displays.
5. Brain Health:
Brain Health research efforts include, but are not limited to: development and validation of fieldable
Neurocognitive Assessment Tools (NCATs) and baseline testing, Comprehensive Symptom History
(CASH) collection, blast exposure and impact monitoring, determination of safe acceptable limits for
blast exposure, development and validation of capabilities to easily identify/diagnose mild, moderate,
and severe TBI, methods to prevent, screen for, monitor, and correct neuroendocrine dysfunction,
methods to prevent TBI from impact and blast such as redesign of helmets, body armor, and
munitions, development of pharmaceuticals to prevent and/or treat brain injury, validation of brain
injury prevention strategies, and development of return to duty decision support tools.
a. Environmental Exposures Protection:
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Research that develops novel material and/or approaches to protect SOF personnel from the
neurological effects of single and repetitive auditory (impulse noise) and non- auditory
(overpressure) blast exposures and other environmental factors determined to affect nervous system
function.
b. Environmental Exposure Effects:
Research that determines the neurocognitive and nervous system effects from single and repetitive
(low-to-high) blast exposures, impulse noise, and other potential hazardous environmental factors.
c. Biomarkers:
Research to determine which biomarkers are indicative of mild, moderate, and severe TBI; sequelae
from TBI causing further injury; recovery status; and recovery rate from TBI. Testing and validating
diagnostic biomarkers for TBI. Proposals should also consider incorporation of validated biomarkers
onto existing or future diagnostic platforms. Use of machine learning and/or model development to
interpret and report biomarkers that are indicative of TBI are of interest.
d. Genetic Factors:
Research to determine if there are genetic predispositions, epigenetic changes and/or, genomic
modulators that affect the susceptibility to and recovery from TBI and neurotrauma.
e. Neuropsychological Testing:
Research to validate Neurocognitive Assessment Tools (NCATs) to determine baseline
neurocognitive status, readiness, neurocognitive degradation, sensitivity to various exposures, TBI
and recovery status post injury. Proposals to improve the speed, accuracy, specificity, and proximity
to injury for the use of NCATs, as well as to compare new technologies and/or modalities (including
passive assessment of cognition) to existing NCATs.
f. Affect testing:
Research to develop and validate baseline and transient affect testing or assessment tools to
measure emotion and/or mood, to monitor change in emotion and/or mood after TBI, and to
investigate the effects of emotion or mood status on functional performance.
g. Olfactory, Oculomotor, Auditory, Vestibular, Cranial Nerve, and Vocal-Acoustic
Performance:
Research and proposals to perform and validate oculomotor, auditory, vestibular, cranial nerve, and
vocal acoustic assessments. Research and proposals to assess the effect of nervous system injury to
oculomotor, auditory, vestibular, cranial nerve, and vocal-acoustic performance and strategies to
restore their performance after injury and prevent injury or further decline.
h. Postural Stability:
Research to assess the effects of blast exposure on postural stability including the proprioceptive
component. Novel treatment strategies, therapies, and therapeutics to prevent and/or correct
detriment to postural stability from TBI and neurotrauma caused by blast, impact, and/or other
environmental exposures.
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i. Neuroendocrine Dysfunction:
Methods to prevent, screen for, monitor, and correct neuroendocrine dysfunction.
j. Neuroimaging:
Research into novel imaging and imaging interpretation techniques including, but not limited to
Computed Axial Tomography (CAT), Magnetic Resonance Imaging (MRI), and Positron emission
tomography (PET) scans, to diagnose brain tissue pathologies including, but not limited to, axonal
injury, myelin injury, and astroglial scarring without the need for immunohistochemistry,
immunofluorescence, or histopathology testing.
k. Analytics:
Research into analysis including Machine Learning, Natural Language Processing, and Artificial
Intelligence enabled analysis of data including, but not limited to, NCATs; environmental exposures
likely to affect brain health; blast, impact, and noise exposures; auditory, vestibular, and vocal
acoustic assessments; postural stability assessments; and neuroimaging.
l. Neuromodulation:
Research into the use of neuromodulation techniques for treating TBI, neurotrauma, pain, restoring
and improving function, and improving behavioral health.
m. Brain Lymphatics and Glymphatics:
Research into measuring the fluid dynamics of the brain lymph system, diagnosing dysfunction, and
validation for tools or techniques to improve brain lymph clearance.
n. Pupillometry, Pupillary Response and Microsaccades:
Research into field capable pupillary response measurement capture and analysis, with or without the
ability to capture microsaccades in order to assess central nervous system loading and/or damage.
6. Immune Response:
The use of modified and novel strategies to cause, strengthen, or supplement immunity through the
use of, but not limited to mRNA vaccines, nanolipoprotein particles (NLPs), polyvalent vaccines,
and phages.
7. Chronic Pain:
The proposed research must address the development of novel, non-opioid treatments for chronic
pain with or without the presence of migraines, allodynia, or fibromyalgia; but not with
accompanying myalgic encephalomyelitis/chronic fatigue syndrome (ME/CFS) or cancer.
8. Automation of Systematic Reviews and Metanalysis:
Research into Automation of Systematic Reviews and Metanalysis using the Preferred Reporting
Items for Systematic Reviews and Meta Analyses (PRISMA) or a similar method.
9. Medical Simulation and Training Technologies:
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The proposed project must research, apply and/or develop improved pre-hospital tactical combat
casualty care (TCCC) training with an emphasis on the SOF pre-hospital providers. Medical
simulations should replicate all phases of the pre-hospital combat environment, including care under
fire, tactical field care and casualty evacuation. Human-like simulators should bleed, breath, void,
have a physiologically relevant temperature, pulse, and response to medical care with little to no
operator/controller input, should be all-weather capable and should evoke an emotional response
from those with whom it interacts. Medical training simulations should capture and be capable of
providing a report on the timing, appropriateness, and effectiveness of medical treatment. All
material solutions should meet joint airworthiness standards. Additionally, there is interest in
research focused on validating or measuring the effectiveness of current medical simulation and
training technologies and in determining the best methods of acquiring and maintaining PCC skills as
well as the impact of these skills on patient outcomes. In addition, the proposed project must research
the efficacy of using stress inoculation training (vs traditional didactics or other instructional
methods) to teach key TCCC skills (e.g., tourniquets, IV placement, etc.). Of particular interest are
the effects on stress response, performance, and decision making of the student as well as best
methods for optimizing performance in high stress situations as well as mitigating negative aspects of
stress.
10. Human Performance Optimization:
USSOCOM requires SOF personnel to withstand extraordinary physical demands and psychological
stress to complete their missions. The optimization of SOF personnel’s ability to perform at very
high levels for long durations, in addition to processing information and making critical decisions in
a timely manner, while operating in extreme environments, will significantly improve their overall
operational effectiveness. This research area explores alternatives and/or new approaches to sustain
and optimize SOF human performance both to increase mission capability and to extend the career
longevity of SOF personnel.
a. Improved Sleep:
The proposed project must research, apply and/or develop novel approaches to achieve the
restorative effects of sleep. This may include methods to induce, maintain, or improve the quality of
sleep throughout the entire night. Additionally, the ability to accelerate the effects of sleep through
methods requiring less time (e.g., the effects of sleeping eight hours are realized in four hours’ time)
or enabling the SOF personnel to quickly reach and adequately cycle through the stages of sleep
where the highest restorative effects occur (i.e., Stage 3/ deep sleep, and Stage 4/rapid eye movement
sleep).
b. Optimal Acclimatization Strategies:
The proposed project must research, apply, and/or develop novel approaches and/or technologies that
provide rapid and sustainable human acclimatization in austere environments, to include fatigue
countermeasure, extremes in temperature, extremes in altitude, and time-zone change (i.e., circadian
acclimatization).
c. Wearables:
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The proposed project must research, apply, and/or develop novel approaches and/or wearable
technologies that will monitor physiological measures of human performance to include, but not
limited to, caloric expenditure, heart rate/heart rate response, heart rate variability, body fat
percentage, sleep hygiene (deep and REM sleep duration) in real-time. Measures should be accurate
with low fixed bias, wirelessly communicated via Bluetooth, Near Field Magnetic Induction or
Radio Frequency technology in real-time and provide the command the capability to utilize the data
for analysis of individuals and/or team performance via the USSOCOM Human Performance Data
Management System (i.e., Smartabase). The device should be able to be turned on/off and/or have an
inactive mode, provide real-time feedback on a display screen, be capable of displaying time, and be
adjustable to fit users of different statures. Of parallel interest to address is a proposed project to track
sleep, fatigue, and performance degradations through a wearable device that provides quantitative
data (rather than qualitative surveys often seen in USAF Fatigue Studies), that in turn will be
gathered and amalgamated from entire units, in order to track individual performance, unit
performance, mission impacts to performance levels, length of time for acclimatization (if it is ever
achieved), and potential risk of mishaps.
d. Diagnostics for Performance Sustainment:
The proposed project must research, apply, and/or develop minimally invasive diagnostic devices to
provide actionable information on nutritional gaps, hormonal response to training, physiological
response to performance interventions and recovery, and epigenetic predictors of potential injury.
e. Performance Nutrition:
The proposed projects must research, apply and/or develop methods to accurately measure nutritional
status of SOF personnel. The proposed project should focus on cost effectiveness, accuracy, and
end-user compatibility (i.e., user friendly) methods or devices for identifying and optimizing an
individual’s nutrient status. Consideration of alternative fuel (energy) sources, dietary
supplementation, biomarkers, and nutrient volume/timing are specific areas of interest.
f. Pharmaceutical and Nutritional Supplement Interactions:
The proposed project must research, apply, and/or develop novel approaches to determining what, if
any, meaningful interactions occur between and among SOF-common medications (i.e., over-the-
counter (OTC) or prescription (Rx) and commonly ingested/commercially available nutritional
supplements).
g. Physiological Performance:
The proposed project must research, apply, and/or develop novel approaches and/or technologies to
maximize the physiological performance of SOF personnel in austere and/or training environments,
to include increased endurance, enhanced senses, tolerance to environmental extremes, and enhanced
overall fitness, in order to maintain operational posture/ability in high stress scenarios without
noticeable augmentation, and without hampering personnel mobility.
h. Cognitive Performance:
The proposed project must research, apply, and/or develop novel approaches and/or technology that
provide greater mental acuity or neuroenhancement (i.e., targeted enhancement and extension of
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cognitive and affective abilities). Encompasses pharmacological and non-pharmacological methods
of improving cognitive, affective, motor functionality and performance, to include neuromodulation.
i. Psychological Performance and Suicide Prevention:
The proposed project must research, apply, and/or develop novel approaches to the assessment and
improvement of behavioral health within the force. Examples include but are not limited to, novel
approaches to treatment and rehabilitation from acute and/or chronic post-traumatic stress,
depression, and anxiety, improved emotional and nervous system self-regulation, digital/virtual
engagement strategies, methods to measure behavioral health performance over time, and improved
suicide prevention tools/strategies.
j. Family Readiness and Social Connectedness:
The proposed project must research, apply, and/or develop novel approaches to increase healthy SOF
family functioning. Family functioning includes positive interpersonal relationships, personal
resilience, self-efficacy, and the development of supportive social networks. Potential research could
determine what educational and didactic experiences best improve these factors of healthy SOF
family and relational functioning.
k. Spiritual Resilience:
The proposed project must research, apply, and/or develop innovative approaches to increase SOF
spiritual resilience or add scientific rigor to support current approaches. Spiritual resilience includes
religious practice, morals, ethics (such as just war tradition), connectedness, sense of purpose and
belonging. Potential research could determine what types of spiritual training or engagements best
improve these factors of spiritual resilience.
11. Canine Medicine and Performance:
SOF personnel rely on canines’ exceptional capabilities as combat multipliers. This research area
explores alternatives and/or new approaches to preserve and enhance SOF canine combat
performance. SOF medical personnel place a premium on canine-specific approaches that are
effective in extreme environments and do not require significant additional logistical support (i.e.,
maximize use of available SOF Medic materiel). The eight “Canine Medicine and Performance”
project areas, to which SOF will give consideration, in priority order, are:
a. Trauma Resuscitation:
The proposed project must support development of innovative techniques/strategies for canine
trauma resuscitation (e.g., hypotensive resuscitation, whole blood/blood component replacement, and
non-compressible hemorrhaging), particularly to address ballistic projectile injuries, in
diverse/austere environments that lack immediately available medical evacuation or restorative
surgical capacity.
Note: Research should minimize or refrain from utilizing canine specific equipment or devices; this
will allow treatment from existing trauma kits fielded by SOF Medics.
b. Non-Traditional Anesthesia Protocols:
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The proposed project must develop novel approaches for routine and emergency/post- traumatic
canine field sedation and/or anesthesia in diverse environments and, utilizing pharmaceuticals
available to SOF Medics.
c. Canine Performance Optimization
The proposed project must research, apply, and/or develop novel approaches and/or technologies that
address optimization of canine performance through improved physical conditioning programs,
enhanced nutrition, and genetics research.
d. Sensory Optimization and Protection:
Research must be oriented toward innovative methods that enhance or conserve SOF canine
olfactory, visual, and/or auditory performance during combat operations.
e. Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Canine
Decontamination, Treatment, and PPE Against Possible Exposure:
The proposed projects must research, apply, and/or develop novel approaches that will diagnose,
treat, decontaminate, and protect canines from exposure to chemical, biological, radiological,
nuclear, and high yield explosives.
f. Environmental Extremes:
Project proposals must research, apply, and/or develop novel strategies that address acclimatization
to acute extremes in temperature, altitude, and/or time zone change (circadian acclimatization),
and/or prolonged marine environmental exposure in SOF canines.
g. Brain Health and TBI
Brain health research efforts include but are not limited to development and validation of NCATs,
blast exposure and impact monitoring, determination of safe acceptable limits for blast exposure,
validation of neurocognitive baseline testing, capabilities to easily determine mild, moderate, and
severe TBI, pharmaceuticals to prevent or treat brain injury, validation of brain injury treatment
strategies, and procedures to determine safe return to duty decisions for SOF canines.
h. Pre- and Post-Trauma Training / Behavioral Issues:
The proposed project must address unique approaches to diagnosing and treating SOF-peculiar
training and post-traumatic canine behavioral issues, in order to optimize pre-purchase selection and
post-purchase training strategies across the enterprise and restore performance in canines with
behavioral and/or post-trauma issues.
i. Canine Simulation Technologies:
Develop improved pre-hospital canine combat casualty simulation training devices with an emphasis
on Special Operations Forces (SOF) pre-hospital providers. The proposed projects must research and
apply/or develop novel approaches for high-fidelity canine trauma training simulation devices with
physiologically relevant feedback to include temperature, pulse, lifelike size and weight, realistic fur,
active bleeding, anatomically accurate airways, and haptic technology. Canine training devices
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should respond to medical treatments with little to no operator/trainer intervention and capture and
provide accurate casualty care feedback. All simulators/simulations should meet Joint Airworthiness
Standards.
12. Medical Sustainment
SOF medical personnel require sustainment capabilities to support far-forward medical
requirements to reduce the patient and supply risk associated with operational medicine. The
proposed research, application, and/or development of medical sustainment techniques and
materiel must address unique approaches to optimizing supply management and safeguarding
equipment requirements. The project areas under “Medical Sustainment” to which the
USSOCOM will give highest consideration are:
a. Power and Energy
Project proposals must research, apply, and/or develop novel strategies that conserve or optimize
medical equipment in-field use to reduce sustainment burden in prolonged, austere
environments.
b. Austere Medical Logistics Procurement
SOF personnel, operating in austere environments, may not have the ability to receive
conventional resupply efforts. Project proposals must research, apply, and/or develop novel
approaches to assist SOF personnel in developing and receiving medical resupplies or repair
parts to meet their needs while in the field. These efforts must meet shipping and handling
considerations (i.e. temperature control) for a wide range of medical products from batteries to
blood. Efforts may include, but are not limited to, fabrication, improvisation, and/or delivery
methods from sea, ground, air, or suborbital domains.
c. Equipment Protection
Research that develops novel material and/or approaches to protect SOF medical equipment from
environmental (i.e. CBRNE, freezing temperatures, etc.) and/or adversarial effects (i.e. jamming,
electronicmagnetic pulse weapons, etc.).
d. Supply Monitoring Capability
Project proposals must research, apply, and/or develop novel approaches to rapidly forecasting
and calculating supply requirements based on patient treatment requirements, shelf-life, and
storage considerations.
II.B. Federal Award Information
The Anticipated total costs budgeted for the entire period of performance inclusive of all
contract awards made in response to this BAA, will not exceed $20 Million annually. The
number of awards is indeterminate and contingent upon funding availability. Any funding
that is received by the USSOCOM that is appropriate for a research area described within this
BAA may be utilized to fund awards. Refer to Section II.D.5. Funding Restrictions, for
detailed funding information.
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The USAMRAA will negotiate the contract awards for proposals selected for funding. A contract
is required when the principal purpose of the instrument is to acquire supplies or services for the
direct benefit or use of the U.S. Government. The contract type, along with the start date, will be
determined during the negotiation process.
Please see Appendix 2 of the General Submission Instructions for more information.
Research involving Human Anatomical Substances, Human Subjects, or Human Cadavers:
All DoD-funded research involving new and ongoing research with human anatomical
substances, human subjects, or human cadavers must be reviewed and approved by the
USAMRDC Office of Human Research Oversight (OHRO),, prior to research implementation.
This administrative review requirement is in addition to the local Institutional Review Board
(IRB) or Ethics Committee (EC) review. Local IRB/EC approval at the time of submission is
not required. The OHRO Human Research Protections Official (HRPO) review is mandated to
comply with specific laws and requirements governing all research involving human anatomical
substances, human subjects, or human cadavers that is supported by the DoD. These laws and
requirements will necessitate information in addition to that supplied to the IRB/EC. Allow a
minimum of 2 to 3 months for OHRO HRPO regulatory review and approval processes.
Additional time for regulatory reviews may be needed for clinical studies taking place in
international settings. When possible, protocols should be written for research with human
subjects and/or human anatomical substances that are specific to the DoD-supported effort
outlined in the submitted proposal/application as a stand-alone study. Submission to OHRO of
protocols involving more than the scope of work in the DoD-funded award will require review of
the entire protocol (DoD and non-DoD funded). DoD human subjects' protection requirements
may be applied to non-DoD funded work and necessitate extensive revisions to the protocol.
Refer to the General Submission Instructions, Appendix 1, and the Human Subject Resource
Document available on the eBRAP “Funding Opportunities & Forms” web page
(https://ebrap.org/eBRAP/public/Program.htm) for additional information.
Typically, a clinical trial is not associated with this BAA. A clinical trial is defined as a
prospective accrual of patients (human subjects) in which an intervention (e.g., device, drug,
biologic, surgical procedure, rehabilitative modality, behavioral intervention, or other) is tested
for a measurable outcome with respect to safety, effectiveness, and/or efficacy. This outcome
represents a direct effect on the subject of that intervention or interaction.
Research Involving Animals: All DoD-funded research involving new and ongoing research
with animals must be reviewed and approved by the USSOCOM Veterinarian Review Office
(VRO) which ensures that research conducted, contracted, sponsored, supported, or managed by
the DoD involving animal care are conducted in accordance with federal, DoD, Army,
USSOCOM VRO, and international regulatory requirements. The USSOCOM VRO is
responsible for administrative review, approval, and oversight of all animal research protocols,
including all changes made during the life of the protocol.
Specific documents relating to the use of animals in the proposed research will be requested if
the application is selected for funding. The VRO must review and approve all animal use prior
to the start of working with animals, including amendments to ongoing projects. PIs must
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submit the institutional animal use protocol. Allow at least 1 to 2 months for regulatory review
and approval processes for animal studies.
Questions concerning animal use and review should be directed to the USSOCOM VRO:
Phone: 813-826-6031; Email: socom_vet@socom.mil.
Refer to the General Submission Instructions, Appendix 1, for additional information.
The USSOCOM intends that information, data, and research resources generated under awards
funded by this BAA be made available to the research community (which includes both
scientific and consumer advocacy communities) and to the public at large.
II.C. Eligibility Information
II.C.1. Eligible Applicants
II.C.1.a. Organizations:
Awards are made to organizations only. Organizations eligible to apply include national,
international, for-profit, non-profit, public, and private organizations. Refer to the General
Submission Instructions, Appendix 3.B, for general eligibility information.
NOTE: In accordance with FAR 35.017, Federally Funded Research and Development Centers
(FFRDCs) are not eligible to directly receive awards under this BAA. However, teaming
arrangements between FFRDCs and eligible organizations are allowed so long as they are
permitted under the sponsoring agreement between the Federal Government and the specific
FFRDC.
The USSOCOM is committed to supporting small businesses. Small business, Veteran-owned
small business, Service-disabled Veteran-owned small business, HUBZone small business, small
disadvantaged business, and woman-owned small business concerns must be given the
maximum practical opportunity to participate through subawards on research proposals
submitted through the BAA.
II.C.1.b. Eligible Investigators
Eligible investigators include all individuals, regardless of ethnicity, nationality, or citizenship
status, who are employed by, or affiliated with, an eligible organization.
There are no limitations on the number of proposals for which an investigator may be named as a
Principal Investigator (PI).
The USAMRAA makes awards to eligible organizations, not to individuals.
In addition to other information provided herein, by submitting a proposal/application and
accepting an award, the organization is: (1) certifying that the investigators’ credentials have
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been examined and; (2) verifying that the investigators are qualified to conduct the proposed
study and to use humans or animals as research subjects, if proposed.
II.C.2. Cost Sharing
Cost sharing/matching is not an eligibility requirement.
II.C.3. Other
Organizations must be able to access .gov and .mil websites in order to fulfill the financial and
technical deliverable requirements of the award and submit invoices for payment.
Refer to Section II.H.1, Administrative Actions, for a list of administrative actions that may be
taken if a pre-application or application does not meet the administrative, eligibility, or ethical
requirements defined in this BAA.
For general information on required qualifications for award recipients, refer to the General
Submission Instructions, Appendix 3.
Use of the System for Award Management (SAM) and the Responsibility/Qualification (R/Q):
To protect the public interest, the Federal Government ensures the integrity of Federal programs
by striving to conduct business only with responsible organizations. The USSOCOM uses the
“Exclusions” within the Performance Information functional area of the SAM and data from the
R/Q, a component within SAM, to verify that an organization is eligible to receive Federal
awards. More information about the SAM and the R/Q is available at https://www.sam.gov/.
Refer to the General Submission Instructions, Appendix 3, for additional information.
Conflicts of Interest: All awards must be free of conflicts of interest (COIs) that could bias the
research results. Prior to award of a contract, applicants will be required to disclose all potential
or actual COIs along with a plan to manage them. An award may not be made if it is determined
by the Contracting Officer that COIs cannot be adequately managed. Refer to the General
Submission Instructions, Appendix 3, for additional information.
Review of Risk: The following areas may be reviewed in evaluating the risk posed by an
applicant: Financial stability; quality of management systems and operational controls; history
of performance; reports and findings from audits; ability to effectively implement statutory,
regulatory, or other requirements imposed on non-Federal entities; degree of institutional
support; integrity; adequacy of facilities; and conformance with safety and environmental
statutes and regulations.
Subcontracting Plan: If the resultant award is a contract that exceeds $750,000 and the offeror
is other than a small business, the contractor will be required to submit a subcontracting plan for
small business and small disadvantaged business concerns, in accordance with FAR 19.704 and
DFARS 219.704. A mutually agreeable plan will be incorporated as part of the resultant
contract.
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II.D. Proposal/Application Submission Information
II.D.1. Where to Obtain the Proposal/Application Submission Package
To obtain the complete Grants.gov proposal/application package (hereinafter, submission
package), including all required forms, perform a Grants.gov (http://www.grants.gov/) basic
search using the Funding Opportunity Number HT9425-23-S-SOC1.
Submission is a two-step process requiring both (1) pre-proposal/pre-application submission
through eBRAP (https://eBRAP.org/) and (2) full proposal/application submission through
Grants.gov or eBRAP, depending on the type of application being submitted.
eBRAP is a multifunctional web-based system that allows PIs to submit their pre-applications
electronically through a secure connection, to view and edit the content of their pre-applications
and full applications, to receive communications from the USSOCOM, and to submit
documentation during award negotiations and period of performance.
Classified Submissions: Classified 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 and/or controlled unclassified information,
clause FAR 52.204-2 shall be in effect, as well as a DD Form 254, if issued.
Care must be exercised to ensure that classified, sensitive, and critical technologies are not
included in a proposal/ application package. If such information is required, appropriate
restrictive markings and procedures should be applied prior to submission of the proposal/
application package. Portions of the proposal/ application package may be subject to release
under terms of the Freedom of Information Act, 5 U.S.C. 552, as amended.
Pre-application content and forms must be accessed and submitted at eBRAP.org. Full
application packages must be accessed and submitted at Grants.gov.
Contact information for the eBRAP Help Desk and the Grants.gov Contact Center can be found
in Section II.G, Federal Awarding Agency Contacts.
II.D.2. Content and Form of the Proposal/Application Submission
Submission is a two-step process requiring both pre-application submission and full application
submission as indicated below. The submission process should be started early to avoid missing
deadlines. There are no grace periods.
Pre-Application Submission: All pre-applications for extramural organizations must be
submitted through eBRAP (https://eBRAP.org/).
Full Application Submission: Full applications must be submitted through the online portals as
described below.
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Submitting Organizations: Full applications from extramural organizations must be submitted
through a Grants.gov Workspace. Applications submitted by extramural organizations (e.g.,
research foundations) on behalf of intramural DoD or other Federal organizations or
investigators will be considered extramural submissions. Applications from extramural
organizations, including non-DoD Federal organizations, received through eBRAP will be
withdrawn. See definitions in Section II.C.1, Eligible Applicants.
A key feature of eBRAP is the ability of an organization’s representatives and PIs to view and
modify the full application submissions associated with them. eBRAP will validate full
application files against the specific BAA requirements, and discrepancies will be noted in an
email to the PI in the “Full Application Files” tab in eBRAP. It is the applicant’s responsibility
to review all application components for accuracy as well as ensure proper ordering as specified
in this BAA.
The application title, eBRAP log number, and all information for the PI, Business Official(s),
performing organization, and contracting organization must be consistent throughout the
entire pre-application and full application submission process. Inconsistencies may delay
application processing and limit or negate the ability to view, modify, and verify the application
in eBRAP. If any changes need to be made, the applicant should contact the eBRAP Help Desk
at help@eBRAP.org or 301-682-5507 prior to the application submission deadline.
II.D.2.a. Step 1: Pre-Proposal/Pre-Application Submission Content
Submission of a pre-proposal/pre-application is required and must be submitted through eBRAP
(https://eBRAP.org/). If the USSOCOM is interested in receiving a full proposal/application, the
PI will be sent an invitation to submit via eBRAP.
During the pre-proposal/pre-application process, each submission is assigned a unique log
number by eBRAP. This unique eBRAP log number is required during the full application
submission process. To begin the pre-application process, first select whether the submitting
organization is extramural or intramural, then confirm your selection or cancel. Incorrect
selection of extramural or intramural submission type will delay processing.
If an error has been made in the selection of extramural versus intramural and the pre-application
submission deadline has passed, the PI or Business Official must contact the eBRAP Help Desk
at help@eBRAP.org or 301-682-5507 to request a change in designation.
Because the invitation to submit a proposal/application is based on the contents of the pre-
proposal/pre-application, a PI should not change the title or research objectives after the pre-
proposal/pre-application is submitted. A PI and organization identified in the pre-proposal/pre-
application should be the same as those intended for the full proposal/application submission. If
any changes are necessary after submission of the pre-proposal/pre-application, the PI must
contact the eBRAP Help Desk via email at help@eBRAP.org or 301-682-5507. A change in PI
or organization after submission of the pre-proposal/pre-application will be allowed only at the
discretion of the USAMRAA Contracting Officer. Change in Principal Investigator during
contract performance unless otherwise restricted, will be allowed at the discretion of the
USAMRAA Contracting Officer, provided that the intent of the award is met.
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The organization, Business Official, and PI must register in eBRAP before submitting a pre-
proposal/pre-application. Upon completion of an organization’s registration in eBRAP and
approval by the eBRAP Help Desk, the organization name will be displayed in eBRAP to assist
the organization’s Business Officials and PIs as they register. The organization, Business
Officials, and PIs must all be registered and affiliated in eBRAP. (See eBRAP User Guide at
https://ebrap.org/eBRAP/public/UserGuide.pdf.)
Pre-proposals may be submitted at any time prior to the BAA closing date. Pre-proposals should
describe specific ideas or projects that pertain to any of the areas described under “Program
Description” in this BAA. A pre-proposal/pre-application must include a brief description of the
scientific methods and design to address the problem as described below. Brochures or other
descriptions of general organizational or individual capabilities will not be accepted as a pre-
proposal/pre-application. DO NOT include any proprietary information in the pre-
proposal/pre-application.
The pre-proposal/pre-application consists of the following components, which are organized in
eBRAP by separate tabs. Refer to the General Submission Instructions, Section II, for additional
information on the pre-proposal/pre-application submission.
• Tab 1 – Application Information: Enter the information as described in eBRAP before
continuing the pre-proposal/pre-application.
• Tab 2 – Application Contacts: Enter contact information for the PI and the
organization’s Business Official responsible for the sponsored program administration (or
equivalent). This is the individual listed as “person to be contacted on matters involving
this Application” in Block 5 of the Grants.gov SF424 form. The form is designed to fill in
common required fields across other forms, such as the applicant's name, address, and
Unique Entity Identifier (UEI) Number. Once it is completed, the information will
transfer to the other forms.
The Business Official must either be named or invited in order for the pre-proposal/pre-
application to be submitted. If the organization’s Business Official is not in eBRAP, an
invitation to the Business Official to register in eBRAP must be sent. In addition, it is
recommended that the applicant identify an Alternate Submitter in the event that
assistance with pre- proposal/pre-application submission is needed.
NOTE: The eBRAP system does not require an approval of the pre-proposal/pre-
application by the PI’s organization.
• Tab 3 – Collaborators and Key Personnel:
Enter the name, organization, and role of all collaborators and key personnel associated
with the Application (including co-investigators, mentors, collaborators, consultants, and
subrecipients/subawardees) associated with the proposal/ application. Enter the
organization’s Business Official responsible for sponsored program administration (the
“person to be contacted on matters involving this Application” in Block 5 of the
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Grants.gov SF-424 form). The Business Official must either be selected from the eBRAP
list or invited in order for the pre- proposal/pre-application to be submitted.
• Tab 4 – Conflicts of Interest (COI):
List all individuals other than collaborators and key personnel who may have a conflict of
interest (COI) in the review of the pre-proposal/pre-application (including those with
whom the PI has a personal or professional relationship). Federal agency personnel
involved in the review process and/or with making funding recommendations are
prohibited from being involved in the research proposed or assisting in any pre-
proposal/pre-application, including, but not limited to, concept design, proposal/
application development, budget preparation, and the development of any supporting
documentation. If formal collaboration with Military Facility personnel is planned
(i.e., included in the proposal/application in performance of the research), this
prohibition is not applicable. Military Facility is defined as Military Health System
(MHS) facility, research laboratory, medical treatment facility, dental treatment
facility, or a DoD activity embedded with a civilian medical center. However, these
Military Facility personnel cannot be involved in the review process and/or with
making funding recommendations. Refer to the General Submission Instructions,
Appendix 3.D, for additional information. For questions related to COI, contact the
eBRAP Help Desk at help@eBRAP.org or 301-682-5507.
• Tab 5 – Pre-Application Files:
Note: Upload document(s) as individual PDF files unless otherwise noted. eBRAP will
not allow a file to be uploaded if the number of pages exceeds the limit specified below.
Pre-Proposal/Pre-Application Narrative (6-page limit): The pre-proposal/ pre-
application narrative page limit applies to text and non-text elements (e.g., figures, tables,
graphs, photographs, diagrams, chemical structures, drawings, etc.) used to describe the
project. Inclusion of URLs that provide additional information to expand the Narrative
and could confer an unfair competitive advantage is prohibited and may result in
administrative withdrawal of the pre-proposal/pre-application.
Include the following:
○ Problem to Be Studied: Describe the perceived issue(s) and the problems to be
studied. This section should serve as an abstract of the proposed work.
○ Theoretical Rationale, Scientific Methods, and Design: Describe how the
research approach for accomplishing the specific aims is feasible, will
accomplish the objectives, will provide information on proposed methods and
analysis/evaluation strategies, and is based on sound rationale. Describe how the
proposed work and research will create and produce a demonstration and
validation/proof of concept to meet the subject Topic Area.
– Background/Rationale: Clearly present the ideas and reasoning behind
the proposed research. Include relevant military and civilian literature
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citations, preliminary and/or pilot data, and/or other evidence that led to
the development of the proposed research. Any preliminary data should
be from the laboratory of the PI or member(s) of the collaborating team.
– Hypothesis/Objective and Specific Aims: State the proposed project’s
hypothesis and/or objectives and the specific aims/tasks of the proposed
research.
– Approach/Methodology: Describe the research approach. Include
research design, methods, and analysis/evaluation strategies as well as
materials anticipated to be used during the research. Include a description
of human use in the proposed project. For studies involving human
subjects, include a description of the size, characteristics, and partnering
organizations of the subject population that will be employed.
○ Significance, Relevance, and Innovation of the Proposed Effort:
– Significance and Relevance: Clearly articulate how the proposed research is
instrumental in addressing research gaps, meets military requirements, and has
military relevance to improving theater/operational medicine.
– Innovation: Explain how the proposed project is innovative and not an
incremental advancement of previous work.
○ Proposed Study Design/Plan: Provide the intended research methodology that
will support the study. Provide preliminary information such as description and
background of the technical solution, anticipated success criteria, research/test
plan(s), and statistical protocols. Refer to Section II.A., Program Description, for
additional information on the RAIs for this BAA.
○ Military Impact: Describe the anticipated short- and/or long-term outcomes of the
proposed project and their potential impact on improving technologies, data and/or
processes. Refer to Section II.A., Program Description, for additional information on
the anticipated outcomes sought by this BAA.
○ Personnel and Facilities: Describe the role of the PI, co-PIs (if applicable), key
personnel, sub-awards (if applicable), and consultants (if applicable) in the research
team, including the expertise each brings to the proposed project. Explain how the
team’s expertise is appropriate and complementary for achieving the research goals.
Also, briefly provide information on the primary facility where the research is
expected to be performed.
○ Open Source/License/Architecture: Describe the intellectual property that is
intended to be incorporated within the design/plan and identify any additional
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costs, such as licensing, which may be needed to ensure flexibility or adaption of
the research project for Government use.
Pre-Proposal/Pre-Application Supporting Documentation: The items to be included as
supporting documentation for the pre-proposal/pre-application must be uploaded as individual
PDF documents and are limited to:
○ References Cited (one-page limit): List the references cited (including URLs if
available) in the pre-proposal/pre-application narrative using a standard reference
format that includes the full citation (i.e., author[s], year published, title of reference,
source of reference, volume, chapter, page numbers, and publisher, as appropriate).
○ List of Abbreviations, Acronyms, and Symbols: Provide a list of abbreviations,
acronyms, and symbols used in the pre-proposal/pre-application narrative.
○ PI and Key Personnel Biographical Sketches (five-page limit per individual):
Upload as “Biosketch_LastName.pdf.” Bold or highlight publications relevant to the
proposed project.
○ Budget Summary: Upload as “BudgetSummary.pdf.” Complete the two-page Pre-
Application Budget Summary Form (available for download in eBRAP) as instructed.
○ Quad Chart: Upload as “QuadChart.pdf.” Complete the one-page Quad Chart
Form (available for download in eBRAP) as instructed.
 Submit Pre-Application – Tab 6: This tab must be completed for the pre-
proposal/preapplication to be accepted and processed.
II.D.2.b. Pre-Proposal/Pre-Application Screening Criteria
The USSOCOM scientists or outside experts will screen pre-proposals for technical merit and
programmatic considerations. Based on the screening of the preproposal, a PI may be invited to
submit a full proposal/application. Pre- proposal will be screened based on the following
criteria, listed in descending order of importance:
• Theoretical Rationale, Scientific Methods, and Research: To what degree the
research approach for accomplishing the specific aims is feasible, will accomplish
the objectives, will provide information on proposed methods and analysis/
evaluation strategies, and is based on sound rationale. To what degree the proposed
work and research will create and produce a demonstration and validation/proof of
concept to address the Topic Area.
• Significance, Relevance, and Innovation: To what degree the proposed research is
relevant and innovative, including whether the proposed research is duplicative of
existing research.
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• Study Design/Plan: To what degree the proposed demonstration and validation study
methodologies, anticipated sample and sample size, test plan(s), anticipated success
criteria, evaluation criteria/metrics, and statistical protocols will justify and support
the intended outcomes of the proposed research.
• Military Impact: To what degree the project’s anticipated short- and/or long-term
outcomes will impact the military and provide advancement in theater/operational
medicine in the military health system in a way that is consistent with the intent of
the award mechanism.
• Personnel, Facilities, Timelines, and Budget: To what degree the expertise,
experience, and knowledge of the key research personnel (including co-PIs if
applicable), sub-awards (if applicable), and consultants (if applicable) are
appropriate and complementary for achieving the research goals. To what degree
the prime facility will be able to perform the proposed research.
Following the pre-proposal/pre-application screening, PIs will be notified as to whether or not
they are invited to submit full proposals; however, they will not receive feedback (e.g., a critique
of strengths and weaknesses) on their pre-proposals. Within 180 days of submission, PIs should
receive email notification via eBRAP regarding disposition of their pre-proposals.
A. II.D.2.c. Step 2: Full Proposal/Application Submission Content
A Proposal/Application will not be accepted unless the PI has received an invitation to submit.
If the USSOCOM is interested in receiving a full proposal/application, the PI will receive an
invitation to submit via email from eBRAP. It should be submitted within 60 days of the PI’s
receipt of an invitation to submit, as directed in II.D.2. Agency receipt of a full
proposal/application will be acknowledged by an email sent to the PI via eBRAP. The
proposal/application log number for the full proposal/application will be the same number as
used for the pre-proposal/pre-application, e.g., SO23XX.
The USSOCOM cannot make allowances/exceptions to its policies for submission problems
encountered by the applicant organization using system-to-system interfaces with Grants.gov.
Each application submission must include the completed full application package for this BAA.
The full application package is submitted by the Authorized Organizational Representative
through Grants.gov (http://www.grants.gov/) for extramural organizations. See Table 1 below for
more specific guidelines. Proprietary information should only be included if necessary for
evaluation of the proposal/application. Conspicuously and legibly mark any proprietary
information that is included in the proposal/application.
II.D.2.c.i. Full Guidelines
Organizations must submit full applications through Grants.gov. Applicants must create a
Grants.gov Workspace for submission, which allows the application components to be
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completed online and routed through the applicant organization for review prior to submission.
Applicants may choose to download and save individual PDF forms rather than filling out
webforms in the Workspace. A compatible version of Adobe Reader must be used to view,
complete, and submit an application package consisting of PDF forms. If more than one person
is entering text into an application package, the same version of Adobe Reader software should
be used by each person. Check the version number of the Adobe software on each user’s
computer to make sure the versions match. Using different versions of Adobe Reader may cause
submission and/or save errors – even if each version is individually compatible with Grants.gov.
Refer to the General Submission Instructions, Section III, and the “Apply For Grants” page of
Grants.gov (https://www.grants.gov/web/grants/applicants/apply-for-grants.html) for further
information about the Grants.gov Workspace submission process. Submissions of extramural
applications through eBRAP may be withdrawn.
Table 1. Full Submission Guidelines
Submissions
Download application package components for
HT9425-23-S-SOC1 from Grants.gov
(http://www.grants.gov) and create a Grants.gov
Workspace. The Workspace allows online completion
of the application components and routing of the
application package through the applicant organization
for review prior to submission.
SF424 Research & Related Forms (R&R)
Application for Federal
Assistance Form: Refer to the General Submission
Instructions, Section III.A.1, for detailed information.
Submissions
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Descriptions of each required file can be found under
Full Application Submission Components:
• Attachments
• Research & Related Personal Data
• Research & Related Senior/Key Person
Profile (Expanded)
• Research & Related Budget
• Project/Performance Site Location(s) Form
• R&R Subaward Budget Attachment(s) Form
(if applicable)
• (if applicable) Additional Application
Component(s)
Complete a Grants.gov Workspace.
Add participants (investigators and Business Officials)
to the Workspace, complete all required forms, and
check for errors before submission. The Workspace
progress bar will display the state of your application
process as you apply. As you apply using Workspace,
you may click the blue question mark icon near the
upper-right corner of each page to access context-
sensitive help.
Mandatory Fields in Forms: In the forms, you will
note fields marked with an asterisk and a different
background color. These fields are mandatory fields
that must be completed to successfully submit your
application.
Submit a Grants.gov Workspace Package. An
application may be submitted through
Workspace by clicking the “Sign and Submit” button on
the “Manage Workspace” page, under the “Forms” tab.
Grants.gov recommends submission of the application
package at least 24-48 hours prior to the close date to
allow time to correct any potential technical issues that
may disrupt the application submission.
Note: If either the Project Narrative or the budget fails
eBRAP validation or if the Project Narrative or the
budget needs to be modified, an updated Grants.gov
application package must be submitted via Grants.gov
as a “Changed/Corrected Application” with the previous
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Grants.gov Tracking ID prior to the application
submission deadline.
Submissions
The full application package submitted to
Grants.gov may be viewed and modified in eBRAP until
the end of the application verification period. During
the application verification period, the full application
package, with the exception of the Project Narrative
and Budget Form, may be modified.
Tracking a Grants.gov Workspace Package. After
successfully submitting a Workspace package, a
Grants.gov Tracking Number is automatically assigned
to the package. The number will be listed on the
“Confirmation” page that is generated after submission.
Refer to the General Submission Instructions, Section
III, for further information regarding Grants.gov
requirements.
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Application viewing, modification, and verification in eBRAP are strongly recommended, but
not required. The Project Narrative and Budget cannot be changed after the application
submission deadline. Prior to the full application deadline, a corrected or modified full
application package may be submitted. Other application components may be changed until the
end of the application verification period. Verify that subaward budget(s) and budget
justification forms are present in eBRAP during the application verification period. If these
components are missing, upload them to eBRAP before the end of the application verification
period. After the end of the application verification period, the full application cannot be
modified.
Material submitted after the end of the application verification period, unless specifically
requested by the Government, will not be forwarded for processing.
II.D.2.c.ii. Full Proposal/Application Submission Components
The Grants.gov submission package includes the following components (refer to the General
Submission Instructions, Section III., for additional information on proposal/application
submission):
1. SF 424 (R&R) Application for Federal Assistance Form: Refer to the General
Submission Instructions, Section III for detailed information.
2. Attachments Form
Each attachment to the full proposal/application components must be uploaded as an
individual file in the format specified and in accordance with the formatting guidelines
listed in the General Submission Instructions, Appendix 4.
For all attachments, ensure that the file names are consistent with the guidance. Attachments
will be rejected if the file names are longer than 50 characters or have incorrect file names
that contain characters other than the following: A-Z, a-z, 0-9, underscore, hyphen, space,
and period. In addition, there are file size limits that may apply in some circumstances.
Individual attachments may not exceed 20 MB, and the file size for the entire full
proposal/application package may not exceed 200 MB.
 Attachment 1: Project Narrative (20-page limit): Upload as
“ProjectNarrative.pdf.” The page limit of the Project Narrative applies to text
and non-text elements (e.g., figures, tables, graphs, photographs, diagrams,
chemical structures, drawings, etc.) used to describe the project. Inclusion of
URLs that provide additional information to expand the Project Narrative and
could confer an unfair competitive advantage is prohibited and will result in
administrative withdrawal of the proposal/application.
Describe the proposed project in detail using the outline below.
○ Background: Present the ideas and reasoning behind the proposed
research; include relevant literature citations or preliminary data on the
proposed technical solution(s) and how they may have been utilized in
similar environment(s). Describe previous experience most pertinent to this
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project. Any preliminary data should be from the laboratory of the PI or
member(s) of the collaborating team.
○ Hypotheses/Objectives: State the hypotheses or research/evaluation
questions and overall objective(s) to be reached.
○ Specific Aims: Concisely explain the project’s specific aims to include
expected timeframe of each aim. If this proposal/application is part of a
larger study, present only tasks this award would fund.
○ Project Design: Describe and define the research design, methods, and
analyses/evaluations in sufficient detail for analysis.
— Clearly support the choice of study variables/metrics and explain the
basis for the research questions and/or study hypotheses. Establish the
relevance of the study and explain the applicability of the proposed
findings.
— Provide a detailed protocol, including but not limited to, proposed
methodologies, research/test plan(s) and criteria, intended medical
domain(s) or discipline(s), control groups, and defined statistical
models.
— Define the study variables (independent/dependent) and define how they
will be measured. Include a description of appropriate controls and the
endpoints to be tested. Describe how data will be collected and analyzed in
a manner that is consistent with the study objectives. Describe a plan for
data access and outcome dissemination.
— For development of devices and technologies, discuss the engineering/
technical design that will be used to achieve the project goals,
demonstrating the feasibility of the proposed product development. Discuss
the perceived engineering/design strengths and flaws and recommendations
for overcoming/preventing them.
— Address all potential barriers and provide plans for addressing potential
delays, unexpected events, changes in key personnel, and ongoing
adaptation of the Application. Provide a risk management plan to address
barriers to plans. As relevant, describe plans for addressing potential
issues unique to working within the military health system.
— Document the availability and accessibility of the study materials (including
data) needed as applicable.
○ Project Milestones: Identify timelines for critical events that must be
accomplished in order for the project to be successful in terms of cost,
schedule, and performance. For development of devices and technologies,
discuss the timelines and provide a commercial strategy plan for the
technology being developed.
○ Additional Information: If human subjects are involved in the research,
proposals may be submitted prior to human protocol institutional approvals.
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However, protocols with required institutional approvals must be submitted no
later than 60 days after award to demonstrate continued progress and ensure
continuation of payment. The Contracting Officer may make exceptions in
situations where human and/or animal use is not expected to begin until after
the first year of the research project. In such cases, a timeframe for submission
of the appropriate protocols and institutional approvals will be established
prior to award.
PIs and collaborating organizations may not use, employ, or subcontract for
the use of any human participants, including the use of human anatomical
substances, human data, and/or human cadavers, or laboratory animals until
applicable regulatory documents are approved by the OHRO and or
USSOCOM VRO to ensure that DoD regulations have been met.
– For studies with prospective accrual of human subjects, indicate
quarterly enrollment targets.
– Identify cell line(s) and commercial or organizational source(s) to be
used. If human anatomical substances (including cell lines) will be used,
specify whether or not identifiable information is accessible to the
research team by any means.
– If applicable, indicate time required for submission and/or approval of
documents (e.g., Investigational New Drug and Investigational Device
Exemption) to the U.S. Food and Drug Administration or appropriate
Government agency.
– For studies involving human subjects, allow at least 2 to 3 months for
regulatory review and approval by the USAMRDC OHRO; this does not
include the additional time required for local Institutional Review Board
(IRB)/Ethics Committee (EC) review and approval.
Refer to the General Submission Instructions, Appendix 5, for additional
regulatory information.
 Attachment 2: Supporting Documentation: Start each document on a new
page. Combine and upload as a single file named “Support.pdf.” If
documents are scanned to pdf, the lowest resolution (100 to 150 dpi) should be
used. The Supporting Documentation attachment should not include additional
information such as figures, tables, graphs, photographs, diagrams, chemical
structures, or drawings.
There are no page limits for any of these components unless otherwise noted.
Include only those components described below; items not requested will be
removed and may result in administrative withdrawal of the
proposal/application.
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○ Bibliography and References Cited: List the references in the order they
appear in the Project Narrative. Use a standard reference format that includes
the full citation (i.e., author[s], year published, title of reference, source of
reference, volume, chapter, page numbers, and publisher, as appropriate. Do
not send or attach copies of articles in print. There is no form for this
information. The attachments should be in PDF in accordance with the
formatting guidelines specified for full proposal/application preparation.
○ List of Abbreviations, Acronyms, and Symbols: Provide a list of
abbreviations, acronyms, and symbols.
○ Facilities, Existing Equipment, and Other Resources: Describe the
facilities and equipment available for performance of the proposed project
and any additional facilities or equipment proposed for acquisition at no cost
to the award. Indicate whether or not Government-furnished facilities or
equipment are proposed for use. If so, reference should be made to the
original or present Government award under which the facilities or equipment
items are now accountable. There is no form for this information.
Note: For researchers who will require access to the Defense Healthcare
Management Systems Modernization (DHMSM) Cerner Electronic
Health Record (EHR) solution for testing related to research workflows
and/or interfaces: Access will be provided through a research environment
within the Program Executive Office (PEO) Defense Healthcare
Management Systems (DHMS) Testing Infrastructure at Allegheny Ballistics
Laboratory (ABL). Users will follow the PEO DHMS Testing Infrastructure
Onboarding Guide to access the environment. Direct support from the
DHMSM vendor will not be provided through the DHMSM contract. No one
is authorized to engage the DHMSM contractor for this purpose. Research
must remain in these stated bounds.
○ Publications and/or Patent Abstracts (five-document limit): Include
relevant publication URLs and/or patent abstracts. If publications are not
publicly available, then a copy/copies of the published manuscript(s) must
be attached.
○ Letters of Organizational Support: Provide a letter (or letters, if applicable),
signed by the Department Chair or appropriate organization official,
confirming the laboratory space, equipment, and other resources available for
the project. A letter for each organization involved in the project should be
provided.
○ Letters of Collaboration: Provide a signed letter from each collaborating
individual or organization that will demonstrate that the PI has the support or
resources necessary for the proposed work. If an investigator at an
intramural organization is named as a collaborator on an application
submitted through an extramural organization, the application must include a
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letter from the collaborator’s Commander or Commanding Officer at the
intramural organization that authorizes the collaborator’s involvement.
Refer to the General Submission Instructions, Section III.A.8., Research &
Related Budget, for additional information.
○ Joint Sponsorship (if applicable): Describe present or prospective joint
sponsorship of any portion of the program outlined in the proposal/
application. In the absence of agreements among sponsors for joint support, the
proposal/application should be structured so that the research can be carried
out without the resources of any other sponsor. If, however, it is desirable to
request partial support from another agency, the proposed plan should be stated
and the reasons documented. If the plan cannot be formulated at the time the
proposal/application is submitted, information should be sent later as an
addendum to the proposal/application. Prior approval from both agencies must
be secured for research to be undertaken under joint sponsorship. Provide
letters of support related to recruitment, subject access, and data access plans.
○ Intellectual Property (if applicable): Refer to the General Submission
Instructions, Appendix 3, for additional information. Provide the following:
– Should the Applicant intend to use, in the performance of this program,
pre-existing, legally protected and perfected intangible property and for
which no Federal funds had been used in the development of said property,
the Applicant must:
1. Clearly identify all such property;
2. Identify the cost to the Federal government for use or license of such
property if applicable; or
3. Provide a statement that no property meeting this definition will be
used on this project.

Intellectual and Material Property Plan: If applicable, provide a plan for

resolving intellectual and material property issues among participating
organizations.
 Attachment 3: Technical Abstract (one-page limit): Upload as
“TechAbs.pdf.”
The technical abstract is used by all reviewers. Abstracts of all funded research
projects will be posted publicly. Do not include proprietary or confidential
information. Use only characters available on a standard QWERTY keyboard.
Spell out all Greek letters, other non-English letters, and symbols. Graphics are
not allowed. Use the outline below.
Background: Provide a brief statement of the ideas and theoretical
o
reasoning behind the proposed work. o Objective/Hypothesis: State the
objective/hypothesis to be tested. Provide evidence or rationale that supports the
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objective/hypothesis. o Specific Aims/Milestones: State concisely the specific
aims/milestones of the project.
Project Design: Briefly describe the project design. o Impact: Provide a
o
brief statement explaining the potential impact of the proposed work to advancing
the standard of care for injured Service members and/or the general public. o
Relevance: Provide a brief statement explaining the potential relevance of the
proposed work to the specific topic area being addressed and its impact on health
outcomes.
• Attachment 4: Lay Abstract (one-page limit): Upload as “LayAbs.pdf.”
The lay abstract is used by all reviewers. Do not include proprietary or
confidential information. Use only characters available on a standard
QWERTY keyboard. Spell out all Greek letters, other non-English letters, and
symbols. Graphics are not allowed.
Lay abstracts should be written using the following outline. Do not duplicate the
technical abstract.
○ Describe the objectives and rationale for the proposal/application in a manner
that will be readily understood by readers without a background in science or
medicine.
○ Describe the ultimate applicability and potential impact of the research.
— What types of patients will it help, and how will it help them? Include
the current available statistics to the related injury/condition.
— What are the potential clinical Applications, benefits, and risks?
— What is the projected timeline it may take to achieve the expected patient-
related outcome?
○ Briefly describe how the proposed project will benefit Service
members, Veterans, and/or family members.
• Attachment 5: Statement of Work (SOW) (two-page limit): Upload as
“SOW.pdf.” The suggested SOW format and examples specific to different
types of research projects are available on the eBRAP “Funding Opportunities
& Forms” web page (https://ebrap.org/eBRAP/public/Program.htm). The SOW
outlines and establishes the PI’s and an organization’s performance expectations
for the work to be funded under this award. The SOW in an assistance
agreement award establishes general objectives. The SOW in a contract sets
rather specific goals and conditions for each year of the contracted project; the
PI and contractor are expected to meet the provisions and milestones of the SOW.
The SOW for all award types will be incorporated into the award document and,
as such, is subject to release under the Freedom of Information Act.
A series of relatively short statements should be included that comprise the
approach to each of the major goals or objectives of the proposed research. The
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statements should outline the specific tasks, systems, and materials that are
reasonable estimates for testing the proposed hypotheses of the study. An outline
should be included that shows the work statements to be accomplished in each
year of the award. If this proposal/application is part of a larger study, present
only tasks that this award would fund. Allow at least 2 to 3 months for the
USAMRDC OHRO’s regulatory review and approval processes for studies
involving human subjects. Allow at least 1 to 2 months for the USSOCOM
VRO regulatory review and approval processes for studies involving animals.
• Attachment 6: Outcomes and Impact Statement (one-page limit): Upload as
“Impact.pdf.” Explain in detail why the proposed research project is important,
as follows:
○ Short-Term Impact: Describe the anticipated outcome(s), results, theoretical
framework, design and or plan that will be directly attributed to the results of
the proposed research.
○ Long-Term Impact: Describe the anticipated long-term clinical/patient
gains or commercial end product from the proposed project. What is the
indication and will the project lead toward transforming the standard of
care? Are there non-trauma-related indications that would expand the
market for the proposed product?
○ Military Relevance: Clearly articulate how the proposed project or product
meets the needs of military medical providers and injured Service
members.
○ Public Purpose: If appropriate, provide a concise, detailed description on
how this project will benefit the general public.
• Attachment 7: Innovation Statement (two-page limit): Upload as
“Innovation.pdf.” Describe how the proposed project is innovative. Research
deemed innovative may introduce a new paradigm, challenge current paradigms,
look at existing problems from new perspectives, or exhibit other creative
qualities. Investigating the next logical step or incremental advancement on
published data is not considered innovative. This may include a proposed
conceptual framework, design, and/or plan of key components and how they
integrate/communicate with each other. Identify which potential components will
be open source/open architecture vs. proprietary.
• Attachment 8: Data and Research Resource-Sharing Plan (one-page limit):
Upload as “Sharing.pdf.” Describe how unique and/or final research data will
be shared with the research community, along with any resulting research
resources. This includes cases where pre-existing data or research resources will
be utilized and/or modified during the course of the proposed project. If there
are limitations associated with a pre-existing agreement for the original data or
research resources that preclude subsequent sharing, the Applicant should
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explain this in the data- and/or research resource-sharing plan. For projects
involving clinical trials, PIs may be required to register their clinical trials on
Clinicaltrials.gov (https://clinicaltrials.gov/). For projects involving TBI, PIs
may be required to report data to the Federal Interagency Traumatic Brain Injury
Research (FITBIR) informatics system (http://fitbir.nih.gov/). If the project
includes systems biology- related research, the PI may be required to make the
systems biology data, generated via an award, available to the research
community by depositing research data into the SysBioCube system
(https://sysbiocube-abcc.ncifcrf.gov). Refer to the General Submission
Instructions, Appendix 2, for additional information.
• Attachment 9: Conflicts of Interest, if applicable: Upload as “COI.pdf.”
Provide details with the proposal/application submission of all potential or
actual COIs, along with a plan to resolve them. A contract or assistance
agreement will not be awarded if it is determined by the respective Contracting
Officer that a COI cannot be managed.
Personnel involved in the review process and/or with making funding
recommendations are prohibited from assisting in any proposal/application,
including, but not limited to, concept design, Application development, budget
preparation, and the development of any supporting documentation.
Questions related to this topic should be directed to the eBRAP Help Desk via
email at help@eBRAP.org or 301-682-5507. Refer to the General Submission
Instructions, Appendix 3, for additional information.
• Attachment 10: Data Management (no page limit): Upload as
“DataManage.pdf.” The Data Management attachment should include the
components listed below.
Data Management: Describe all methods used for data collection to include the
following:
○ Identifiers: Describe the unique identifiers or specific code system to be used
to identify human subjects, if applicable.
○ Confidentiality: Explain measures taken to protect the privacy of studies
conducted on human subjects and the ability to maintain confidentiality of
study data. Strategies to protect the privacy and confidentiality of study
records, particularly those containing identifying information, should be
addressed.
— Address who will have access to study records, data, and specimens,
including an acknowledgment that representatives of USSOCOM are
eligible to review study records.
— Address requirements for reporting sensitive information to state or local
authorities.
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○ Disposition of data: Describe where data (both electronic and hard copy) will
be stored, who will keep the data, how the data will be stored, and the length
of time data will be stored. For FDA-regulated studies, compliance with 21
CFR 11 is required.
○ Sharing study results: In cases where the human subject could possibly
benefit medically or otherwise from the information, explain whether or not
the results of screening and/or study participation will be shared with human
subjects or their primary care provider, to include results from any screening or
diagnostic tests performed as part of the study.
• Attachment 11: Post-Award Project Transition Plan (three-page limit).
Upload as “Transition.pdf.” Provide information on the methods and
strategies proposed to move the project or knowledge outcomes to the next
project phase of studies, commercialization, and/or delivery to the civilian or
military market after successful completion of the award. The transition plan
should include the components listed below.
a. The planned indication for the product label, if appropriate, and an outline of
the development plan required to support that indication.
b. The anticipated regulatory strategy (e.g., additional nonclinical or clinical
studies anticipated/required, FDA or regulatory authority meetings desired,
industry partnerships) for movement of the research into later phases of
development and to support a potential marketing Application [e.g., New
Drug Application, Biologics License Application, Premarket Approval
Application, 510(k)].
c. Details of the funding strategy that will be used to bring the outcomes to
the next level of development and/or commercialization (e.g., specific
potential industry partners, specific funding opportunities to be applied
for).
d. For knowledge products, a description of how the knowledge will be further
developed, disseminated, and incorporated into clinical care.
e. A description of collaborations and other resources that will be used to
provide continuity of development.
f. A brief schedule and milestones for bringing the outcome(s) to the next phase
of studies, commercialization, and/or delivery to the military or civilian
market, including when it can be anticipated to be transitioned to an industry
partner or approved by the FDA, if applicable.
g. A risk analysis for cost, schedule, manufacturability, and sustainability.
• Attachment 12: Collaborating DoD Military Facility Budget Form(s), if
applicable: Upload as “MFBudget.pdf.” If a Military Facility will be a
collaborator in performance of the project complete the Collaborating DoD
Military Facility Budget Form (available for download on eBRAP “Funding
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Opportunities and Forms” web page), including a budget justification for each
year. If more than one Military Facility is proposed, submit a separate budget
form for each site. Refer to the General Submission Instructions, Section II.D.5.,
Research & Related Budget, for detailed information.
 Extramural Applications
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 USC
A§1681 et seq.), the DoD 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
science, technology, engineering, or mathematics (STEM) disciplines. To enable this
assessment, each application must include the following forms completed as indicated.
Research & Related Personal Data: For extramural submissions (via Grants.gov), refer to
the General Submission Instructions, Section III.A.3.
Research & Related Senior/Key Person Profile (Expanded): Refer to the General
Submission Instructions, Section III for detailed information.
• PI Biographical Sketch (five-page limit): Upload as “Biosketch_LastName.pdf.” 
PI Previous/Current/Pending Support (three-page limit): Upload as
“Support_LastName.pdf.”
• Key Personnel Biographical Sketches (five-page limit each): Upload as
“Biosketch_LastName.pdf.”
• Key Personnel Previous/Current/Pending Support (three -page limit each): Upload
as “Support_LastName.pdf.”
Research & Related Budget: Refer to the General Submission Instructions, Section III for
detailed information.
• Budget Justification (no page limit): Upload as “BudgetJustification.pdf.” The budget
justification for the entire period of performance must be uploaded to the Research &
Related Budget after completion of the budget for Period 1.
IAW FAR 35.016(e), “The primary basis for selecting proposals for
o
acceptance shall be technical, importance to agency programs, and fund
availability. Cost realism and reasonableness shall also be considered to the
extent appropriate”.
For contracts, statutory limits for fees are specified in FAR 15.404-4(c)(4).
o
NOTE: For all Federal agencies or organizations collaborating with Military
Facilities, special restrictions apply to the budget and are described below.
• For Federal Agencies: Proposals from Federal agencies must include in their budget
justifications a Federal Financial Plan. The Federal Financial Plan must address how
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all funds will be obligated before their period for obligation expires, and how funds will
be available to cover research costs over the entire award period. The Federal Financial
Plan must include the funding mechanism(s) that will be used to carry over funds
between fiscal years.
• For Collaborating DoD Military Facilities: Proposals from organizations that include
collaborations with DoD Military Facilities (military health system facility, research
laboratory, treatment facility, dental treatment facility, or a DoD activity embedded with
a civilian medical center) must submit Collaborating DoD Military Facility Budget
Form(s) as instructed in Attachment 12.
Project/Performance Site Location(s) Form: Refer to the General Submission Instructions,
Section III. for detailed information.
R & R Subaward Budget Attachment(s) Form (if applicable): Refer to the General
Submission Instructions, Section III. for detailed information.
R&R Subaward Budget Attachment(s) Form (if applicable): Refer to the General
Application Instructions, Section III. for detailed information.
Collaborating with DoD Military Facilities (if applicable): Refer to the General
Application Instructions, Section III. for detailed information.
II.D.3. Unique Entity Identifier (UEI) and System for Award Management (SAM)
All organizations applying online through Grants.gov must register with the System for Award
Management (SAM) and will receive a unique entity identifier (UEI) number. Failure to register
with SAM will prevent your organization from applying through Grants.gov.
Applicant organizations and all subrecipient organizations must have an active registration in the
System for Award Management (SAM) number to submit proposals to Grants.gov. The
applicant organization must also be registered in the Entity Management functional area of the
SAM with an “Active” status to submit proposals through the Grants.gov portal. Verify the
status of the applicant’s organization’s Entity registration in SAM well in advance of the
proposal/application submission deadline. Allow several weeks to complete the entire SAM
registration process. If an applicant has not fully complied with the requirements at the time the
Federal awarding agency 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. Refer to the General
Submission Instructions, Section III, for further information regarding Grants.gov requirements.
Organizations must have an active System for Award Management (SAM) registration, and
Grants.gov account to apply for contracts. If individual applicants are eligible to apply for this
funding opportunity, then you may begin with step 3, Create a Grants.gov Account, listed below.
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Creating a Grants.gov account can be completed online in minutes, but SAM registrations may
take additional time. Therefore, an organization's registration should be done in sufficient time to
ensure it does not impact the entity's ability to meet required application submission deadlines.
Complete organization instructions can be found on Grants.gov here:
https://www.grants.gov/web/grants/applicants/organization-registration.html
1) Register with SAM for all awards: SAM registration must be renewed annually. For more
detailed instructions for registering with SAM, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-
sam.html
2) Create a Grants.gov Account: The next step is to register an account with Grants.gov.
Follow the on-screen instructions or refer to the detailed instructions here:
https://www.grants.gov/web/grants/applicants/registration.html
3) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single
applicant organization the user represents (i.e., an applicant) or an individual applicant. If you
work for or consult with multiple organizations and have a profile for each, you may log in to
one Grants.gov account to access all of your grant applications. To add an organizational
profile to your Grants.gov account, enter the UEI Number for the organization in the UEI field
while adding a profile. For more detailed instructions about creating a profile on Grants.gov,
refer to: https://www.grants.gov/web/grants/applicants/registration/add-profile.html
4) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an
Organization Applicant Profile, the organization applicant's request for Grants.gov roles and
access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the
appropriate roles, which may include the AOR role, thereby giving you permission to complete
and submit applications on behalf of the organization. You will be able to submit your
application online any time after you have been assigned the AOR role. For more detailed
instructions about creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html
5) Track Role Status: To track your role request, refer to:
https://www.grants.gov/web/grants/applicants/registration/track-role-status.html
b. Electronic Signature: When applications are submitted through Grants.gov, the name of the
organization applicant with the AOR role that submitted the application is inserted into the
signature line of the application, serving as the electronic signature. The EBiz POC must
authorize people who are able to make legally binding commitments on behalf of the
organization as a user with the AOR role; this step is often missed and it is crucial for valid and
timely submissions.
For additional training resources, including video tutorials, refer to:
https://www.grants.gov/web/grants/applicants/applicant-training.html
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Applicant Support: If you are experiencing difficulties with your submission, it is best to call the
Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist
the USSOCOM with tracking your issue and understanding background information on the
issue. Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and
email at support@grants.gov. For questions related to the specific grant opportunity, contact the
number listed in the application package of the grant you are applying for.
In March 2018, the General Services Administration (GSA) implemented fraud prevention
security measures in the System for Award Management (SAM) which required every new
contractor registrant to provide a written (hard copy), notarized letter confirming the entity's
Administrator that is authorized to register the entity in the SAM database, or to make changes to
its registration. Effective 29 April 2018, the notarized letter process is now mandatory on all
CURRENT registrants at SAM who have a requirement to update data on their SAM record.
The notarized letter is mandatory and is required before the GSA Federal Service
Desk (FSD) will activate the entity's registration. The Office of the Secretary of Defense and
GSA realizes the length of time needed to transmit, receive, process, and approve the notarized
letters presents a significant impact on the ability of the contracting activity to make timely
awards, but in order to mitigate the concern of fraud, these steps and the time needed for
processing, is unavoidable. Notarized letters are required for all new and existing SAM
registered Entities. The notarized letters must be postal service mailed (not emailed or faxed) to
the "Federal Service Desk" and must contain the information outlined in the SAM posted FAQ
at: (https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-
management/integrated-award-environment-iae/sam-updatemanagement/integrated-award-
environment-iae/sam-update). Instructions for domestic entities and instructions for
international entities with embedded templates for use are also provided within the SAM Update
notice with frequently asked questions at https://www.gsa.gov/about-us/organization/federal-
acquisition-service/office-of-systems-management/integrated-award-environment-iae/sam-
updateus/organization/federal-acquisition-service/office-of-systems-management/integrated-
award
II.D.4. Submission Dates and Times
This is a continuously open announcement through 31 July 2028; therefore, reviews occur
throughout the year. Pre-proposals may be submitted at any time throughout the 5-year period
noted above. An invited full proposal/application should be submitted within
60 days of the PI’s receipt of an invitation to submit. No pre-proposal/pre-application or full
proposal/application may be submitted under this BAA after 31 July 2028, 11:59 p.m. Eastern
Time. If an invited proposal/application is not submitted by 31 July 2028, 11:59 p.m. Eastern
Time, the applicant must wait for the next available opportunity for submission, i.e., the release
of the FY28 BAA (to be posted to Grants.gov 31 July 2028). No proposal/application received
under this BAA will be considered for funding after 24 months from the date of submission.
II.D.5. Funding Restrictions
The following limits on the duration and cost of research projects apply:
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
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Proposed projects longer than five (5) years will not be considered.
Most projects are anticipated to have a total cost between $2,000,000 and $10,000,000
(including indirect costs). Projects that have a total cost higher than $5,000,000 (including
Indirect costs) with outstanding scientific merit that meet a critical need may be accepted;
however, the total cost of these projects are not to exceed $10,000,000.00 (including Indirect
costs).
No budget will be approved by the Government exceeding $10,000,000.00 (including indirect
costs).
The total funding for this BAA will not exceed $50,000,000.00 (including indirect costs).
A budget should be commensurate with the nature and complexity of the proposed research.
Researchers should submit budgets that include the entire period of performance of the research
project. Budgets should include all direct and indirect costs, based on supportable, verifiable
estimates. The budget for the full proposal/application should not differ significantly from the
pre-proposal/pre-application budget summary form provided in the pre-proposal/pre-application
submission.
Offerors or Applicants seeking additional or continuation funding must submit new pre-
proposals and be invited to submit full proposals.
See the General Submission Instructions, Section III, for additional information regarding the
research and related budget.
All direct and indirect costs of any subaward, contract, or subcontract must be included in the
costs of the primary award.
The applicant may request the entire maximum funding amount for a project that may have a
period of performance less than the maximum five years.
For this award mechanism, direct costs may be requested for (not all inclusive):
• Salary
• Research – related subject costs
• Research supplies
• Support for multidisciplinary collaborations, including travel
• Travel costs
• Equipment
For extramural awards with an intragovernmental component, direct transfer of funds from an
extramural award recipient to a DoD or other Federal agency is not allowed. Funding to
intramural DoD and other Federal agencies will be managed through a direct fund transfer.
Intramural applicants are responsible for coordinating through their agency’s procedures the use
of contractual or assistance funding awards or other appropriate agreements to support
extramural collaborators.
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Refer to the General Submission Instructions, Section III. for budget regulations and instructions
for the Research & Related Budget. For Federal agencies or organizations collaborating with
Federal agencies, budget restrictions apply as are noted in the General Submission
Instructions, Section III.
For additional information refer to Section II.F.1, Federal Award Notices.
Funds to be obligated on any award resulting from this BAA will be available for use for a
limited time period based on the fiscal year of the funds. Awards will identify expiration of the
funds.
Refer to the General Submission Instructions, “Research & Related Budget,” for discussion of
allowable costs, including pre-award costs and collaborations with Military Facilities.
II.D.6. Other Submission Requirements
Refer to the General Submission Instructions, Appendix 4, for detailed formatting guidelines on
submission.
II.E. Proposal/Application Review Information
II.E.1. Criteria
II.E.1.a. Peer Review
To determine technical merit, all proposals will be evaluated according to the following scored
criteria, which are listed in descending order of importance:
• Research Objectives: The degree to which the stated objectives are clear, valid, and logical.
For development of devices and technologies, the degree to which the performance
objectives are plausible; the proposed effort demonstrates familiarity with the historical
background of the problem and previous/current solutions; and the awareness of similar
projects previously undertaken and related activities. The extent that the proposed research
projects demonstrate an innovative approach and relate to the Research Areas of Interest
identified in Section II.A.
• Scientific Design Excellence: The degree to which proposed plans, methods, techniques and
procedures are feasible, clear, valid, adequately referenced, and state-of-the-art. The merit of
the statistical features of the study. The extent to which literature searches were used to
document the strengths of the proposed project. For development of devices and
technologies, the feasibility of the proposed prototype/technology development plan; how
well the engineering/technical design is likely to achieve the goals indicated; adequacy of the
engineering/design solutions; and how well the perceived engineering/design strengths and
flaws are addressed.
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• Impact/Outcomes: The potential impact of the research in the field, the significance of this
impact, and when it can be anticipated. For development of devices and technologies, the
potential translation, implementation, and/or commercial use for the prototype/technology
being developed.
• Budget: The degree to which the budget reflects the actual needs of the proposed work, is
thoroughly detailed and fully justified so that the government can evaluate and determine the
cost commensurate with the complexity and nature of the research proposed.
• PI and Key Personnel Qualifications: The qualifications, capabilities, and experience of
the proposed PI and other key personnel to demonstrate that the proposed staff has the
knowledge, technical expertise, and management skills to achieve the proposed objectives as
well as the time available for the percentage of efforts indicated for the project.
• Facilities: The proposed facilities and equipment, or unique combinations of these, to
demonstrate that the organization has the necessary facilities required for the accomplishing
the proposed objectives.
II.E.1.b. Programmatic Review
To make funding recommendations and select the proposal(s)/application(s) that, individually or
collectively, will best achieve the program objectives, the following criteria are used by
programmatic reviewers:
• Scientific peer review results
• SOF Relevance (mission, health, medicine, and beneficiaries)
• Portfolio balance
• Programmatic priorities
II.E.2. Proposal/Application Review and Selection Process
All invited proposals are evaluated by USSOCOM scientists, other federal agency
representatives, outside scientists with diverse expertise, clinicians, consumers, or combinations
thereof, using a two-tier review process. The first tier is peer review of proposals against
established criteria for determining technical merit. Each proposal/application is evaluated for
its own merit, independent of other proposals. The second tier is a programmatic review that
makes recommendations for funding, based on established criteria for determining relevance to
the mission of the USSOCOM and its programs. Programmatic review is a comparison-based
process in which proposals with scientific and technical merit compete in a common pool. The
highest-scoring proposals from the first tier of review are not automatically recommended for
funding. Funding recommendations depend on various factors as described in Section II.E.
Programmatic Review.
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After the two-tier evaluation, proposals recommended for funding may be prioritized. A
prioritized listing of alternates (deferred decisions) may also be prepared, when warranted.
Subsequent awards depend upon the availability of funds and fulfillment of requirements and
priorities determined to exist at the time of award. In some cases, funding priorities may change
as certain scientific tasks are addressed and new mission assignments arise.
If selected for funding, the award may also be dependent upon the organization providing
adequate additional regulatory documentation, such as human subjects/anatomical
substances/use of cadavers’ protocols and approvals, animal subjects’ protocols and approvals,
and environmental information. The award may also be dependent upon additional supporting
administrative and budgetary information.
IAW FAR 35.016(e), “The primary basis for selecting proposals for acceptance shall be
technical, importance to agency programs, and fund availability. Cost realism and
reasonableness shall also be considered to the extent appropriate”.
All USSOCOM review processes are conducted confidentially to maintain the integrity of the
merit-based selection process. Panel members sign a statement that proposal/application and
evaluation information will not be disclosed outside the panel. Violations of confidentiality can
result in the dissolving of a panel(s) and other corrective actions. In addition, personnel at the
Applicant or collaborating organizations are prohibited from contacting persons involved in the
review and approval process to gain protected evaluation information or to influence the
evaluation process. Violations of these prohibitions will result in the administrative withdrawal
of the organization’s proposal/application. Violations by panel members or applicants that
compromise the confidentiality of the review and approval process may also result in suspension
or debarment from federal awards. Furthermore, the unauthorized disclosure of confidential
information of one party to another third party is a crime in accordance with 18 USC 1905.
II.E.3. Integrity and Performance Information
Prior to making an award where the Federal share is expected to exceed the simplified
acquisition threshold (currently $250,000) over the period of performance, the Federal awarding
agency is required to review and consider any information about the applicant that is available in
the SAM.gov Responsibility/Qualification (R/Q).
An applicant organization may review R/Q, accessible through SAM, and submit comments to
R/Q on any information about the organization that a Federal awarding agency previously
entered and is currently available in R/Q.
The Federal awarding agency will consider any comments by the applicant, in addition to 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
determining an organization’s qualification prior to award, according to the qualification
standards of the FAR.
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II.E.4. Anticipated Announcement and Federal Award Dates
Each PI and organization will receive email notification via eBRAP of the funding
recommendation. Notifications should be sent within 180 days of submission. Each PI will
receive a peer review summary statement on the strengths and weaknesses of the
proposal/application.
II.F. Federal Award Administration Information
II.F.1. Federal Award Notices
The PI should receive disposition regarding the full proposal/application via an email from
eBRAP within 180 days of submission. A recommended for funding notification is NOT an
authorization to begin performance nor a guarantee of an award.
The awarding agency will be the USAMRAA. The USAMRAA Contracting Officers are the
only individuals authorized to obligate funds and bind the Federal Government.
Authorization to begin performance will be received via an award document (contract,) signed
by the USAMRAA Contracting Officer. No commitment on the part of the Government should
be inferred from discussions with any other individual.
Awards will be made at any time throughout the year and are contingent upon availability of
funding, adequacy of supporting documentation submitted, fulfillment of requirements, and
completion of successful negotiations. No proposal/application submitted under this BAA will
be considered for funding after 24 months from the date of submission to Grants.gov.
Refer to the General Submission Instructions, Appendix 2, Section D, Award Notices, for
additional information. Refer to the full text of the USAMRAA General Research Terms and
Conditions for Institutions of Higher Education, Hospitals, and Non-Profit Organizations and the
USAMRAA General Research Terms and Conditions for For-Profit Organizations available at
http://www.usamraa.army.mil/Pages/Resources.aspx for further information.
II.F.1.a. PI Changes and Award Transfers
Refer to the General Submission Instructions, Appendix 2 for general information on changes to
PIs and organizational transfers.
Should the PI of a funded project leave the award organization, both the PI and organization
must contact the USAMRAA Contracting Officer as soon as possible to discuss options for
continued support of the research project. Every effort should be made to notify the USAMRAA
prior to the PI leaving the organization. An organizational transfer of an Assistance Agreement
award will not be allowed in the last year of the (original) period of performance or any
extension thereof. An organizational transfer of a Contract award will not be allowed.
II.F.2. Administrative and National Policy Requirements
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Applicable requirements in the FAR, found in 48 CFR, Chapter 1, DFARS, found in 48 CFR
Chapter 2, and AFARS, found in 48 CFR Chapter 51, apply to contracts resulting from this
BAA.
Refer to the General Submission Instructions, Appendix 2, for general information regarding
administrative requirements.
Refer to the General Submission Instructions, Appendix 5, for general information regarding
national policy requirements.
Refer to full text of the USAMRAA General Research Terms and Conditions with Institutions of
Higher Education, Hospitals, and Non-Profit Organizations: Addendum to the DoD R&D Terms
and Conditions and the USAMRAA General Research Terms and Conditions with For-Profit
Organizations for further information.
II.F.3. Reporting
Refer to the General Submission Instructions, Appendix 2, Section A, for general information on
reporting requirements. If there are technical reporting requirement delinquencies for any
existing USSOCOM-sponsored awards at the applicant organization, no new awards will be
issued to the applicant organization until all delinquent reports have been submitted.
technical progress reports and quad charts will be required with frequency determined at the
contract level.
• quad charts including:
○ Objective, measurable, and easily independently verifiable assessment of metrics to
measure progress regarding project cost, schedule, performance, risk, and opportunity.
○ Risk and opportunity assessment of project cost, schedule, and performance. Risk
assessments will use objective, measurable, and easily independently verifiable metrics;
mitigation plans; triggering event; latest potential successful mitigation date; and impacts
of unmitigated risks. Opportunity assessments will use objective, measurable and easily
independently verifiable metrics; exploitation plans; triggering event; latest potential
successful exploitation; and impact of successful opportunity exploitation.
○ Integrated project Gantt chart with all progress to date, supported by the cost,
performance, risk, and opportunity assessments.
○ Budget chart with burn rate, demonstrating funding expended against time, funds
remaining, and planned expense plan through the rest of the project schedule against
planned milestones.
• technical reports including the following:
○ Full description of architecture and content of new interoperable component, description
of scenarios developed, results and method of pilot study.
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○ A report, document, or list of the terminology and respective definitions used for the
variables, metrics, and evaluation criteria and how they were deconstructed. It must
provide the measuring tools and, if needed, how they were used to obtain the
metric/evaluation criteria. Objective measurements are preferred, but subjective
measurements that have rigorous reliability, repeatability, and robustness will be
considered.
○ Explanation, including definitions and descriptions, of TRIAGE determinants of
performance and agility. A report or document with the information and analyzed data of
the actual postulated variables, metrics, and evaluation criteria.
○ Analyzed pilot study data and the specific aims, methodologies, sample and sample size,
inter-rater reliability, assessment criteria, statistical methods, analyzed results,
conclusions, and potential next-step recommendations.
○ Completion of preliminary/pilot empirical evaluation of the developed proof-of-concept;
○ A description of the components of the proof-of-concept that are proprietary and ones
that are open source/open architecture. Explanation of Government rights and/or
proposed pricing structure to the Government (if applicable).
○ Documentation of the translational parameters and the respective definitions (if
applicable).
○ Description of the gaps that were uncovered during this research as it pertains to the
success or improvement measured and an outline of anticipated next steps or
recommendations.
II.G. Federal Awarding Agency Contacts
II.G.1. eBRAP Help Desk
Questions related to BAA content or submission requirements as well as questions related to the
submission of the pre-proposal/pre-application through eBRAP should be directed to the eBRAP
Help Desk, which is available Monday through Friday from 8:00 a.m. to 5:00 p.m. Eastern Time.
Response times may vary depending upon the volume of inquiries.
Phone: 301-682-5507
Email: help@eBRAP.org
II.G.2. Grants.gov Contact Center
Questions related to extramural full proposal/application submission through the Grants.gov
portal should be directed to the Grants.gov Contact Center, which is available 24 hours a day, 7
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
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days a week (closed on U.S. federal holidays). Note that the eBRAP Help Desk is unable to
provide technical assistance with Grants.gov submission.
Phone: 800-518-4726; International 1-606-545-5035
Email: support@grants.gov
Sign up on Grants.gov for “send me change notification emails” by following the link on the
Synopsis page for the BAA or by responding to the prompt provided by Grants.gov when first
downloading the submission package. If the submission package is updated or changed, the
original version of the Application package may not be accepted by Grants.gov.
II.H. Other Information
II.H.1. Administrative Actions
After agency receipt of pre-proposals or proposals, the following administrative actions may
occur:
II.H.1.a. Rejection
The following will result in administrative rejection of the pre-proposal/pre-application:
• Project narrative exceeds page limit.
• Project narrative is missing.
• Budget form contains only zeros.
• Quad Chart is missing.
The following will result in administrative rejection of the proposal/application:
• Submission of an application for which a letter of invitation was not received.
• Project Narrative exceeds page limit.
• Project Narrative is missing.
• Budget is missing.
II.H.1.b. Modification
• Pages exceeding the specific limits will be removed prior to review for all documents other
than the pre-proposal narrative and project narrative.
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• Documents not requested will be removed.
• Following proposal/application submission to Grants.gov, the PI will receive an email
request from eBRAP to review, modify, and verify the proposal/application submitted to
Grants.gov. During this verification period, the PI may upload missing documents (refer to
II.H.I.a, rejection), replace files, and re-categorize files. These modifications must be
completed by the end of the application verification period; otherwise, the
proposal/application will be reviewed as submitted
II.H.1.c. Withdrawal
The following may result in administrative withdrawal of the pre-proposal/pre-application or
proposal/application:
• Federal agency personnel involved in the review process and/or with making funding
recommendations are named as being involved in the research proposed or found to
have assisted in the pre-proposal/pre-application or proposal/application processes,
including, but not limited to, concept design, proposal/application development, budget
preparation, and the development of any supporting documentation. If formal
collaboration with Military Facility personnel is planned (i.e., included in the
proposal/application in performance of the research), this prohibition is not
applicable. However, these Military Facility personnel are prohibited from being
involved in the review process and/or with making funding recommendations.
• Inclusion of URLs, with the exception of links in References Cited and Publication
and/or Patent Abstract sections.
• Page size is larger than 8.5 inches x 11.0 inches (approximately 21.59 cm x 27.94 cm).
• Personnel from applicant or collaborating organizations are found to have contacted
persons involved in the review process to gain protected evaluation information or to
influence the evaluation process.
• Full proposals from extramural organizations, including non-DoD Federal agencies,
received through eBRAP may be withdrawn.
• The full proposal/application does not propose the same research project as described in
the pre-proposal/pre-application.
• The full proposal/application budget differs significantly from the budget included in
the pre-proposal/pre-application.
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• A proposal submitted by a PI who does not meet the eligibility criteria will be
withdrawn.
II.H.1.d. Withhold
Proposals that appear to involve research misconduct will be administratively withheld from
further consideration pending organizational investigation. The organization will be required to
provide the findings of the investigation to the USAMRAA Contracting
Officer for a determination of the final disposition of the proposal/application.
II.H.2. Proposal/Application Submission Checklist
Grants.gov Submission Upload
Action Completed
Package Components Order
SF-424 (R&R)
Application for Federal Complete as instructed.
Assistance
Project Narrative: Upload as Attachment 1 with file name
1
“ProjectNarrative.pdf.”
Supporting Documentation: Upload as Attachment 2 with
2
file name “Support.pdf.”
Technical Abstract: Upload as Attachment 3 with file
3
name “TechAbs.pdf.”
Lay Abstract: Upload as Attachment 4 with file name
4
“LayAbs.pdf.”
Statement of Work: Upload as Attachment 5 with file
5
name “SOW.pdf.
Outcomes and Impact Statement: Upload as Attachment 6
6
with file name “Impact.pdf.”
Attachments Form
Innovation Statement: Upload as Attachment 7 with file
7
name “Innovation.pdf.”
Data and Research Resource-Sharing Plan: Upload as
8
Attachment 8 with the file name “Sharing.pdf.”
Conflicts of Interest: Upload as Attachment 9 with file
9
name “COI.pdf,” if applicable.
Data Management: Upload as Attachment 10 with file
10
name “DataManage.pdf.”
Post-Award Project Transition Plan: Upload as Attachment
11
11 with file name “Transition.pdf.”
Collaborating DoD Military Facility Budget
12 Form(s): Upload as Attachment 12 with the file
name “MFBudget.pdf,” if applicable.
Research & Related Complete as instructed.
Personal Data
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[Document continues — 2 more pages]

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HT9425-23-S-SOC1-0002 Sample Clause List

DOCUMENT NUMBER SPECIAL NOTICE
HT9425-23-S-SOC1 SAMPLE CLAUSE LIST
CLAUSES INCORPORATED BY REFERENCE
CLAUSE ALT NO/ YEAR-
CLAUSE TITLE SECTION
NO DEV NO MO
252.201-7000 Contracting Officer's Representative. 1991-12 SEC G
Requirements Relating to Compensation of Former DoD
252.203-7000 2011-09 SEC I
Officials.
252.203-7002 Requirement to Inform Employees of Whistleblower Rights. 2013-09 SEC I
Payment for Contract Line or Subline Items Not Separately
252.204-7002 2020-04 SEC G
Priced.
252.204-7003 Control of Government Personnel Work Product. 1992-04 SEC I
252.204-7004 Antiterrorism Awareness Training for Contractors. 2019-02 SEC I
Safeguarding Covered Defense Information and Cyber
252.204-7012 2019-12 SEC I
Incident Reporting.
Notice of Authorized Disclosure of Information for Litigation
252.204-7015 2016-05 SEC I
Support.
Prohibition on the Acquisition of Covered Defense
252.204-7018 2021-01 SEC I
Telecommunications Equipment or Services.
Prohibition on Storage, Treatment, and Disposal of Toxic or
252.223-7006 2014-09 SEC I
Hazardous Materials.
252.225-7001 Buy American and Balance of Payments Program. Qualifying 2017-12 SEC I
252.225-7002 Country Sources as Subcontractors. 2017-12 SEC I
252.225-7048 Export-Controlled Items. 2013-06 SEC I
252.227-7015 Technical Data--Commercial Items. 2014-02 SEC I
252.227-7016 Rights in Bid or Proposal Information. 2011-01 SEC I
252.227-7020 Rights in Special Works. 1995-06 SEC I
252.227-7030 Technical Data--Withholding of Payment. 2000-03 SEC I
252.227-7037 Validation of Restrictive Markings on Technical Data. 2016-09 SEC I
252.227-7039 Patents--Reporting of Subject Inventions. 1990-04 SEC I
Electronic Submission of Payment Requests and Receiving
252.232-7003 2018-12 SEC G
Reports.
252.232-7010 Levies on Contract Payments. 2006-12 SEC I
Accelerating Payments to Small Business Subcontractors-
252.232-7017 2020-04 SEC I
Prohibition on Fees and Consideration.
252.235-7011 Final Scientific or Technical Report. 2019-12 SEC I
Prohibition on Interrogation of Detainees by Contractor
252.237-7010 2013-06 SEC I
Personnel.
252.243-7001 Pricing of Contract Modifications. 1991-12 SEC I
252.244-7000 Subcontracts for Commercial Items. 2020-10 SEC I
Prohibition on Requiring Certain Internal Confidentiality
52.203-19 2017-01 SEC I
Agreements or Statements.
52.204-13 System for Award Management Maintenance. Incorporation 2018-10 SEC I
by Reference of Representations and Certifications.
52.204-19 2014-12 SEC I
Prohibition on Contracting for Hardware, Software, and
Services Developed or Provided by Kaspersky Lab and Other
52.204-23 Covered Entities. 2018-07 SEC I
Prohibition on Contracting for Certain Telecommunications
and Video Surveillance Services or Equipment.
52.204-25 2020-08 SEC I
Personal Identity Verification of Contractor Personnel.
52.204-9 Prohibition on Contracting with Inverted Domestic 2011-01 SEC I
Corporations.
52.209-10 2015-11 SEC I
Order of Precedence-Uniform Contract Format.
52.215-8 1997-10 SEC I
Page 1 of 29

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52.222-21 Prohibition of Segregated Facilities. 2015-04 SEC I
52.222-26 Equal Opportunity. 2016-09 SEC I
52.222-50 Combating Trafficking in Persons. 2020-10 SEC I
Exemption from Application of the Service Contract Labor
52.222-51 Standards to Contracts for Maintenance, Calibration, or Repair 2014-05 SEC I
of Certain Equipment-Requirements.
Exemption from Application of the Service Contract Labor
52.222-53 2014-05 SEC I
Standards to Contracts for Certain Services-Requirements.
Encouraging Contractor Policies to Ban Text Messaging While
52.223-18 2020-06 SEC I
Driving.
52.223-19 Compliance with Environmental Management Systems. 2011-05 SEC I
52.223-5 Pollution Prevention and Right-to-Know Information. 2011-05 SEC I
52.225-13 Restrictions on Certain Foreign Purchases. 2021-02 SEC I
52.230-2 Cost Accounting Standards. 2020-06 SEC I
52.230-6 Administration of Cost Accounting Standards. 2010-06 SEC I
Payment by Electronic Funds Transfer-System for Award
52.232-33 2018-10 SEC I
Management.
52.232-39 Unenforceability of Unauthorized Obligations. 2013-06 SEC I
Providing Accelerated Payments to Small Business
52.232-40 2013-12 SEC I
Subcontractors.
52.233-1 Disputes. 2014-05 SEC I
52.233-3 Protest after Award. 1996-08 SEC I
52.233-4 Applicable Law for Breach of Contract Claim. 2004-10 SEC I
52.242-15 Stop-Work Order. 1989-08 SEC F
52.243-1 ALT I Changes-Fixed-Price. - (Alternate I) 1987-08 SEC I
52.243-1 ALT V Changes-Fixed-Price. - (Alternate V) 1987-08 SEC I
52.244-6 Subcontracts for Commercial Items. 2021-07 SEC I
52.246-9 Inspection of Research and Development (Short Form). 1984-04 SEC E
52.247-34 F.o.b. Destination. 1991-11 SEC F
Termination for Convenience of the Government (Fixed-Price)
52.249-1 1984-04 SEC I
(Short Form).
Notice of Price Evaluation Preference for HUBZone Small
52.219-4 2021-09 SEC I
Business Concerns.
Ensuring Adequate COVID-19 Safety Protocols for Federal
252.223-7999 DEV 2021-O0009 2021-10 SEC I
Contractors (Deviation 2021-O0009)
252.245-7005 Management and Reporting of Government Property 2024-01 SEC I
252.225-7060 Prohibition on Certain Procurements from the Xinjiang 2023-06 SEC I
Uyghur Autonomous Region
CLAUSES IN FULL TEXT
CLAUSE ALT NO/ YEAR-
CLAUSE TITLE
NO DEV NO MO
CLAUSE TEXT
52.232-1 Payments. 1984-04
As prescribed in 32.111(a)(1), insert the following clause, appropriately modified with respect to
payment due date in accordance with agency regulations, in solicitations and contracts when a fixed-
price supply contract, a fixed-price service contract, or a contract for nonregulated communication
services is contemplated:
Payments (APR 1984)
The Government shall pay the Contractor, upon the submission of proper invoices or vouchers, the
prices stipulated in this contract for supplies delivered and accepted or services rendered and accepted,
less any deductions provided in this contract. Unless otherwise specified in this contract, payment shall
be made on partial deliveries accepted by the Government if-
(a) The amount due on the deliveries warrants it; or
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(b) The Contractor requests it and the amount due on the deliveries is at least $1,000 or 50 percent
of the total contract price.
(End of clause)
52.232-11 Extras. 1984-04
As prescribed in 32.111(c)(2), insert the following clause, appropriately modified with respect to
payment due dates in accordance with agency regulations, in solicitations and contracts when a fixed-
price supply contract, fixed-price service contract, or transportation contract is contemplated:
Extras (APR 1984)
Except as otherwise provided in this contract, no payment for extras shall be made unless such extras
and the price therefor have been authorized in writing by the Contracting Officer.
(End of clause)
Payments under Fixed-Price Research and Development
52.232-2 1984-04
Contracts.
As prescribed in 32.111(a)(2), insert the following clause, as appropriately modified with respect to
payment due dates in accordance with agency regulations, in solicitations and contracts when a fixed-
price research and development contract is contemplated:
Payments under Fixed-Price Research and Development Contracts (APR 1984)
The Government shall pay the Contractor, upon submission of proper invoices or vouchers, the prices
stipulated in this contract for work delivered or rendered and accepted, less any deductions provided in
this contract. Unless otherwise specified, payment shall be made upon acceptance of any portion of the
work delivered or rendered for which a price is separately stated in the contract.
(End of clause)
52.232-25 Prompt Payment. 2017-01
As prescribed in 32.908(c), insert the following clause:
Prompt Payment (JAN 2017)
Notwithstanding any other payment clause in this contract, the Government will make invoice
payments under the terms and conditions specified in this clause. The Government considers payment as
being made on the day a check is dated or the date of an electronic funds transfer (EFT). Definitions of
pertinent terms are set forth in sections 2.101, 32.001, and 32.902 of the Federal Acquisition Regulation.
All days referred to in this clause are calendar days, unless otherwise specified. (However, see paragraph
(a)(4) of this clause concerning payments due on Saturdays, Sundays, and legal holidays.)
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(a) Invoice payments-(1) Due date.(i) Except as indicated in paragraphs (a)(2) and (c) of this
clause, the due date for making invoice payments by the designated payment office is the later of the
following two events:
(A) The 30 thday after the designated billing office receives a proper invoice from the
Contractor (except as provided in paragraph (a)(1)(ii) of this clause).
(B) The 30 thday after Government acceptance of supplies delivered or services
performed. For a final invoice, when the payment amount is subject to contract settlement actions,
acceptance is deemed to occur on the effective date of the contract settlement.
(ii) If the designated billing office fails to annotate the invoice with the actual date of
receipt at the time of receipt, the invoice payment due date is the 30 thday after the date of the
Contractor’s invoice, provided the designated billing office receives a proper invoice and there is no
disagreement over quantity, quality, or Contractor compliance with contract requirements.
(2) Certain food products and other payments.(i) Due dates on Contractor invoices for meat,
meat food products, or fish; perishable agricultural commodities; and dairy products, edible fats or oils,
and food products prepared from edible fats or oils are-
(A) For meat or meat food products, as defined in section 2(a)(3) of the Packers and
Stockyard Act of1921 (7 U.S.C.182(3)), and as further defined in Pub.L.98-181, including any edible
fresh or frozen poultry meat, any perishable poultry meat food product, fresh eggs, and any perishable
egg product, as close as possible to, but not later than, the 7 thday after product delivery.
(B) For fresh or frozen fish, as defined in section 204(3) of the Fish and Seafood
Promotion Act of1986 (16 U.S.C.4003(3)), as close as possible to, but not later than, the 7 thday after
product delivery.
(C) For perishable agricultural commodities, as defined in section 1(4) of the Perishable
Agricultural Commodities Act of1930 (7 U.S.C.499a(4)), as close as possible to, but not later than, the
10 thday after product delivery, unless another date is specified in the contract.
(D) For dairy products, as defined in section 111(e) of the Dairy Production Stabilization
Act of1983 (7 U.S.C.4502(e)), edible fats or oils, and food products prepared from edible fats or oils, as
close as possible to, but not later than, the 10 thday after the date on which a proper invoice has been
received. Liquid milk, cheese, certain processed cheese products, butter, yogurt, ice cream, mayonnaise,
salad dressings, and other similar products, fall within this classification. Nothing in the Act limits this
classification to refrigerated products. When questions arise regarding the proper classification of a
specific product, prevailing industry practices will be followed in specifying a contract payment due
date. The burden of proof that a classification of a specific product is, in fact, prevailing industry practice
is upon the Contractor making the representation.
(ii) If the contract does not require submission of an invoice for payment (e.g., periodic
lease payments), the due date will be as specified in the contract.
(3) Contractor's invoice. The Contractor shall prepare and submit invoices to the designated
billing office specified in the contract. A proper invoice must include the items listed in paragraphs (a)(3)
(i) through (a)(3)(x) of this clause. If the invoice does not comply with these requirements, the
designated billing office will return it within 7 days after receipt (3 days for meat, meat food products, or
fish; 5 days for perishable agricultural commodities, dairy products, edible fats or oils, and food products
prepared from edible fats or oils), with the reasons why it is not a proper invoice. The Government will
take into account untimely notification when computing any interest penalty owed the Contractor.
(i) Name and address of the Contractor.
(ii) Invoice date and invoice number. (The Contractor should date invoices as close as
possible to the date of the mailing or transmission.)
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(iii) Contract number or other authorization for supplies delivered or services performed
(including order number and line item number).
(iv) Description, quantity, unit of measure, unit price, and extended price of supplies
delivered or services performed.
(v) Shipping and payment terms (e.g., shipment number and date of shipment, discount for
prompt payment terms). Bill of lading number and weight of shipment will be shown for shipments on
Government bills of lading.
(vi) Name and address of Contractor official to whom payment is to be sent (must be the
same as that in the contract or in a proper notice of assignment).
(vii) Name (where practicable), title, phone number, and mailing address of person to notify
in the event of a defective invoice.
(viii) Taxpayer Identification Number (TIN). The Contractor shall include its TIN on the
invoice only if required elsewhere in this contract.
(ix) Electronic funds transfer (EFT) banking information.
(A) The Contractor shall include EFT banking information on the invoice only if
required elsewhere in this contract.
(B) If EFT banking information is not required to be on the invoice, in order for the
invoice to be a proper invoice, the Contractor shall have submitted correct EFT banking information in
accordance with the applicable solicitation provision (e.g., 52.232-38, Submission of Electronic Funds
Transfer Information with Offer), contract clause (e.g., 52.232-33, Payment by Electronic Funds
Transfer-System for Award Management, or 52.232-34, Payment by Electronic Funds Transfer-Other
Than System for Award Management), or applicable agency procedures.
(C) EFT banking information is not required if the Government waived the requirement
to pay by EFT.
(x) Any other information or documentation required by the contract (e.g., evidence of
shipment).
(4) Interest penalty. The designated payment office will pay an interest penalty automatically,
without request from the Contractor, if payment is not made by the due date and the conditions listed in
paragraphs (a)(4)(i) through (a)(4)(iii) of this clause are met, if applicable. However, when the due date
falls on a Saturday, Sunday, or legal holiday, the designated payment office may make payment on the
following working day without incurring a late payment interest penalty.
(i) The designated billing office received a proper invoice.
(ii) The Government processed a receiving report or other Government documentation
authorizing payment, and there was no disagreement over quantity, quality, or Contractor compliance
with any contract term or condition.
(iii) In the case of a final invoice for any balance of funds due the Contractor for supplies
delivered or services performed, the amount was not subject to further contract settlement actions
between the Government and the Contractor.
(5) Computing penalty amount. The Government will compute the interest penalty in
accordance with the Office of Management and Budget prompt payment regulations at 5 CFR Part 1315.
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(i) For the sole purpose of computing an interest penalty that might be due the Contractor,
Government acceptance is deemed to occur constructively on the 7 thday (unless otherwise specified in
this contract) after the Contractor delivers the supplies or performs the services in accordance with the
terms and conditions of the contract, unless there is a disagreement over quantity, quality, or Contractor
compliance with a contract provision. If actual acceptance occurs within the constructive acceptance
period, the Government will base the determination of an interest penalty on the actual date of
acceptance. The constructive acceptance requirement does not, however, compel Government officials to
accept supplies or services, perform contract administration functions, or make payment prior to
fulfilling their responsibilities.
(ii) The prompt payment regulations at 5 CFR1315.10(c) do not require the Government to
pay interest penalties if payment delays are due to disagreement between the Government and the
Contractor over the payment amount or other issues involving contract compliance, or on amounts
temporarily withheld or retained in accordance with the terms of the contract. The Government and the
Contractor shall resolve claims involving disputes and any interest that may be payable in accordance
with the clause at FAR 52.233-1, Disputes.
(6) Discounts for prompt payment. The designated payment office will pay an interest penalty
automatically, without request from the Contractor, if the Government takes a discount for prompt
payment improperly. The Government will calculate the interest penalty in accordance with the prompt
payment regulations at 5 CFR Part 1315.
(7) Additional interest penalty.(i) The designated payment office will pay a penalty amount,
calculated in accordance with the prompt payment regulations at 5 CFR Part 1315 in addition to the
interest penalty amount only if-
(A) The Government owes an interest penalty of $1 or more;
(B) The designated payment office does not pay the interest penalty within 10 days after
the date the invoice amount is paid; and
(C) The Contractor makes a written demand to the designated payment office for
additional penalty payment, in accordance with paragraph (a)(7)(ii) of this clause, postmarked not later
than 40 days after the invoice amount is paid.
(ii) (A) The Contractor shall support written demands for additional penalty payments with the
following data. The Government will not request any additional data. The Contractor shall-
(1) Specifically assert that late payment interest is due under a specific invoice, and
request payment of all overdue late payment interest penalty and such additional penalty as may be
required;
(2) Attach a copy of the invoice on which the unpaid late payment interest is due; and
(3) State that payment of the principal has been received, including the date of receipt.
(B) If there is no postmark or the postmark is illegible-
(1) The designated payment office that receives the demand will annotate it with the
date of receipt, provided the demand is received on or before the 40th day after payment was made; or
(2) If the designated payment office fails to make the required annotation, the
Government will determine the demand’s validity based on the date the Contractor has placed on the
demand, provided such date is no later than the 40th day after payment was made.
(iii) The additional penalty does not apply to payments regulated by other Government
regulations (e.g., payments under utility contracts subject to tariffs and regulation).
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(b) Contract financing payment. If this contract provides for contract financing, the Government
will make contract financing payments in accordance with the applicable contract financing clause.
(c) Fast payment procedure due dates. If this contract contains the clause at 52.213-1, Fast
Payment Procedure, payments will be made within 15 days after the date of receipt of the invoice.
(d) Overpayments. If the Contractor becomes aware of a duplicate contract financing or invoice
payment or that the Government has otherwise overpaid on a contract financing or invoice payment, the
Contractor shall-
(1) Remit the overpayment amount to the payment office cited in the contract along with a
description of the overpayment including the-
(i) Circumstances of the overpayment (e.g., duplicate payment, erroneous payment,
liquidation errors, date(s) of overpayment);
(ii) Affected contract number and delivery order number if applicable;
(iii) Affected line item or subline item, if applicable; and
(iv) Contractor point of contact.
(2) Provide a copy of the remittance and supporting documentation to the Contracting Officer.
(End of clause)
52.232-8 Discounts for Prompt Payment. 2002-02
As prescribed in 32.111(b)(1), insert the following clause:
Discounts for Prompt Payment (FEB 2002)
(a) Discounts for prompt payment will not be considered in the evaluation of offers. However, any
offered discount will form a part of the award, and will be taken if payment is made within the discount
period indicated in the offer by the offeror. As an alternative to offering a discount for prompt payment
in conjunction with the offer, offerors awarded contracts may include discounts for prompt payment on
individual invoices.
(b) In connection with any discount offered for prompt payment, time shall be computed from the
date of the invoice. If the Contractor has not placed a date on the invoice, the due date shall be calculated
from the date the designated billing office receives a proper invoice, provided the agency annotates such
invoice with the date of receipt at the time of receipt. For the purpose of computing the discount earned,
payment shall be considered to have been made on the date that appears on the payment check or, for an
electronic funds transfer, the specified payment date. When the discount date falls on a Saturday,
Sunday, or legal holiday when Federal Government offices are closed and Government business is not
expected to be conducted, payment may be made on the following business day.
(End of clause)
252.227-7013 Rights in Technical Data--Noncommercial Items. 2014-02
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As prescribed in 227.7103-6(a), use the following clause:
RIGHTS IN TECHNICAL DATA--NONCOMMERCIAL ITEMS (FEB 2014)
(a) Definitions. As used in this clause-
(1) "Computer data base" means a collection of data recorded in a form capable of being
processed by a computer. The term does not include computer software.
(2) "Computer program" means a set of instructions, rules, or routines recorded in a form that
is capable of causing a computer to perform a specific operation or series of operations.
(3) "Computer software" means computer programs, source code, source code listings, object
code listings, design details, algorithms, processes, flow charts, formulae and related material that would
enable the software to be reproduced, recreated, or recompiled. Computer software does not include
computer data bases or computer software documentation.
(4) "Computer software documentation" means owner's manuals, user's manuals, installation
instructions, operating instructions, and other similar items, regardless of storage medium, that explain
the capabilities of the computer software or provide instructions for using the software.
(5) "Covered Government support contractor" means a contractor (other than a litigation
support contractor covered by 252.204-7014) under a contract, the primary purpose of which is to furnish
independent and impartial advice or technical assistance directly to the Government in support of the
Government's management and oversight of a program or effort (rather than to directly furnish an end
item or service to accomplish a program or effort), provided that the contractor-
(i) Is not affiliated with the prime contractor or a first-tier subcontractor on the program
or effort, or with any direct competitor of such prime contractor or any such first-tier subcontractor in
furnishing end items or services of the type developed or produced on the program or effort; and
(ii) Receives access to technical data or computer software for performance of a
Government contract that contains the clause at 252.227-7025, Limitations on the Use or Disclosure of
Government-Furnished Information Marked with Restrictive Legends.
(6) "Detailed manufacturing or process data" means technical data that describe the steps,
sequences, and conditions of manufacturing, processing or assembly used by the manufacturer to
produce an item or component or to perform a process.
(7) "Developed" means that an item, component, or process exists and is workable. Thus, the
item or component must have been constructed or the process practiced. Workability is generally
established when the item, component, or process has been analyzed or tested sufficiently to demonstrate
to reasonable people skilled in the applicable art that there is a high probability that it will operate as
intended. Whether, how much, and what type of analysis or testing is required to establish workability
depends on the nature of the item, component, or process, and the state of the art. To be considered
"developed," the item, component, or process need not be at the stage where it could be offered for sale
or sold on the commercial market, nor must the item, component, or process be actually reduced to
practice within the meaning of Title 35 of the United States Code.
(8) "Developed exclusively at private expense" means development was accomplished
entirely with costs charged to indirect cost pools, costs not allocated to a government contract, or any
combination thereof.
(i) Private expense determinations should be made at the lowest practicable level.
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(ii) Under fixed-price contracts, when total costs are greater than the firm-fixed-price or
ceiling price of the contract, the additional development costs necessary to complete development shall
not be considered when determining whether development was at government, private, or mixed expense.
(9) "Developed exclusively with government funds" means development was not
accomplished exclusively or partially at private expense.
(10) "Developed with mixed funding" means development was accomplished partially with
costs charged to indirect cost pools and/or costs not allocated to a government contract, and partially
with costs charged directly to a government contract.
(11) "Form, fit, and function data" means technical data that describes the required overall
physical, functional, and performance characteristics (along with the qualification requirements, if
applicable) of an item, component, or process to the extent necessary to permit identification of
physically and functionally interchangeable items.
(12) "Government purpose" means any activity in which the United States Government is a
party, including cooperative agreements with international or multi-national defense organizations, or
sales or transfers by the United States Government to foreign governments or international organizations.
Government purposes include competitive procurement, but do not include the rights to use, modify,
reproduce, release, perform, display, or disclose technical data for commercial purposes or authorize
others to do so.
(13) "Government purpose rights" means the rights to-
(i) Use, modify, reproduce, release, perform, display, or disclose technical data within the
Government without restriction; and
(ii) Release or disclose technical data outside the Government and authorize persons to
whom release or disclosure has been made to use, modify, reproduce, release, perform, display, or
disclose that data for United States government purposes.
(14) "Limited rights" means the rights to use, modify, reproduce, release, perform, display, or
disclose technical data, in whole or in part, within the Government. The Government may not, without
the written permission of the party asserting limited rights, release or disclose the technical data outside
the Government, use the technical data for manufacture, or authorize the technical data to be used by
another party, except that the Government may reproduce, release, or disclose such data or authorize the
use or reproduction of the data by persons outside the Government if-
(i) The reproduction, release, disclosure, or use is-
(A) Necessary for emergency repair and overhaul; or
(B) A release or disclosure to-
(1) A covered Government support contractor in performance of its covered
Government support contract for use, modification, reproduction, performance, display, or release or
disclosure to a person authorized to receive limited rights technical data; or
(2) A foreign government, of technical data other than detailed manufacturing
or process data, when use of such data by the foreign government is in the interest of the Government
and is required for evaluational or informational purposes;
(ii) The recipient of the technical data is subject to a prohibition on the further
reproduction, release, disclosure, or use of the technical data; and
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(iii) The contractor or subcontractor asserting the restriction is notified of such
reproduction, release, disclosure, or use.
(15) "Technical data" means recorded information, regardless of the form or method of the
recording, of a scientific or technical nature (including computer software documentation). The term
does not include computer software or data incidental to contract administration, such as financial and/or
management information.
(16) "Unlimited rights" means rights to use, modify, reproduce, perform, display, release, or
disclose technical data in whole or in part, in any manner, and for any purpose whatsoever, and to have
or authorize others to do so.
(b) Rights in technical data. The Contractor grants or shall obtain for the Government the
following royalty free, world-wide, nonexclusive, irrevocable license rights in technical data other than
computer software documentation (see the Rights in Noncommercial Computer Software and
Noncommercial Computer Software Documentation clause of this contract for rights in computer
software documentation):
(1) Unlimited rights. The Government shall have unlimited rights in technical data that are-
(i) Data pertaining to an item, component, or process which has been or will be
developed exclusively with Government funds;
(ii) Studies, analyses, test data, or similar data produced for this contract, when the study,
analysis, test, or similar work was specified as an element of performance;
(iii) Created exclusively with Government funds in the performance of a contract that
does not require the development, manufacture, construction, or production of items, components, or
processes;
(iv) Form, fit, and function data;
(v) Necessary for installation, operation, maintenance, or training purposes (other than
detailed manufacturing or process data);
(vi) Corrections or changes to technical data furnished to the Contractor by the
Government;
(vii) Otherwise publicly available or have been released or disclosed by the Contractor or
subcontractor without restrictions on further use, release or disclosure, other than a release or disclosure
resulting from the sale, transfer, or other assignment of interest in the technical data to another party or
the sale or transfer of some or all of a business entity or its assets to another party;
(viii) Data in which the Government has obtained unlimited rights under another
Government contract or as a result of negotiations; or
(ix) Data furnished to the Government, under this or any other Government contract or
subcontract thereunder, with-
(A) Government purpose license rights or limited rights and the restrictive condition
(s) has/have expired; or
(B) Government purpose rights and the Contractor's exclusive right to use such data
for commercial purposes has expired.
(2) Government purpose rights.
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(i) The Government shall have government purpose rights for a five-year period, or such
other period as may be negotiated, in technical data-
(A) That pertain to items, components, or processes developed with mixed funding
except when the Government is entitled to unlimited rights in such data as provided in paragraphs (b)(1)
(ii) and (b)(1)(iv) through (b)(1)(ix) of this clause; or
(B) Created with mixed funding in the performance of a contract that does not
require the development, manufacture, construction, or production of items, components, or processes.
(ii) The five-year period, or such other period as may have been negotiated, shall
commence upon execution of the contract, subcontract, letter contract (or similar contractual instrument),
contract modification, or option exercise that required development of the items, components, or
processes or creation of the data described in paragraph (b)(2)(i)(B) of this clause. Upon expiration of
the five-year or other negotiated period, the Government shall have unlimited rights in the technical data.
(iii) The Government shall not release or disclose technical data in which it has
government purpose rights unless-
(A) Prior to release or disclosure, the intended recipient is subject to the non-
disclosure agreement at 227.7103-7 of the Defense Federal Acquisition Regulation Supplement
(DFARS); or
(B) The recipient is a Government contractor receiving access to the data for
performance of a Government contract that contains the clause at DFARS 252.227-7025, Limitations on
the Use or Disclosure of Government-Furnished Information Marked with Restrictive Legends.
(iv) The Contractor has the exclusive right, including the right to license others, to use
technical data in which the Government has obtained government purpose rights under this contract for
any commercial purpose during the time period specified in the government purpose rights legend
prescribed in paragraph (f)(2) of this clause.
(3) Limited rights.
(i) Except as provided in paragraphs (b)(1)(ii) and (b)(1)(iv) through (b)(1)(ix) of this
clause, the Government shall have limited rights in technical data-
(A) Pertaining to items, components, or processes developed exclusively at private
expense and marked with the limited rights legend prescribed in paragraph (f) of this clause; or
(B) Created exclusively at private expense in the performance of a contract that does
not require the development, manufacture, construction, or production of items, components, or
processes.
(ii) The Government shall require a recipient of limited rights data for emergency repair
or overhaul to destroy the data and all copies in its possession promptly following completion of the
emergency repair/overhaul and to notify the Contractor that the data have been destroyed.
(iii) The Contractor, its subcontractors, and suppliers are not required to provide the
Government additional rights to use, modify, reproduce, release, perform, display, or disclose technical
data furnished to the Government with limited rights. However, if the Government desires to obtain
additional rights in technical data in which it has limited rights, the Contractor agrees to promptly enter
into negotiations with the Contracting Officer to determine whether there are acceptable terms for
transferring such rights. All technical data in which the Contractor has granted the Government
additional rights shall be listed or described in a license agreement made part of the contract. The license
shall enumerate the additional rights granted the Government in such data.
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(iv) The Contractor acknowledges that-
(A) Limited rights data are authorized to be released or disclosed to covered
Government support contractors;
(B) The Contractor will be notified of such release or disclosure;
(C) The Contractor (or the party asserting restrictions as identified in the limited
rights legend) may require each such covered Government support contractor to enter into a non-
disclosure agreement directly with the Contractor (or the party asserting restrictions) regarding the
covered Government support contractor's use of such data, or alternatively, that the Contractor (or party
asserting restrictions) may waive in writing the requirement for a non-disclosure agreement; and
(D) Any such non-disclosure agreement shall address the restrictions on the covered
Government support contractor's use of the limited rights data as set forth in the clause at 252.227-7025,
Limitations on the Use or Disclosure of Government- Furnished Information Marked with Restrictive
Legends. The non-disclosure agreement shall not include any additional terms and conditions unless
mutually agreed to by the parties to the non-disclosure agreement.
(4) Specifically negotiated license rights. The standard license rights granted to the
Government under paragraphs (b)(1) through (b)(3) of this clause, including the period during which the
Government shall have government purpose rights in technical data, may be modified by mutual
agreement to provide such rights as the parties consider appropriate but shall not provide the
Government lesser rights than are enumerated in paragraph (a)(14) of this clause. Any rights so
negotiated shall be identified in a license agreement made part of this contract.
(5) Prior government rights. Technical data that will be delivered, furnished, or otherwise
provided to the Government under this contract, in which the Government has previously obtained rights
shall be delivered, furnished, or provided with the pre-existing rights, unless-
(i) The parties have agreed otherwise; or
(ii) Any restrictions on the Government's rights to use, modify, reproduce, release,
perform, display, or disclose the data have expired or no longer apply.
(6) Release from liability. The Contractor agrees to release the Government from liability for
any release or disclosure of technical data made in accordance with paragraph (a)(14) or (b)(2)(iii) of this
clause, in accordance with the terms of a license negotiated under paragraph (b)(4) of this clause, or by
others to whom the recipient has released or disclosed the data and to seek relief solely from the party
who has improperly used, modified, reproduced, released, performed, displayed, or disclosed Contractor
data marked with restrictive legends.
(c) Contractor rights in technical data. All rights not granted to the Government are retained by
the Contractor.
(d) Third party copyrighted data. The Contractor shall not, without the written approval of the
Contracting Officer, incorporate any copyrighted data in the technical data to be delivered under this
contract unless the Contractor is the copyright owner or has obtained for the Government the license
rights necessary to perfect a license or licenses in the deliverable data of the appropriate scope set forth
in paragraph (b) of this clause, and has affixed a statement of the license or licenses obtained on behalf
of the Government and other persons to the data transmittal document.
(e) Identification and delivery of data to be furnished with restrictions on use, release, or
disclosure.
(1) This paragraph does not apply to restrictions based solely on copyright.
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(2) Except as provided in paragraph (e)(3) of this clause, technical data that the Contractor
asserts should be furnished to the Government with restrictions on use, release, or disclosure are
identified in an attachment to this contract (the Attachment). The Contractor shall not deliver any data
with restrictive markings unless the data are listed on the Attachment.
(3) In addition to the assertions made in the Attachment, other assertions may be identified
after award when based on new information or inadvertent omissions unless the inadvertent omissions
would have materially affected the source selection decision. Such identification and assertion shall be
submitted to the Contracting Officer as soon as practicable prior to the scheduled date for delivery of the
data, in the following format, and signed by an official authorized to contractually obligate the
Contractor:
Identification and Assertion of Restrictions on the Government's Use, Release,
or Disclosure of Technical Data.
The Contractor asserts for itself, or the persons identified below, that the Government's
rights to use, release, or disclose the following technical data should be restricted-
Technical Data Name of Person
to be Furnished Basis for Asserted Rights Asserting
With Restrictions Assertion Category Restrictions**
____(LIST) ____(LIST) ____(LIST) ____(LIST)
*If the assertion is applicable to items, components, or processes developed at private
expense, identify both the data and each such item, component, or process.
**Generally, the development of an item, component, or process at private expense, either
exclusively or partially, is the only basis for asserting restrictions on the Government's rights to use,
release, or disclose technical data pertaining to such items, components, or processes. Indicate whether
development was exclusively or partially at private expense. If development was not at private expense,
enter the specific reason for asserting that the Government's rights should be restricted.
*Enter asserted rights category (e.g., government purpose license rights from a prior
contract, rights in SBIR data generated under another contract, limited or government purpose rights
under this or a prior contract, or specifically negotiated licenses).
**Corporation, individual, or other person, as appropriate.
Date ____
Printed Name and Title ____
____
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Signature ____
(End of identification and assertion)
(4) When requested by the Contracting Officer, the Contractor shall provide sufficient
information to enable the Contracting Officer to evaluate the Contractor's assertions. The Contracting
Officer reserves the right to add the Contractor's assertions to the Attachment and validate any listed
assertion, at a later date, in accordance with the procedures of the Validation of Restrictive Markings on
Technical Data clause of this contract.
(f) Marking requirements. The Contractor, and its subcontractors or suppliers, may only assert
restrictions on the Government's rights to use, modify, reproduce, release, perform, display, or disclose
technical data to be delivered under this contract by marking the deliverable data subject to restriction.
Except as provided in paragraph (f)(5) of this clause, only the following legends are authorized under
this contract: the government purpose rights legend at paragraph (f)(2) of this clause; the limited rights
legend at paragraph (f)(3) of this clause; or the special license rights legend at paragraph (f)(4) of this
clause; and/or a notice of copyright as prescribed under 17 U.S.C. 401 or 402.
(1) General marking instructions. The Contractor, or its subcontractors or suppliers, shall
conspicuously and legibly mark the appropriate legend on all technical data that qualify for such
markings. The authorized legends shall be placed on the transmittal document or storage container and,
for printed material, each page of the printed material containing technical data for which restrictions are
asserted. When only portions of a page of printed material are subject to the asserted restrictions, such
portions shall be identified by circling, underscoring, with a note, or other appropriate identifier.
Technical data transmitted directly from one computer or computer terminal to another shall contain a
notice of asserted restrictions. Reproductions of technical data or any portions thereof subject to asserted
restrictions shall also reproduce the asserted restrictions.
(2) Government purpose rights markings. Data delivered or otherwise furnished to the
Government with government purpose rights shall be marked as follows:
GOVERNMENT PURPOSE RIGHTS
Contract No.
____
Contractor Name
____
Contractor Address
____
____
Expiration Date
____
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The Government's rights to use, modify, reproduce, release, perform, display, or disclose
these technical data are restricted by paragraph (b)(2) of the Rights in Technical Data-Noncommercial
Items clause contained in the above identified contract. No restrictions apply after the expiration date
shown above. Any reproduction of technical data or portions thereof marked with this legend must also
reproduce the markings.
(End of legend)
(3) Limited rights markings. Data delivered or otherwise furnished to the Government with
limited rights shall be marked with the following legend:
LIMITED RIGHTS
Contract No.
____
Contractor Name
____
Contractor Address
____
____
The Government's rights to use, modify, reproduce, release, perform, display, or disclose
these technical data are restricted by paragraph (b)(3) of the Rights in Technical Data--Noncommercial
Items clause contained in the above identified contract. Any reproduction of technical data or portions
thereof marked with this legend must also reproduce the markings. Any person, other than the
Government, who has been provided access to such data must promptly notify the above named
Contractor.
(End of legend)
(4) Special license rights markings.
(i) Data in which the Government's rights stem from a specifically negotiated license
shall be marked with the following legend:
SPECIAL LICENSE RIGHTS
The Government's rights to use, modify, reproduce, release, perform, display, or disclose these data
are restricted by Contract No. ____(Insert contract number)____, License No. ____(Insert license
identifier)____. Any reproduction of technical data or portions thereof marked with this legend must
also reproduce the markings.
(End of legend)
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(ii) For purposes of this clause, special licenses do not include government purpose
license rights acquired under a prior contract (see paragraph (b)(5) of this clause).
(5) Pre-existing data markings. If the terms of a prior contract or license permitted the
Contractor to restrict the Government's rights to use, modify, reproduce, release, perform, display, or
disclose technical data deliverable under this contract, and those restrictions are still applicable, the
Contractor may mark such data with the appropriate restrictive legend for which the data qualified under
the prior contract or license. The marking procedures in paragraph (f)(1) of this clause shall be followed.
(g) Contractor procedures and records. Throughout performance of this contract, the Contractor
and its subcontractors or suppliers that will deliver technical data with other than unlimited rights, shall-
(1) Have, maintain, and follow written procedures sufficient to assure that restrictive
markings are used only when authorized by the terms of this clause; and
(2) Maintain records sufficient to justify the validity of any restrictive markings on technical
data delivered under this contract.
(h) Removal of unjustified and nonconforming markings.
(1) Unjustified technical data markings. The rights and obligations of the parties regarding
the validation of restrictive markings on technical data furnished or to be furnished under this contract
are contained in the Validation of Restrictive Markings on Technical Data clause of this contract.
Notwithstanding any provision of this contract concerning inspection and acceptance, the Government
may ignore or, at the Contractor's expense, correct or strike a marking if, in accordance with the
procedures in the Validation of Restrictive Markings on Technical Data clause of this contract, a
restrictive marking is determined to be unjustified.
(2) Nonconforming technical data markings. A nonconforming marking is a marking placed
on technical data delivered or otherwise furnished to the Government under this contract that is not in the
format authorized by this contract. Correction of nonconforming markings is not subject to the
Validation of Restrictive Markings on Technical Data clause of this contract. If the Contracting Officer
notifies the Contractor of a nonconforming marking and the Contractor fails to remove or correct such
marking within sixty (60) days, the Government may ignore or, at the Contractor's expense, remove or
correct any nonconforming marking.
(i) Relation to patents. Nothing contained in this clause shall imply a license to the Government
under any patent or be construed as affecting the scope of any license or other right otherwise granted to
the Government under any patent.
(j) Limitation on charges for rights in technical data.
(1) The Contractor shall not charge to this contract any cost, including, but not limited to,
license fees, royalties, or similar charges, for rights in technical data to be delivered under this contract
when-
(i) The Government has acquired, by any means, the same or greater rights in the data; or
(ii) The data are available to the public without restrictions.
(2) The limitation in paragraph (j)(1) of this clause-
(i) Includes costs charged by a subcontractor or supplier, at any tier, or costs incurred by
the Contractor to acquire rights in subcontractor or supplier technical data, if the subcontractor or
supplier has been paid for such rights under any other Government contract or under a license conveying
the rights to the Government; and
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(ii) Does not include the reasonable costs of reproducing, handling, or mailing the
documents or other media in which the technical data will be delivered.
(k) Applicability to subcontractors or suppliers.
(1) The Contractor shall ensure that the rights afforded its subcontractors and suppliers under
10 U.S.C. 2320, 10 U.S.C. 2321, and the identification, assertion, and delivery processes of paragraph (e)
of this clause are recognized and protected.
(2) Whenever any technical data for noncommercial items, or for commercial items
developed in any part at Government expense, is to be obtained from a subcontractor or supplier for
delivery to the Government under this contract, the Contractor shall use this same clause in the
subcontract or other contractual instrument, including subcontracts or other contractual instruments for
commercial items, and require its subcontractors or suppliers to do so, without alteration, except to
identify the parties. This clause will govern the technical data pertaining to noncommercial items or to
any portion of a commercial item that was developed in any part at Government expense, and the clause
at 252.227-7015 will govern the technical data pertaining to any portion of a commercial item that was
developed exclusively at private expense. No other clause shall be used to enlarge or diminish the
Government's, the Contractor's, or a higher-tier subcontractor's or supplier's rights in a subcontractor's or
supplier's technical data.
(3) Technical data required to be delivered by a subcontractor or supplier shall normally be
delivered to the next higher-tier contractor, subcontractor, or supplier. However, when there is a
requirement in the prime contract for data which may be submitted with other than unlimited rights by a
subcontractor or supplier, then said subcontractor or supplier may fulfill its requirement by submitting
such data directly to the Government, rather than through a higher-tier contractor, subcontractor, or
supplier.
(4) The Contractor and higher-tier subcontractors or suppliers shall not use their power to
award contracts as economic leverage to obtain rights in technical data from their subcontractors or
suppliers.
(5) In no event shall the Contractor use its obligation to recognize and protect subcontractor
or supplier rights in technical data as an excuse for failing to satisfy its contractual obligation to the
Government.
(End of clause)
252.232-7006 Wide Area WorkFlow Payment Instructions. 2018-12
As prescribed in 232.7004(b), use the following clause:
WIDE AREA WORKFLOW PAYMENT INSTRUCTIONS (DEC 2018)
(a) Definitions. As used in this clause-
"Department of Defense Activity Address Code (DoDAAC)" is a six position code that uniquely
identifies a unit, activity, or organization.
"Document type" means the type of payment request or receiving report available for creation in
Wide Area WorkFlow (WAWF).
"Local processing office (LPO)" is the office responsible for payment certification when payment
certification is done external to the entitlement system.
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"Payment request" and "receiving report" are defined in the clause at 252.232-7003, Electronic
Submission of Payment Requests and Receiving Reports.
(b) Electronic invoicing. The WAWF system provides the method to electronically process
vendor payment requests and receiving reports, as authorized by Defense Federal Acquisition Regulation
Supplement (DFARS) 252.232-7003, Electronic Submission of Payment Requests and Receiving
Reports.
(c) WAWF access. To access WAWF, the Contractor shall-
(1) Have a designated electronic business point of contact in the System for Award
Management at https://www.sam.gov; and
(2) Be registered to use WAWF at https://wawf.eb.mil/ following the step-by-step procedures
for self-registration available at this web site.
(d) WAWF training. The Contractor should follow the training instructions of the WAWF Web-
Based Training Course and use the Practice Training Site before submitting payment requests through
WAWF. Both can be accessed by selecting the "Web Based Training" link on the WAWF home page at
https://wawf.eb.mil/
(e) WAWF methods of document submission. Document submissions may be via web entry,
Electronic Data Interchange, or File Transfer Protocol.
(f) WAWF payment instructions. The Contractor shall use the following information when
submitting payment requests and receiving reports in WAWF for this contract or task or delivery order:
(1) Document type. The Contractor shall submit payment requests using the following
document type(s):
(i) For cost-type line items, including labor-hour or time-and-materials, submit a cost
voucher.
(ii) For fixed price line items-
(A) That require shipment of a deliverable, submit the invoice and receiving report
specified by the Contracting Officer.
____
(Contracting Officer: Insert applicable invoice and receiving report document type(s) for fixed price
line items that require shipment of a deliverable.)
(B) For services that do not require shipment of a deliverable, submit either the
Invoice 2in1, which meets the requirements for the invoice and receiving report, or the applicable
invoice and receiving report, as specified by the Contracting Officer.
____
(Contracting Officer: Insert either "Invoice 2in1" or the applicable invoice and receiving
report document type(s) for fixed price line items for services.)
(iii) For customary progress payments based on costs incurred, submit a progress
payment request.
(iv) For performance based payments, submit a performance based payment request.
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(v) For commercial item financing, submit a commercial item financing request.
(2) ) Fast Pay requests are only permitted when Federal Acquisition Regulation (FAR)
52.213-1 is included in the contract.
(f) [Note: The Contractor may use a WAWF "combo" document type to create some combinations
of invoice and receiving report in one step.]
(3) Document routing. The Contractor shall use the information in the Routing Data Table
below only to fill in applicable fields in WAWF when creating payment requests and receiving reports in
the system.
Routing Data Table*
Field Name in WAWF Data to be entered in WAWF
Pay Official DoDAAC ____
Issue By DoDAAC ____
Admin DoDAAC ____
Inspect By DoDAAC ____
Ship To Code ____
Ship From Code ____
Mark For Code ____
Service Approver (DoDAAC) ____
Service Acceptor (DoDAAC) ____
Accept at Other DoDAAC ____
LPO DoDAAC ____
DCAA Auditor DoDAAC ____
Other DoDAAC(s) ____
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(*Contracting Officer: Insert applicable DoDAAC information. If multiple ship to/acceptance
locations apply, insert "See Schedule" or "Not applicable.")
(**Contracting Officer: If the contract provides for progress payments or performance-based
payments, insert the DoDAAC for the contract administration office assigned the functions under FAR
42.302(a)(13).)
(4) Payment request. The Contractor shall ensure a payment request includes documentation
appropriate to the type of payment request in accordance with the payment clause, contract financing
clause, or Federal Acquisition Regulation 52.216-7, Allowable Cost and Payment, as applicable.
(5) Receiving report. The Contractor shall ensure a receiving report meets the requirements
of DFARS Appendix F.
(g) WAWF point of contact.
(1) The Contractor may obtain clarification regarding invoicing in WAWF from the
following contracting activity's WAWF point of contact.
____
(Contracting Officer: Insert applicable information or "Not applicable.")
(2) Contact the WAWF helpdesk at 866-618-5988, if assistance is needed.
(End of clause)
252.232-7007 Limitation of Government's Obligation. 2014-04
As prescribed in 232.705-70, use the following clause:
LIMITATION OF GOVERNMENT'S OBLIGATION (APR 2014)
(a) Contract line item(s) [Contracting Officer insert after negotiations] is/are incrementally
funded. For this/these item(s), the sum of $ [Contracting Officer insert after negotiations] of the total
price is presently available for payment and allotted to this contract. An allotment schedule is set forth in
paragraph (j) of this clause.
(b) For item(s) identified in paragraph (a) of this clause, the Contractor agrees to perform up to the
point at which the total amount payable by the Government, including reimbursement in the event of
termination of those item(s) for the Government's convenience, approximates the total amount currently
allotted to the contract. The Contractor is not authorized to continue work on those item(s) beyond that
point. The Government will not be obligated in any event to reimburse the Contractor in excess of the
amount allotted to the contract for those item(s) regardless of anything to the contrary in the clause
entitled "Termination for Convenience of the Government." As used in this clause, the total amount
payable by the Government in the event of termination of applicable contract line item(s) for
convenience includes costs, profit, and estimated termination settlement costs for those item(s).
(c) Notwithstanding the dates specified in the allotment schedule in paragraph (j) of this clause,
the Contractor will notify the Contracting Officer in writing at least ninety days prior to the date when, in
the Contractor's best judgment, the work will reach the point at which the total amount payable by the
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Government, including any cost for termination for convenience, will approximate 85 percent of the total
amount then allotted to the contract for performance of the applicable item(s). The notification will state
(1) the estimated date when that point will be reached and (2) an estimate of additional funding, if any,
needed to continue performance of applicable line items up to the next scheduled date for allotment of
funds identified in paragraph (j) of this clause, or to a mutually agreed upon substitute date. The
notification will also advise the Contracting Officer of the estimated amount of additional funds that will
be required for the timely performance of the item(s) funded pursuant to this clause, for a subsequent
period as may be specified in the allotment schedule in paragraph (j) of this clause or otherwise agreed to
by the parties. If after such notification additional funds are not allotted by the date identified in the
Contractor's notification, or by an agreed substitute date, the Contracting Officer will terminate any item
(s) for which additional funds have not been allotted, pursuant to the clause of this contract entitled
"Termination for Convenience of the Government."
(d) When additional funds are allotted for continued performance of the contract line item(s)
identified in paragraph (a) of this clause, the parties will agree as to the period of contract performance
which will be covered by the funds. The provisions of paragraphs (b) through (d) of this clause will
apply in like manner to the additional allotted funds and agreed substitute date, and the contract will be
modified accordingly.
(e) If, solely by reason of failure of the Government to allot additional funds, by the dates
indicated below, in amounts sufficient for timely performance of the contract line item(s) identified in
paragraph (a) of this clause, the Contractor incurs additional costs or is delayed in the performance of the
work under this contract and if additional funds are allotted, an equitable adjustment will be made in the
price or prices (including appropriate target, billing, and ceiling prices where applicable) of the item(s),
or in the time of delivery, or both. Failure to agree to any such equitable adjustment hereunder will be a
dispute concerning a question of fact within the meaning of the clause entitled "Disputes."
(f) The Government may at any time prior to termination allot additional funds for the
performance of the contract line item(s) identified in paragraph (a) of this clause.
(g) The termination provisions of this clause do not limit the rights of the Government under the
clause entitled "Default." The provisions of this clause are limited to the work and allotment of funds for
the contract line item(s) set forth in paragraph (a) of this clause. This clause no longer applies once the
contract is fully funded except with regard to the rights or obligations of the parties concerning equitable
adjustments negotiated under paragraphs (d) and (e) of this clause.
(h) Nothing in this clause affects the right of the Government to terminate this contract pursuant to
the clause of this contract entitled "Termination for Convenience of the Government."
(i) Nothing in this clause shall be construed as authorization of voluntary services whose
acceptance is otherwise prohibited under 31 U.S.C. 1342.
(j) The parties contemplate that the Government will allot funds to this contract in accordance
with the following schedule:
On execution of contract $ ____
(month) (day), (year) $ ____
(month) (day), (year) $ ____
(month) (day), (year) $ ____
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(End of clause)
252.235-7010 Acknowledgment of Support and Disclaimer. 1995-05
As prescribed in 235.072(c), use the following clause:
ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER (MAY 1995)
(a) The Contractor shall include an acknowledgment of the Government's support in the
publication of any material based on or developed under this contract, stated in the following terms:
This material is based upon work supported by the ____(name of contracting agency(ies)) under
Contract No. ____(Contracting agency(ies) contract number(s)).
(b) All material, except scientific articles or papers published in scientific journals, must, in
addition to any notices or disclaimers by the Contractor, also contain the following disclaimer: Any
opinions, findings and conclusions or recommendations expressed in this material are those of the author
(s) and do not necessarily reflect the views of the ____(name of contracting agency(ies)).
(End of clause)
52.227-11 Patent Rights-Ownership by the Contractor. 2014-05
As prescribed in 27.303(b)(1), insert the following clause:
Patent Rights-Ownership by the Contractor (MAY 2014)
(a) As used in this clause-
Invention means any invention or discovery that is or may be patentable or otherwise protectable
under title 35 of the U.S. Code, or any variety of plant that is or may be protectable under the Plant
Variety Protection Act (7 U.S.C. 2321, et seq.)
Made means-
(1) When used in relation to any invention other than a plant variety, the conception or first
actual reduction to practice of the invention; or
(2) When used in relation to a plant variety, that the Contractor has at least tentatively
determined that the variety has been reproduced with recognized characteristics.
Nonprofit organization means a university or other institution of higher education or an
organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C.
501(c)) and exempt from taxation under section 501(a) of the Internal Revenue Code (26 U.S.C. 501(a)),
or any nonprofit scientific or educational organization qualified under a State nonprofit organization
statute.
"Practical application" means to manufacture, in the case of a composition of product; to
practice, in the case of a process or method; or to operate, in the case of a machine or system; and, in
each case, under such conditions as to establish that the invention is being utilized and that its benefits
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are, to the extent permitted by law or Government regulations, available to the public on reasonable
terms.
Subject invention means any invention of the Contractor made in the performance of work
under this contract.
(b) Contractor's rights. (1) Ownership. The Contractor may retain ownership of each subject
invention throughout the world in accordance with the provisions of this clause.
(2) License. (i) The Contractor shall retain a nonexclusive royalty-free license throughout the
world in each subject invention to which the Government obtains title, unless the Contractor fails to
disclose the invention within the times specified in paragraph (c) of this clause. The Contractor's license
extends to any domestic subsidiaries and affiliates within the corporate structure of which the Contractor
is a part, and includes the right to grant sublicenses to the extent the Contractor was legally obligated to
do so at contract award. The license is transferable only with the written approval of the agency, except
when transferred to the successor of that part of the Contractor's business to which the invention pertains.
(ii) The Contractor's license may be revoked or modified by the agency to the extent
necessary to achieve expeditious practical application of the subject invention in a particular country in
accordance with the procedures in FAR 27.302(i)(2) and 27.304-1(f).
(c) Contractor's obligations. (1) The Contractor shall disclose in writing each subject invention to
the Contracting Officer within 2 months after the inventor discloses it in writing to Contractor personnel
responsible for patent matters. The disclosure shall identify the inventor(s) and this contract under which
the subject invention was made. It shall be sufficiently complete in technical detail to convey a clear
understanding of the subject invention. The disclosure shall also identify any publication, on sale (i.e.,
sale or offer for sale), or public use of the subject invention, or whether a manuscript describing the
subject invention has been submitted for publication and, if so, whether it has been accepted for
publication. In addition, after disclosure to the agency, the Contractor shall promptly notify the
Contracting Officer of the acceptance of any manuscript describing the subject invention for publication
and any on sale or public use.
(2) The Contractor shall elect in writing whether or not to retain ownership of any subject
invention by notifying the Contracting Officer within 2 years of disclosure to the agency. However, in
any case where publication, on sale, or public use has initiated the 1-year statutory period during which
valid patent protection can be obtained in the United States, the period for election of title may be
shortened by the agency to a date that is no more than 60 days prior to the end of the statutory period.
(3) The Contractor shall file either a provisional or a nonprovisional patent application or a
Plant Variety Protection Application on an elected subject invention within 1 year after election.
However, in any case where a publication, on sale, or public use has initiated the 1-year statutory period
during which valid patent protection can be obtained in the United States, the Contractor shall file the
application prior to the end of that statutory period. If the Contractor files a provisional application, it
shall file a nonprovisional application within 10 months of the filing of the provisional application. The
Contractor shall file patent applications in additional countries or international patent offices within
either 10 months of the first filed patent application (whether provisional or nonprovisional) or 6 months
from the date permission is granted by the Commissioner of Patents to file foreign patent applications
where such filing has been prohibited by a Secrecy Order.
(4) The Contractor may request extensions of time for disclosure, election, or filing under
paragraphs (c)(1), (c)(2), and (c)(3) of this clause.
(d) Government's rights- (1) Ownership. The Contractor shall assign to the agency, on written
request, title to any subject invention-
(i) If the Contractor fails to disclose or elect ownership to the subject invention within the
times specified in paragraph (c) of this clause, or elects not to retain ownership; provided, that the agency
may request title only within 60 days after learning of the Contractor's failure to disclose or elect within
the specified times.
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(ii) In those countries in which the Contractor fails to file patent applications within the
times specified in paragraph (c) of this clause; provided, however, that if the Contractor has filed a patent
application in a country after the times specified in paragraph (c) of this clause, but prior to its receipt of
the written request of the agency, the Contractor shall continue to retain ownership in that country.
(iii) In any country in which the Contractor decides not to continue the prosecution of any
application for, to pay the maintenance fees on, or defend in reexamination or opposition proceeding on,
a patent on a subject invention.
(2) License. If the Contractor retains ownership of any subject invention, the Government shall
have a nonexclusive, nontransferable, irrevocable, paid-up license to practice, or have practiced for or on
its behalf, the subject invention throughout the world.
(e) Contractor action to protect the Government's interest. (1) The Contractor shall execute or have
executed and promptly deliver to the agency all instruments necessary to-
(i) Establish or confirm the rights the Government has throughout the world in those subject
inventions in which the Contractor elects to retain ownership; and
(ii) Assign title to the agency when requested under paragraph (d) of this clause and to
enable the Government to obtain patent protection and plant variety protection for that subject invention
in any country.
(2) The Contractor shall require, by written agreement, its employees, other than clerical and
nontechnical employees, to disclose promptly in writing to personnel identified as responsible for the
administration of patent matters and in the Contractor's format, each subject invention in order that the
Contractor can comply with the disclosure provisions of paragraph (c) of this clause, and to execute all
papers necessary to file patent applications on subject inventions and to establish the Government's rights
in the subject inventions. The disclosure format should require, as a minimum, the information required
by paragraph (c)(1) of this clause. The Contractor shall instruct such employees, through employee
agreements or other suitable educational programs, as to the importance of reporting inventions in
sufficient time to permit the filing of patent applications prior to U.S. or foreign statutory bars.
(3) The Contractor shall notify the Contracting Officer of any decisions not to file a
nonprovisional patent application, continue the prosecution of a patent application, pay maintenance
fees, or defend in a reexamination or opposition proceeding on a patent, in any country, not less than 30
days before the expiration of the response or filing period required by the relevant patent office.
(4) The Contractor shall include, within the specification of any United States nonprovisional
patent or plant variety protection application and any patent or plant variety protection certificate issuing
thereon covering a subject invention, the following statement, "This invention was made with
Government support under (identify the contract) awarded by (identify the agency). The Government has
certain rights in the invention."
(f) Reporting on utilization of subject inventions. The Contractor shall submit, on request, periodic
reports no more frequently than annually on the utilization of a subject invention or on efforts at
obtaining utilization of the subject invention that are being made by the Contractor or its licensees or
assignees. The reports shall include information regarding the status of development, date of first
commercial sale or use, gross royalties received by the Contractor, and other data and information as the
agency may reasonably specify. The Contractor also shall provide additional reports as may be requested
by the agency in connection with any march-in proceeding undertaken by the agency in accordance with
paragraph (h) of this clause. The Contractor also shall mark any utilization report as confidential
/proprietary to help prevent inadvertent release outside the Government. As required by 35 U.S.C. 202(c)
(5), the agency will not disclose that information to persons outside the Government without the
Contractor's permission.
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(g) Preference for United States industry. Notwithstanding any other provision of this clause,
neither the Contractor nor any assignee shall grant to any person the exclusive right to use or sell any
subject invention in the United States unless the person agrees that any products embodying the subject
invention or produced through the use of the subject invention will be manufactured substantially in the
United States. However, in individual cases, the requirement for an agreement may be waived by the
agency upon a showing by the Contractor or its assignee that reasonable but unsuccessful efforts have
been made to grant licenses on similar terms to potential licensees that would be likely to manufacture
substantially in the United States, or that under the circumstances domestic manufacture is not
commercially feasible.
(h) March-in rights. The Contractor acknowledges that, with respect to any subject invention in
which it has retained ownership, the agency has the right to require licensing pursuant to 35 U.S.C. 203
and 210(c), and in accordance with the procedures in 37 CFR 401.6 and any supplemental regulations of
the agency in effect on the date of contract award.
(i) Special provisions for contracts with nonprofit organizations. If the Contractor is a nonprofit
organization, it shall-
(1) Not assign rights to a subject invention in the United States without the written approval of
the agency, except where an assignment is made to an organization that has as one of its primary
functions the management of inventions, provided, that the assignee shall be subject to the same
provisions as the Contractor;
(2) Share royalties collected on a subject invention with the inventor, including Federal
employee co-inventors (but through their agency if the agency deems it appropriate) when the subject
invention is assigned in accordance with 35U.S.C.202(e) and 37 CFR 401.10;
(3) Use the balance of any royalties or income earned by the Contractor with respect to subject
inventions, after payment of expenses (including payments to inventors) incidental to the administration
of subject inventions for the support of scientific research or education; and
(4) Make efforts that are reasonable under the circumstances to attract licensees of subject
inventions that are small business concerns, and give a preference to a small business concern when
licensing a subject invention if the Contractor determines that the small business concern has a plan or
proposal for marketing the invention which, if executed, is equally as likely to bring the invention to
practical application as any plans or proposals from applicants that are not small business concerns;
provided, that the Contractor is also satisfied that the small business concern has the capability and
resources to carry out its plan or proposal. The decision whether to give a preference in any specific case
will be at the discretion of the Contractor.
(5) Allow the Secretary of Commerce to review the Contractor's licensing program and
decisions regarding small business applicants, and negotiate changes to its licensing policies, procedures,
or practices with the Secretary of Commerce when the Secretary's review discloses that the Contractor
could take reasonable steps to more effectively implement the requirements of paragraph (i)(4) of this
clause.
(j) Communications. ____[Complete according to agency instructions.]
(k) Subcontracts. (1) The Contractor shall include the substance of this clause, including this
paragraph (k), in all subcontracts for experimental, developmental, or research work to be performed by
a small business concern or nonprofit organization.
(2) The Contractor shall include in all other subcontracts for experimental, developmental, or
research work the substance of the patent rights clause required by FAR subpart 27.3.
(3) At all tiers, the patent rights clause must be modified to identify the parties as follows:
references to the Government are not changed, and the subcontractor has all rights and obligations of the
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Contractor in the clause. The Contractor shall not, as part of the consideration for awarding the
subcontract, obtain rights in the subcontractor's subject inventions.
(4) In subcontracts, at any tier, the agency, the subcontractor, and the Contractor agree that the
mutual obligations of the parties created by this clause constitute a contract between the subcontractor
and the agency with respect to the matters covered by the clause; provided, however, that nothing in this
paragraph is intended to confer any jurisdiction under the Contract Disputes statute in connection with
proceedings under paragraph (h) of this clause.
(End of clause)
52.252-2 Clauses Incorporated by Reference. 1998-02
As prescribed in 52.107(b), insert the following clause:
Clauses Incorporated By Reference (FEB 1998)
This contract incorporates one or more clauses by reference, with the same force and effect as if they
were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the
full text of a clause may be accessed electronically at this/these address(es):
____ ____ ____[Insert one or more Internet addresses]
(End of clause)
52.252-4 Alterations in Contract. 1984-04
As prescribed in 52.107(d), insert the following clause in solicitations and contracts in order to revise
or supplement, as necessary, other parts of the contract, or parts of the solicitation that apply after
contract award, except for any clause authorized for use with a deviation. Include clear identification of
what is being altered.
Alterations in Contract (APR 1984)
Portions of this contract are altered as follows:
____ ____ ____
(End of clause)
52.252-6 Authorized Deviations in Clauses. 2020-11
As prescribed in 52.107(f), insert the following clause in solicitations and contracts that include any
FAR or supplemental clause with an authorized deviation. Whenever any FAR or supplemental clause is
used with an authorized deviation, the contracting officer shall identify it by the same number, title, and
date assigned to the clause when it is used without deviation, include regulation name for any
supplemental clause, except that the contracting officer shall insert "(DEVIATION)" after the date of the
clause.
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Authorized Deviations in Clauses (Nov 2020)
(a) The use in this solicitation or contract of any Federal Acquisition Regulation (48 CFR Chapter
1) clause with an authorized deviation is indicated by the addition of "(DEVIATION)" after the date of
the clause.
(b) The use in this solicitation or contract of any ____[insert regulation name] (48 CFR ____)
clause with an authorized deviation is indicated by the addition of "(DEVIATION)" after the name of the
regulation.
(End of clause)
52.204-1 Approval of Contract. 1989-12
As prescribed in 4.103 , insert the following clause:
Approval of Contract (DEC 1989)
This contract is subject to the written approval of ____[identify title of designated agency official
here] and shall not be binding until so approved.
(End of clause)
52.219-14 DEV 2021-O0008 Limitations on Subcontracting (DEVIATION 2021-O0008) 2021-09
As prescribed in 19.507(e), insert the following clause:
LIMITATIONS ON SUBCONTRACTING (SEP 2021) (DEVIATION 2021-O0008)
(a) This clause does not apply to the unrestricted portion of a partial set-aside.
(b) Definition. “Similarly situated entity,” as used in this clause, means a first-tier subcontractor,
including an independent contractor, that--
(1) Has the same small business program status as that which qualified the prime contractor for the
award (e.g., for a small business set-aside contract, any small business concern, without regard to its
socioeconomic status); and
(2) Is considered small for the size standard under the North American Industry Classification
System (NAICS) code the prime contractor assigned to the subcontract.
(c) Applicability. This clause applies only to--
(1) Contracts that have been set aside for any of the small business concerns identified in 19.000(a)
(3);
(2) Part or parts of a multiple-award contract that have been set aside for any of the small business
concerns identified in 19.000(a)(3);
(3) Contracts that have been awarded on a sole-source basis in accordance with subparts 19.8,
19.13, 19.14, and 19.15;
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(4) Orders expected to exceed the simplified acquisition threshold and that are--
(i) Set aside for small business concerns under multiple-award contracts, as described in
8.405-5 and 16.505(b)(2)(i)(F); or
(ii) Issued directly to small business concerns under multiple-award contracts as described in
19.504(c)(1)(ii);
(5) Orders, regardless of dollar value, that are--
(i) Set aside in accordance with subparts 19.8, 19.13, 19.14, or 19.15 under multiple-award
contracts, as described in 8.405-5 and 16.505(b)(2)(i)(F); or
(ii) Issued directly to concerns that qualify for the programs described in subparts 19.8, 19.13,
19.14, or 19.15 under multiple-award contracts, as described in 19.504(c)(1)(ii); and
(6) Contracts using the HUBZone price evaluation preference to award to a HUBZone small
business concern unless the concern waived the evaluation preference.
(d) Independent contractors. An independent contractor shall be considered a subcontractor.
(e) Limitations on subcontracting. By submission of an offer and execution of a contract, the
Contractor agrees that in performance of a contract assigned a North American Industry Classification
System (NAICS) code for--
(1) Services (except construction), it will not pay more than 50 percent of the amount paid by the
Government for contract performance, excluding certain other direct costs and certain work performed
outside the United States (see paragraph (e)(1)(i)), to subcontractors that are not similarly situated
entities. Any work that a similarly situated entity further subcontracts will count towards the prime
contractor’s 50 percent subcontract amount that cannot be exceeded. When a contract includes both
services and supplies, the 50 percent limitation shall apply only to the service portion of the contract. The
following services may be excluded from the 50 percent limitation:
(i) Other direct costs, to the extent they are not the principal purpose of the acquisition and small
business concerns do not provide the service. Examples include airline travel, work performed by a
transportation or disposal entity under a contract assigned the environmental remediation NAICS code
562910), cloud computing services, or mass media purchases.
(ii) Work performed outside the United States on awards made pursuant to the Foreign
Assistance Act of 1961, or work performed outside the United States required to be performed by a local
contractor.
(2) Supplies (other than procurement from a nonmanufacturer of such supplies), it will not pay
more than 50 percent of the amount paid by the Government for contract performance, excluding the cost
of materials, to subcontractors that are not similarly situated entities. Any work that a similarly situated
entity further subcontracts will count towards the prime contractor’s 50 percent subcontract amount that
cannot be exceeded. When a contract includes both supplies and services, the 50 percent limitation shall
apply only to the supply portion of the contract;
(3) General construction, it will not pay more than 85 percent of the amount paid by the
Government for contract performance, excluding the cost of materials, to subcontractors that are not
similarly situated entities. Any work that a similarly situated entity further subcontracts will count
towards the prime contractor’s 85 percent subcontract amount that cannot be exceeded; or
(4) Construction by special trade contractors, it will not pay more than 75 percent of the amount
paid by the Government for contract performance, excluding the cost of materials, to subcontractors that
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are not similarly situated entities. Any work that a similarly situated entity further subcontracts will
count towards the prime contractor’s 75 percent subcontract amount that cannot be exceeded.
(f) The Contractor shall comply with the limitations on subcontracting as follows:
(1) For contracts, in accordance with paragraphs (c)(1), (2), (3) and (6) of this clause --
[Contracting Officer check as appropriate.]
By the end of the base term of the contract and then by the end of each subsequent option period; or
By the end of the performance period for each order issued under the contract.
(2) For orders, in accordance with paragraphs (c)(4) and (5) of this clause, by the end of the
performance period for the order.
(g) A joint venture agrees that, in the performance of the contract, the applicable percentage specified
in paragraph (e) of this clause will be performed by the aggregate of the joint venture participants.
(End of clause)
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HT9425-23-S-SOC1-0003

I. OVERVIEW OF THE FUNDING OPPORTUNITY
United States Special Operations Command
Department of Defense
BROAD AGENCY ANNOUNCEMENT (BAA)
for Extramural Biomedical and Human Performance
Research and Development
Funding Opportunity Number: HT9425-23-S-SOC1
Announcement Type: Revised-0003
Catalog of Federal Domestic Assistance Number: 12.420
Military Medical Research and Development
KEY DATES
Release/Posted Date: Initial 27 July 2023. Revised -0001: 11 AUG 2023. Revised -0002: 29
APR 2024. Revised 0003: 23 July 2025.
Closing Date: 31 July, 2028, 11:59 p.m. Eastern Time
This Funding Opportunity Announcement is a BAA. It is continuously open for a 5-year period,
from 1 August 2023 closing 31 July 2028, 11:59 p.m. Eastern Time. Note: This BAA will be
updated annually.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
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This Broad Agency Announcement must be read in conjunction with the General Submission
Instructions, which are available for downloading from Grants.gov. The General Submission
Instructions are located under the “package” tab and can be downloaded by selecting the
“Download Instructions” icon when previewing the submission package.
TABLE OF CONTENTS
I. OVERVIEW OF THE FUNDING OPPORTUNITY ....................................................... 1
II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY ............... 3
II.A. Program Description ....................................................................................................... 3
II.A.1. Research Area of Interest .......................................................................................... 4
II.B. Federal Award Information .......................................................................................... 12
II.C. Eligibility Information ................................................................................................... 14
II.C.1. Eligible Applicants ................................................................................................... 14
II.C.2. Cost Sharing ............................................................................................................. 15
II.C.3. Other ......................................................................................................................... 15
II.D. Proposal/Application Submission Information ....................................................... 16
II.D.1. Where to Obtain the Proposal/Application Submission Package ............................ 16
II.D.2. Content and Form of the Proposal/Application Submission .................................... 16
II.D.3. Unique Entity Identifier (UEI) and System for Award Management (SAM) ........... 36
II.D.4. Submission Dates and Times ................................................................................... 40
II.D.5. Funding Restrictions ................................................................................................ 40
II.D.6. Other Submission Requirements .............................................................................. 40
II.E. Proposal/Application Review Information .................................................................... 40
II.E.1. Criteria ...................................................................................................................... 40
II.E.2. Proposal/Application Review and Selection Process ............................................... 41
II.E.3. Integrity and Performance Information .................................................................... 42
II.E.4. Anticipated Announcement and Federal Award Dates ............................................ 43
II.F. Federal Award Administration Information .................................................................. 43
II.F.1. Federal Award Notices ............................................................................................. 43
II.F.2. Administrative and National Policy Requirements .................................................. 44
II.F.3. Reporting .................................................................................................................. 44
II.G. Federal Awarding Agency Contacts ............................................................................. 45
II.G.1. eBRAP Help Desk ................................................................................................... 45
II.G.2. Grants.gov Contact Center ....................................................................................... 46
II.H. Other Information ......................................................................................................... 46
II.H.1. Administrative Actions ............................................................................................ 46
II.H.2. Proposal/Application Submission Checklist ............................................................ 50
APPENDIX 1: ACRONYM LIST ............................................................................................ 50
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
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II. DETAILED INFORMATION ABOUT THE FUNDING
OPPORTUNITY
The Fiscal Year 2023 – Fiscal Year 2028 (FY23-FY28) United States Special Operations
Command (USSOCOM), BAA for Extramural
Biomedical and Human Performance Research and Development contains several changes from
previous USSOCOM BAAs. Read each section carefully. Note the following:
• The total individual project estimated cost ceiling has been increased from $4,000,000 to
$5,000,000, and generally anticipated project cost has been increased from $700,000 to
$2,000,000.
• The “Program Description” that describes the “Research Areas of Interest (RAIs)” have
been updated.
II.A. Program Description
This BAA is intended to solicit extramural research and development ideas using the authority
provided by United States Code, Title 10, Section 4001. This BAA is issued under the
provisions of the Competition in Contracting Act of 1984 (Public Law 98-369), as implemented
in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016. In accordance with FAR
6.102, projects funded under this BAA must be for basic and applied research to support
scientific study and experimentation directed toward advancing the state-of-the-art or increasing
knowledge or understanding rather than focusing on development of a specific system or
hardware solution. Research and development funding through this BAA is intended and
expected to benefit and inform both military and civilian medical practice and knowledge.
This BAA provides a general description of the USSOCOM’s research and development
programs, including RAIs, evaluation and selection criteria, pre-proposal/preapplication and full
proposal/application preparation instructions, and general administrative information.
Submission of a pre-proposal/pre-application is required. After review, if the USSOCOM is
interested in receiving a full proposal/application, the Applicant or Offeror will be invited to
submit a full proposal or full application. Specific submission information and additional
administrative requirements can be found in the document titled “General Submission
Instructions” available in Grants.gov along with this BAA.
The USSOCOM utilizes the tools and processes provided by the Congressionally Directed
Medical Research Programs (CDMRP). The CDMRP manages the electronic Biomedical
Research Application Portal (eBRAP) system and retrieval and processing of full
proposal/application submissions from Grants.gov. Refer to Section II.G, Agency Contacts, for
additional information.
The USSOCOM’s supporting contracting office, the U.S. Army Medical Research Acquisition
Activity (USAMRAA) will be the awarding and administering office for proposals selected for
funding.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
3

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II.A.1. Research Area of Interest
A primary emphasis of the USSOCOM Biomedical, Human Performance, and Canine Research
Program is to identify and develop techniques, knowledge products, and materiel (medical devices,
drugs, and biologics) to support far-forward early intervention of life-threatening illnesses or injuries
within an Irregular Warfare or asymmetric, multi-domain operational environment. Special
Operations Forces (SOF) medical personnel place a premium on medical equipment that is small,
lightweight, ruggedized, modular, multi-use, and designed for operation in extreme environments.
The equipment must be simple to employ, require minimum maintenance, and have low power
consumption. Drugs and biologics should optimally not require refrigeration or other special
handling. All materiel solutions must be capable of commercialization. Research projects may apply
existing scientific and technical knowledge for which concept and/or patient care efficacy have
already been demonstrated to meet SOF requirements. The proposed research must be relevant to
active-duty service members, veterans, military beneficiaries, and/or the American public. Relevant
research must be responsive to the health care needs of the U.S. Armed Forces, family members of
the U. S. Armed Forces, and U.S. Veterans. Proposals must address a relevant health problem
responsive to one of the RAIs identified below. Additional RAIs may be added during the life of the
BAA (FY23-FY28). The following RAIs are in no particular order:
1. Damage Control Resuscitation (DCR):
SOF medical personnel require capabilities for far-forward medical care to reduce the mortality and
morbidity associated with critical wounds and injuries. The proposed research, application, and/or
development of medical techniques and materiel (medical devices, drugs, and biologics) for optimal
triage and early intervention in critical life-threatening injuries when casualty evacuation is not
possible or is delayed. The project areas under DCR to which the USSOCOM will give highest
consideration are:
a. Global Treatment Strategies and Next Generation Wound Management:
The proposed project must research, apply, and/or develop effective treatment strategies that address
the following elements: resuscitation, optimal resuscitation fluid(s), uncomplicated shock,
noncompressible hemorrhaging, traumatic brain injuries, and austere damage control surgery. These
strategies must be optimized for medics in austere, far-forward areas, with minimal logistical or
specialty support, who must stabilize and treat patients for extended periods (days, not hours).
Projects that research and develop an all-in-one traumatic wound care treatment that can achieve
hemostasis, and incorporate analgesia are preferred.
b. Analgesia:
The proposed project must research, apply, and/or develop novel, safe, efficacious, peripherally, and
centrally acting analgesia that provide easy administration in the field, tolerance of extreme
environments, and effectiveness at the point of injury for a prolonged period of field care (days, not
hours) and does not sensitize the patient to topical analgesia. Maximum analgesia with minimal
sedation is preferred.
c. Far Forward Blood, Blood Components, Blood Substitute, & Injectable Hemostatics:
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
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The proposed project must research novel strategies to increase the ease, efficacy, and safety of blood
transfusions (i.e., person to person, pre-hospital blood banking, rolling blood banks, and blood
substitutes) forward of normal logistics support; (e.g., evaluating blood for type/cross matching and
for the presence and/or reduction of pathogens, leucocytes, and AB antibodies to improve safety of
whole blood transfusion at the point of injury). Projects that will be considered also include injectable
medications to address the coagulopathy of trauma and novel strategies to improve tissue
oxygenation.
d. Austere Surgical Stabilization:
Future theatres where SOF personnel will operate are likely to be much less medically robust than the
past decade of fighting in our current theatres (this can translate to remote civilian areas), and there
will be a mismatch between capability and need. Rather than sitting at hardened structures waiting on
patients, surgical personnel may be increasingly asked to go to the patient. Research should focus on
mobility/portability of medical and surgical equipment, including support equipment such as
sterilization, with emphasis on equipment with greater capabilities than currently fielded devices,
smaller size and weight, low power demands, and flexibility in power supplies. Additionally,
research and development efforts should include telehealth technologies linking forward surgical
providers with higher medical authority consultation and effective, relevant, and dynamic surgical
training capabilities. Lastly, research into future procedures and devices may also include a human
systems approach to define limitations and mitigation strategies of surgical capability in austere
environments (i.e., low light, temperature variability, improving surgical access in distributed
maritime environment, surgery in flight, etc.) to bridge time to surgery when patient load exceeds
surgical capability.
2. Prolonged Field Care (PFC):
SOF medical personnel require capabilities for far-forward medical care to reduce the mortality and
morbidity associated with critical wounds, injuries, diseases, and associated sepsis. PFC should focus
on novel treatments that support the ability to manage 3-5 patients across the spectrum of illness to
multi-system injury for a minimum of 5-7 days. SOF medical personnel require capability to
expedite evacuation and increase survivability with limited site of injury support in austere
environments including: hyperbaric, mountainous, high-altitude, arctic, and distributed maritime
operations. Significant consideration will be given to proposals focused on PCC that may also relate
to Sections 1.a. through 1.d. and 5.b. of this BAA.
3. Medical Sensors and Devices:
The primary emphasis is to research, apply and/or develop field-sustainable, rapidly deployable
medical sensors and/or devices for extended care beyond initial trauma resuscitation, to include
austere/forward surgery while operating in areas where casualty evacuation is delayed or unavailable.
In addition, proposals that investigate or develop wireless biosensors should demonstrate
physiological monitoring capabilities to include, but not limited to, heart rate, blood pressure, pulse
oximetry, respiration rate, capnography, core temperature, heart rate variability and compensatory
reserve index (CRI). Research and development of devices and sensors should include or plan for the
capability to transmit (Bluetooth 4.2) to Android handheld devices and be designed with an open
architecture to allow for sensors to be incorporated into a family of sensors that may or may not
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
5

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report to a central handheld device. (NOTE: Ideally, sensor and equipment technologies should be
electronically readable, scannable, or transmittable to the Battlefield Assisted Trauma Distributed
Observation Kit (BATDOK), an Android-driven, multi-patient, point of injury casualty monitoring
capability being fielded by U.S. Air Force (USAF) Pararescuemen and other SOF Medics. Novel
devices are required which aid in measuring physiologic decompensation and/or adequacy of
treatment/resuscitation in the field environment and/or provide a trigger for a pre-hospital medical
intervention (i.e., validation of tissue (muscle) oxygen saturation (StO2), CRI, traumatic brain injury
(TBI) measures, etc.
4. Portable Lab Assays and Diagnostics:
The proposed project must research, apply and/or develop novel concepts for portable and
environmentally stable far forward laboratory assays and diagnostics. Equipment should be
extremely portable, ruggedized, use limited or no external power, and any reagents should be self-
contained and stable in extreme environmental conditions. Preference will be given to proposals that
are field oriented, rugged, low weight/cube space and have little to no refrigeration requirements.
Additionally, novel wireless, transmittable or scannable solutions such as patches, scanner/readers or
other noninvasive technologies as described in paragraph 5.a. below are encouraged.
5. Force Health Protection and Environmental Medicine:
SOF personnel must often operate for extended periods of time in austere environments that expose
them to extremes in altitude, temperature, humidity, wind, kinetosis, infectious diseases, toxic
industrial chemicals, toxic industrial materials, and environmental hazards (including envenomation).
In addition, the environment may be compromised due to chemical, biological, and radiological
contamination. The primary emphasis of this research area is to research, apply, and develop
techniques, therapeutic measures, and materiel (personal protective equipment (PPE), medical
devices, drugs, and biologics) to ensure sustained human performance and effectiveness while
operating in harsh environmental conditions and/or wearing appropriate PPE.
a. Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Rapid Diagnostics,
Treatment, and Prophylaxis:
The proposed projects must research, apply, and/or develop novel approaches that will diagnose,
treat, and protect SOF personnel from exposure to chemical, biological, radiological, nuclear, and
high yield explosives in near real time.
b. Occupational and Environmental Health (OEH) Hazards:
The proposed project must focus on development of novel methods and devices for rapid
identification and analysis of exposures to OEH hazards. Research must support the development
and analysis of handheld, field hardened, and environmentally stable analytical devices, monitoring
devices, dosimetry, assays for rapid on-site identification, and real-time analysis of OEH hazards in
air, water, and soil that could pose an acute or chronic health hazard to SOF personnel. Such OEH
hazards include toxic industrial chemicals/toxic industrial materials (TICs/TIMs), lead exposures,
food and water borne pathogens, toxins, biological agents, and radiological material exposures.
c. Operational Exposure Monitoring:
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
6

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The proposed project must seek to develop wireless biosensors for monitoring SOF personnel in
extreme environments (i.e., high altitude, whether in-flight or the environment itself, excessive heat
or cold, etc.), and potentially hazardous material exposure. Sensors should address physiological
measurements and/or chemical, biological and/or radiological hazards. For hazards monitoring, a
personal dosimetry device is desired that can detect and alarm based on radiation and chemical
presence. The alarming function can be pre-determined to account for known environmental
conditions (i.e., natural occurring radiation levels that are below threshold/detrimental health levels)
and parts per million (PPM) counts that would trigger an alert. This detection device needs to be able
to alarm differently to identify the "type" of hazard(s), and to trigger a back-off and/or donning of
additional PPE. Monitoring should be capable of wirelessly communicating via Bluetooth 4.2 to
Android handheld devices, tablets, or compatible wrist-mounted displays.
6. Brain Health:
Brain Health research efforts include, but are not limited to: determining if repeated low-level blast
exposure (rLLBE) causes brain injury or repeated blast brain injury (rBBI), development and
validation of fieldable Neurocognitive Assessment Tools (NCATs) and baseline testing,
Comprehensive Symptom History (CASH) collection, blast exposure and impact monitoring,
determination of safe acceptable limits for blast exposure, development and validation of capabilities
to easily identify/diagnose rBBI, methods to prevent, screen for, monitor, and correct neuroendocrine
dysfunction. Additionally, Brain Health research efforts include, but are not limited to: methods to
prevent TBI from impact and blast such as redesign of helmets, body armor, and munitions,
development of pharmaceuticals to prevent and/or treat brain injury, validation of brain injury
prevention strategies, and development of return to duty decision support tools.
a. Environmental Exposures Protection:
Research that develops novel material and/or approaches to protect SOF personnel from the
neurological effects of single and repetitive auditory (impulse noise) and non-auditory (overpressure)
blast exposures and other environmental factors determined to affect nervous system function.
b. Environmental Exposure Effects:
Research that determines the neurocognitive, nervous system, and auditory effects from single and
repeated low- and high-level blast exposures, impulse noise, and other potential hazardous
environmental factors.
c. Biomarkers:
Research to determine which biomarkers are indicative of rBBI; sequelae from rBBI causing further
injury; recovery status; and recovery rate from rBBI. Testing and validating diagnostic biomarkers
for rBBI. Proposals should also consider incorporation of validated biomarkers onto existing or
future diagnostic platforms. Use of machine learning and/or model development to interpret and
report biomarkers that are indicative of rBBI are of interest.
d. Neuropsychological Testing:
Research to validate neurocognitive assessment tools (NCATs) to determine baseline neurocognitive
status, readiness, neurocognitive degradation, sensitivity to various exposures, TBI and recovery
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
7

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status post injury. Proposals to improve the speed, accuracy, specificity, and proximity to injury for
the use of NCATs, as well as to compare new technologies and/or modalities (including passive
assessment of cognition) to existing NCATs.
e. Olfactory, Oculomotor, Auditory, Vestibular, Cranial Nerve, and Vocal-Acoustic
Performance:
Research and proposals to perform and validate oculomotor, auditory, vestibular, cranial nerve, and
vocal acoustic assessments. Research and proposals to assess the effect of nervous system injury to
oculomotor, auditory, vestibular, cranial nerve, and vocal-acoustic performance and strategies to
restore their performance after injury and prevent injury or further decline.
f. Postural Stability:
Research to assess the effects of blast exposure on postural stability including the proprioceptive
component. Novel treatment strategies, therapies, and therapeutics to prevent and/or correct
detriment to postural stability from TBI and neurotrauma caused by blast, impact, and/or other
environmental exposures.
g. Neuroendocrine Dysfunction:
Methods to prevent, screen for, monitor, and correct neuroendocrine dysfunction.
h. Neuroimaging:
Research into novel imaging and imaging interpretation techniques including, but not limited to
computed axial tomography (CAT), magnetic resonance imaging (MRI), and positron emission
tomography (PET) scans, to diagnose brain tissue pathologies including, but not limited to, axonal
injury, myelin injury, and interface astroglial scarring without the need for immunohistochemistry,
immunofluorescence, or histopathology testing.
i. Analytics:
Research into analysis including machine learning, natural language processing, and artificial
intelligence enabled analysis of data including, but not limited to, NCATs; environmental exposures
likely to affect brain health; blast, impact, and noise exposures; auditory, vestibular, and vocal
acoustic assessments; postural stability assessments; and neuroimaging.
j. Neuromodulation:
Research into the use of neuromodulation techniques for treating TBI, neurotrauma, pain, restoring
and improving function, improving behavioral health, and cognitive performance.
k. Brain Lymphatics and Glymphatics:
Research into measuring the fluid dynamics of the brain lymphatic system, diagnosing dysfunction,
and validation for tools or techniques to improve brain lymphatic clearance.
l. Pupillometry, Pupillary Response, and Microsaccades:
Research into field capable pupillary response measurement capture and analysis, with or without the
ability to capture Microsaccades to assess central nervous system loading and/or damage.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
8

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7. Automation of Systematic Reviews and Metanalysis:
Research into Automation of Systematic Reviews and Metanalysis using the Preferred Reporting
Items for Systematic Reviews and Meta Analyses (PRISMA) or a similar method
8. Human Performance:
USSOCOM requires SOF personnel to withstand extraordinary physical demands and psychological
stress to complete their missions. The optimization of SOF personnel’s ability to perform at very
high levels for long durations, in addition to processing information and making critical decisions in
a timely manner, while operating in extreme environments, will significantly improve their overall
operational effectiveness. This research area explores alternatives and/or new approaches to sustain
and optimize SOF human performance both to increase mission capability and to extend the career
longevity of SOF personnel.
a. Improved Sleep:
The proposed project must research, apply and/or develop novel approaches to achieve the
restorative effects of sleep. This may include methods to induce, maintain, or improve the quality of
sleep throughout the entire night. Additionally, the ability to accelerate the effects of sleep through
methods requiring less time (e.g., the effects of sleeping eight hours are realized in four hours’ time)
or enabling the SOF personnel to quickly reach and adequately cycle through the stages of sleep
where the highest restorative effects occur (i.e., Stage 3/ deep sleep, and Stage 4/rapid eye movement
sleep).
b. Optimal Acclimatization Strategies:
The proposed project must research, apply, and/or develop novel approaches and/or technologies that
provide rapid and sustainable human acclimatization in austere environments, to include fatigue
countermeasure, extremes in temperature, extremes in altitude, and time-zone change (i.e., circadian
acclimatization).
c. Wearables:
The proposed project must research, apply, and/or develop novel approaches and/or wearable
technologies, and/or leverage commercial-off-the-shelf wearable technologies that will monitor
physiological measures of human performance to include, but not limited to, caloric expenditure,
heart rate/heart rate response, heart rate variability, body fat percentage, sleep hygiene (deep and
REM sleep duration) in real-time. Measures should be accurate with low fixed bias, wirelessly
communicated via Bluetooth, Near Field Magnetic Induction or Radio Frequency technology in real-
time and provide the command the capability to utilize the data for analysis of individuals and/or
team performance via the USSOCOM Human Performance Data Management System. The device
should be able to be turned on/off and/or have an inactive mode, provide real-time feedback on a
display screen, be capable of displaying time, and be adjustable to fit users of different statures. Of
parallel interest to address is a proposed project to track sleep, fatigue, and performance degradations
through a wearable device that provides quantitative data (rather than qualitative surveys often seen
in Fatigue Studies), that in turn will be gathered and amalgamated from entire units, in order to track
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individual performance, unit performance, mission impacts to performance levels, length of time for
acclimatization (if it is ever achieved), and potential risk of mishaps.
d. Diagnostics for Performance Sustainment:
The proposed project must research, apply, and/or develop minimally invasive diagnostic devices to
provide actionable information on nutritional gaps, hormonal response to training, physiological
response to performance interventions and recovery, and epigenetic predictors of potential injury.
e. Performance Nutrition:
The proposed projects must research, apply and/or develop methods to accurately measure nutritional
status of SOF personnel. The proposed project should focus on cost effectiveness, accuracy, and
end-user compatibility (i.e., user friendly) methods or devices for identifying and optimizing an
individual’s nutrient status. Consideration of alternative fuel (energy) sources, dietary
supplementation, biomarkers, and nutrient volume/timing are specific areas of interest.
f. Physiological Performance:
The proposed project must research, apply, and/or develop novel approaches and/or technologies to
maximize the physiological performance of SOF personnel in austere and/or training environments,
to include increased endurance, enhanced senses, tolerance to environmental extremes, and enhanced
overall fitness, to maintain operational posture/ability in high stress scenarios without noticeable
augmentation, and without hampering personnel mobility.
g. Cognitive Performance:
The proposed project must research, apply, and/or develop novel approaches and/or technology that
provide greater mental acuity or neuroenhancement (i.e., targeted enhancement and extension of
cognitive and affective abilities). Encompasses pharmacological and non-pharmacological methods
of improving cognitive, affective, motor functionality and performance, to include neuromodulation.
h. Psychological Performance and Suicide Prevention:
The proposed project must research, apply, and/or develop novel approaches to the assessment and
improvement of behavioral health within the force. Examples include but are not limited to, novel
approaches to treatment and rehabilitation from acute and/or chronic post-traumatic stress,
depression, and anxiety, improved emotional and nervous system self-regulation, digital/virtual
engagement strategies, methods to measure behavioral health performance over time, and improved
suicide prevention tools/strategies.
9. Canine Medicine and Performance:
SOF personnel rely on canines’ exceptional capabilities as combat multipliers. This research area
explores alternatives and/or new approaches to preserve and enhance SOF canine combat
performance. SOF medical personnel place a premium on canine-specific approaches that are
effective in extreme environments and do not require significant additional logistical support (i.e.,
maximize use of available SOF Medic materiel). The eight “Canine Medicine and Performance”
project areas, to which SOF will give consideration, in priority order, are:
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a. Trauma Resuscitation:
The proposed project must support development of innovative techniques/strategies for canine
trauma resuscitation (e.g., hypotensive resuscitation, whole blood/blood component replacement, and
non-compressible hemorrhaging), particularly to address ballistic projectile injuries, in
diverse/austere environments that lack immediately available medical evacuation or restorative
surgical capacity.
Note: Research should minimize or refrain from utilizing canine specific equipment or devices; this
will allow treatment from existing trauma kits fielded by SOF Medics.
b. Non-Traditional Anesthesia Protocols:
The proposed project must develop novel approaches for routine and emergency/post- traumatic
canine field sedation and/or anesthesia in diverse environments and, utilizing pharmaceuticals
available to SOF Medics.
c. Canine Performance:
The proposed project must research, apply, and/or develop novel approaches and/or technologies that
address optimization of canine performance through improved physical conditioning programs,
reduction of cognitive decline, enhanced nutrition, and genetics research.
d. Sensory Optimization and Protection:
Research must be oriented toward innovative methods that enhance or conserve SOF canine
olfactory, visual, and/or auditory performance during combat operations.
e. Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Canine
Decontamination, Treatment, and PPE Against Possible Exposure:
The proposed projects must research, apply, and/or develop novel approaches that will diagnose,
treat, decontaminate, and protect canines from exposure to chemical, biological, radiological,
nuclear, and high yield explosives.
f. Environmental Extremes:
Project proposals must research, apply, and/or develop novel strategies that address acclimatization
to acute extremes in temperature, altitude, and/or time zone change (circadian acclimatization),
and/or prolonged marine environmental exposure in SOF canines.
g. Brain Health and TBI
Brain health research efforts include but are not limited to development and validation of NCATs,
blast exposure and impact monitoring, determination of safe acceptable limits for blast exposure,
validation of neurocognitive baseline testing, capabilities to easily determine mild, moderate, and
severe TBI, pharmaceuticals to prevent or treat brain injury, validation of brain injury treatment
strategies, and procedures to determine safe return to duty decisions for SOF canines.
h. Pre- and Post-Trauma Training / Behavioral Issues:
The proposed project must address unique approaches to diagnosing and treating SOF-peculiar
training and post-traumatic canine behavioral issues, to optimize pre-purchase selection and post-
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purchase training strategies across the enterprise and restore performance in canines with behavioral
and/or post-trauma issues.
10. Medical Sustainment
SOF medical personnel require sustainment capabilities to support far-forward medical
requirements to reduce the patient and supply risk associated with operational medicine. The
proposed research, application, and/or development of medical sustainment techniques and
materiel must address unique approaches to optimizing supply management and safeguarding
equipment requirements. The project areas under “Medical Sustainment” to which the
USSOCOM will give highest consideration are:
a. Power and Energy
Project proposals must research, apply, and/or develop novel strategies that conserve or optimize
medical equipment in-field use to reduce sustainment burden in prolonged, austere
environments.
b. Austere Medical Logistics Procurement
SOF personnel, operating in austere environments, may not have the ability to receive
conventional resupply efforts. Project proposals must research, apply, and/or develop novel
approaches to assist SOF personnel in developing and receiving medical resupplies or repair
parts to meet their needs while in the field. These efforts must meet shipping and handling
considerations (i.e. temperature control) for a wide range of medical products from batteries to
blood. Efforts may include, but are not limited to, fabrication, improvisation, and/or delivery
methods from sea, ground, air, or suborbital domains.
c. Equipment Protection
Research that develops novel material and/or approaches to protect SOF medical equipment from
environmental (i.e. CBRNE, freezing temperatures, etc.) and/or adversarial effects (i.e. jamming,
electromagnetic pulse weapons, etc.).
d. Supply Monitoring Capability
Project proposals must research, apply, and/or develop novel approaches to rapidly forecasting
and calculating supply requirements based on patient treatment requirements, shelf-life, and
storage considerations.
II.B. Federal Award Information
The Anticipated total costs budgeted for the entire period of performance inclusive of all
contract awards made in response to this BAA, will not exceed $20 Million annually. The
number of awards is indeterminate and contingent upon funding availability. Any funding
that is received by the USSOCOM that is appropriate for a research area described within this
BAA may be utilized to fund awards. Refer to Section II.D.5. Funding Restrictions, for
detailed funding information.
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The USAMRAA will negotiate the contract awards for proposals selected for funding. A contract
is required when the principal purpose of the instrument is to acquire supplies or services for the
direct benefit or use of the U.S. Government. The contract type, along with the start date, will be
determined during the negotiation process.
Please see Appendix 2 of the General Submission Instructions for more information.
Research involving Human Anatomical Substances, Human Subjects, or Human Cadavers:
All DoD-funded research involving new and ongoing research with human anatomical
substances, human subjects, or human cadavers must be reviewed and approved by the
USAMRDC Office of Human Research Oversight (OHRO),, prior to research implementation.
This administrative review requirement is in addition to the local Institutional Review Board
(IRB) or Ethics Committee (EC) review. Local IRB/EC approval at the time of submission is
not required. The OHRO Human Research Protections Official (HRPO) review is mandated to
comply with specific laws and requirements governing all research involving human anatomical
substances, human subjects, or human cadavers that is supported by the DoD. These laws and
requirements will necessitate information in addition to that supplied to the IRB/EC. Allow a
minimum of 2 to 3 months for OHRO HRPO regulatory review and approval processes.
Additional time for regulatory reviews may be needed for clinical studies taking place in
international settings. When possible, protocols should be written for research with human
subjects and/or human anatomical substances that are specific to the DoD-supported effort
outlined in the submitted proposal/application as a stand-alone study. Submission to OHRO of
protocols involving more than the scope of work in the DoD-funded award will require review of
the entire protocol (DoD and non-DoD funded). DoD human subjects' protection requirements
may be applied to non-DoD funded work and necessitate extensive revisions to the protocol.
Refer to the General Submission Instructions, Appendix 1, and the Human Subject Resource
Document available on the eBRAP “Funding Opportunities & Forms” web page
(https://ebrap.org/eBRAP/public/Program.htm) for additional information.
Typically, a clinical trial is not associated with this BAA. A clinical trial is defined as a
prospective accrual of patients (human subjects) in which an intervention (e.g., device, drug,
biologic, surgical procedure, rehabilitative modality, behavioral intervention, or other) is tested
for a measurable outcome with respect to safety, effectiveness, and/or efficacy. This outcome
represents a direct effect on the subject of that intervention or interaction.
Research Involving Animals: All DoD-funded research involving new and ongoing research
with animals must be reviewed and approved by the USSOCOM Veterinarian Review Office
(VRO) which ensures that research conducted, contracted, sponsored, supported, or managed by
the DoD involving animal care are conducted in accordance with federal, DoD, Army,
USSOCOM VRO, and international regulatory requirements. The USSOCOM VRO is
responsible for administrative review, approval, and oversight of all animal research protocols,
including all changes made during the life of the protocol.
Specific documents relating to the use of animals in the proposed research will be requested if
the application is selected for funding. The VRO must review and approve all animal use prior
to the start of working with animals, including amendments to ongoing projects. PIs must
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submit the institutional animal use protocol. Allow at least 1 to 2 months for regulatory review
and approval processes for animal studies.
Questions concerning animal use and review should be directed to the USSOCOM VRO:
Phone: 813-826-6031; Email: socom_vet@socom.mil.
Refer to the General Submission Instructions, Appendix 1, for additional information.
The USSOCOM intends that information, data, and research resources generated under awards
funded by this BAA be made available to the research community (which includes both
scientific and consumer advocacy communities) and to the public at large.
II.C. Eligibility Information
II.C.1. Eligible Applicants
II.C.1.a. Organizations:
Awards are made to organizations only. Organizations eligible to apply include national,
international, for-profit, non-profit, public, and private organizations. Refer to the General
Submission Instructions, Appendix 3.B, for general eligibility information.
NOTE: In accordance with FAR 35.017, Federally Funded Research and Development Centers
(FFRDCs) are not eligible to directly receive awards under this BAA. However, teaming
arrangements between FFRDCs and eligible organizations are allowed so long as they are
permitted under the sponsoring agreement between the Federal Government and the specific
FFRDC.
The USSOCOM is committed to supporting small businesses. Small business, Veteran-owned
small business, Service-disabled Veteran-owned small business, HUBZone small business,
disadvantaged small business, and woman-owned small business concerns must be given the
maximum practical opportunity to participate through subawards on research proposals
submitted through the BAA.
II.C.1.b. Eligible Investigators
Eligible investigators include all individuals, regardless of ethnicity, nationality, or citizenship
status, who are employed by, or affiliated with, an eligible organization.
There are no limitations on the number of proposals for which an investigator may be named as a
Principal Investigator (PI).
The USAMRAA makes awards to eligible organizations, not to individuals.
In addition to other information provided herein, by submitting a proposal/application and
accepting an award, the organization is: (1) certifying that the investigators’ credentials have
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been examined and; (2) verifying that the investigators are qualified to conduct the proposed
study and to use humans or animals as research subjects, if proposed.
II.C.2. Cost Sharing
Cost sharing/matching is not an eligibility requirement.
II.C.3. Other
Organizations must be able to access .gov and .mil websites in order to fulfill the financial and
technical deliverable requirements of the award and submit invoices for payment.
Refer to Section II.H.1, Administrative Actions, for a list of administrative actions that may be
taken if a pre-application or application does not meet the administrative, eligibility, or ethical
requirements defined in this BAA.
For general information on required qualifications for award recipients, refer to the General
Submission Instructions, Appendix 3.
Use of the System for Award Management (SAM) and the Responsibility/Qualification (R/Q):
To protect the public interest, the Federal Government ensures the integrity of Federal programs
by striving to conduct business only with responsible organizations. The USSOCOM uses the
“Exclusions” within the Performance Information functional area of the SAM and data from the
R/Q, a component within SAM, to verify that an organization is eligible to receive Federal
awards. More information about the SAM and the R/Q is available at https://www.sam.gov/.
Refer to the General Submission Instructions, Appendix 3, for additional information.
Conflicts of Interest: All awards must be free of conflicts of interest (COIs) that could bias the
research results. Prior to award of a contract, applicants will be required to disclose all potential
or actual COIs along with a plan to manage them. An award may not be made if it is determined
by the Contracting Officer that COIs cannot be adequately managed. Refer to the General
Submission Instructions, Appendix 3, for additional information.
Review of Risk: The following areas may be reviewed in evaluating the risk posed by an
applicant: Financial stability; quality of management systems and operational controls; history
of performance; reports and findings from audits; ability to effectively implement statutory,
regulatory, or other requirements imposed on non-Federal entities; degree of institutional
support; integrity; adequacy of facilities; and conformance with safety and environmental
statutes and regulations.
Subcontracting Plan: If the resultant award is a contract that exceeds $750,000 and the offeror
is other than a small business, the contractor will be required to submit a subcontracting plan for
small business and small disadvantaged business concerns, in accordance with FAR 19.704 and
DFARS 219.704. A mutually agreeable plan will be incorporated as part of the resultant
contract.
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II.D. Proposal/Application Submission Information
II.D.1. Where to Obtain the Proposal/Application Submission Package
To obtain the complete Grants.gov proposal/application package (hereinafter, submission
package), including all required forms, perform a Grants.gov (http://www.grants.gov/) basic
search using the Funding Opportunity Number HT9425-23-S-SOC1.
Submission is a two-step process requiring both (1) pre-proposal/pre-application submission
through eBRAP (https://eBRAP.org/) and (2) full proposal/application submission through
Grants.gov or eBRAP, depending on the type of application being submitted.
eBRAP is a multifunctional web-based system that allows PIs to submit their pre-applications
electronically through a secure connection, to view and edit the content of their pre-applications
and full applications, to receive communications from the USSOCOM, and to submit
documentation during award negotiations and period of performance.
Classified Submissions: Classified 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 and/or controlled unclassified information,
clause FAR 52.204-2 shall be in effect, as well as a DD Form 254, if issued.
Care must be exercised to ensure that classified, sensitive, and critical technologies are not
included in a proposal/ application package. If such information is required, appropriate
restrictive markings and procedures should be applied prior to submission of the proposal/
application package. Portions of the proposal/ application package may be subject to release
under terms of the Freedom of Information Act, 5 U.S.C. 552, as amended.
Pre-application content and forms must be accessed and submitted at eBRAP.org. Full
application packages must be accessed and submitted at Grants.gov.
Contact information for the eBRAP Help Desk and the Grants.gov Contact Center can be found
in Section II.G, Federal Awarding Agency Contacts.
II.D.2. Content and Form of the Proposal/Application Submission
Submission is a two-step process requiring both pre-application submission and full application
submission as indicated below. The submission process should be started early to avoid missing
deadlines. There are no grace periods.
Pre-Application Submission: All pre-applications for extramural organizations must be
submitted through eBRAP (https://eBRAP.org/).
Full Application Submission: Full applications must be submitted through the online portals as
described below.
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Submitting Organizations: Full applications from extramural organizations must be submitted
through a Grants.gov Workspace. Applications submitted by extramural organizations (e.g.,
research foundations) on behalf of intramural DoD or other Federal organizations or
investigators will be considered extramural submissions. Applications from extramural
organizations, including non-DoD Federal organizations, received through eBRAP will be
withdrawn. See definitions in Section II.C.1, Eligible Applicants.
A key feature of eBRAP is the ability of an organization’s representatives and PIs to view and
modify the full application submissions associated with them. eBRAP will validate full
application files against the specific BAA requirements, and discrepancies will be noted in an
email to the PI in the “Full Application Files” tab in eBRAP. It is the applicant’s responsibility
to review all application components for accuracy as well as ensure proper ordering as specified
in this BAA.
The application title, eBRAP log number, and all information for the PI, Business Official(s),
performing organization, and contracting organization must be consistent throughout the
entire pre-application and full application submission process. Inconsistencies may delay
application processing and limit or negate the ability to view, modify, and verify the application
in eBRAP. If any changes need to be made, the applicant should contact the eBRAP Help Desk
at help@eBRAP.org or 301-682-5507 prior to the application submission deadline.
II.D.2.a. Step 1: Pre-Proposal/Pre-Application Submission Content
Submission of a pre-proposal/pre-application is required and must be submitted through eBRAP
(https://eBRAP.org/). If the USSOCOM is interested in receiving a full proposal/application, the
PI will be sent an invitation to submit via eBRAP.
During the pre-proposal/pre-application process, each submission is assigned a unique log
number by eBRAP. This unique eBRAP log number is required during the full application
submission process. To begin the pre-application process, first select whether the submitting
organization is extramural or intramural, then confirm your selection or cancel. Incorrect
selection of extramural or intramural submission type will delay processing.
If an error has been made in the selection of extramural versus intramural and the pre-application
submission deadline has passed, the PI or Business Official must contact the eBRAP Help Desk
at help@eBRAP.org or 301-682-5507 to request a change in designation.
Because the invitation to submit a proposal/application is based on the contents of the pre-
proposal/pre-application, a PI should not change the title or research objectives after the pre-
proposal/pre-application is submitted. A PI and organization identified in the pre-proposal/pre-
application should be the same as those intended for the full proposal/application submission. If
any changes are necessary after submission of the pre-proposal/pre-application, the PI must
contact the eBRAP Help Desk via email at help@eBRAP.org or 301-682-5507. A change in PI
or organization after submission of the pre-proposal/pre-application will be allowed only at the
discretion of the USAMRAA Contracting Officer. Change in Principal Investigator during
contract performance unless otherwise restricted, will be allowed at the discretion of the
USAMRAA Contracting Officer, provided that the intent of the award is met.
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The organization, Business Official, and PI must register in eBRAP before submitting a pre-
proposal/pre-application. Upon completion of an organization’s registration in eBRAP and
approval by the eBRAP Help Desk, the organization name will be displayed in eBRAP to assist
the organization’s Business Officials and PIs as they register. The organization, Business
Officials, and PIs must all be registered and affiliated in eBRAP. (See eBRAP User Guide at
https://ebrap.org/eBRAP/public/UserGuide.pdf.)
Pre-proposals may be submitted at any time prior to the BAA closing date. Pre-proposals should
describe specific ideas or projects that pertain to any of the areas described under “Program
Description” in this BAA. A pre-proposal/pre-application must include a brief description of the
scientific methods and design to address the problem as described below. Brochures or other
descriptions of general organizational or individual capabilities will not be accepted as a pre-
proposal/pre-application. DO NOT include any proprietary information in the pre-
proposal/pre-application.
The pre-proposal/pre-application consists of the following components, which are organized in
eBRAP by separate tabs. Refer to the General Submission Instructions, Section II, for additional
information on the pre-proposal/pre-application submission.
• Tab 1 – Application Information: Enter the information as described in eBRAP before
continuing the pre-proposal/pre-application.
• Tab 2 – Application Contacts: Enter contact information for the PI and the
organization’s Business Official responsible for the sponsored program administration (or
equivalent). This is the individual listed as “person to be contacted on matters involving
this Application” in Block 5 of the Grants.gov SF424 form. The form is designed to fill in
common required fields across other forms, such as the applicant's name, address, and
Unique Entity Identifier (UEI) Number. Once it is completed, the information will
transfer to the other forms.
The Business Official must either be named or invited in order for the pre-proposal/pre-
application to be submitted. If the organization’s Business Official is not in eBRAP, an
invitation to the Business Official to register in eBRAP must be sent. In addition, it is
recommended that the applicant identify an Alternate Submitter in the event that
assistance with pre- proposal/pre-application submission is needed.
NOTE: The eBRAP system does not require an approval of the pre-proposal/pre-
application by the PI’s organization.
• Tab 3 – Collaborators and Key Personnel:
Enter the name, organization, and role of all collaborators and key personnel associated
with the Application (including co-investigators, mentors, collaborators, consultants, and
subrecipients/subawardees) associated with the proposal/ application. Enter the
organization’s Business Official responsible for sponsored program administration (the
“person to be contacted on matters involving this Application” in Block 5 of the
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Grants.gov SF-424 form). The Business Official must either be selected from the eBRAP
list or invited in order for the pre- proposal/pre-application to be submitted.
• Tab 4 – Conflicts of Interest (COI):
List all individuals other than collaborators and key personnel who may have a conflict of
interest (COI) in the review of the pre-proposal/pre-application (including those with
whom the PI has a personal or professional relationship). Federal agency personnel
involved in the review process and/or with making funding recommendations are
prohibited from being involved in the research proposed or assisting in any pre-
proposal/pre-application, including, but not limited to, concept design, proposal/
application development, budget preparation, and the development of any supporting
documentation. If formal collaboration with Military Facility personnel is planned
(i.e., included in the proposal/application in performance of the research), this
prohibition is not applicable. Military Facility is defined as Military Health System
(MHS) facility, research laboratory, medical treatment facility, dental treatment
facility, or a DoD activity embedded with a civilian medical center. However, these
Military Facility personnel cannot be involved in the review process and/or with
making funding recommendations. Refer to the General Submission Instructions,
Appendix 3.D, for additional information. For questions related to COI, contact the
eBRAP Help Desk at help@eBRAP.org or 301-682-5507.
• Tab 5 – Pre-Application Files:
Note: Upload document(s) as individual PDF files unless otherwise noted. eBRAP will
not allow a file to be uploaded if the number of pages exceeds the limit specified below.
Pre-Proposal/Pre-Application Narrative (6-page limit): The pre-proposal/ pre-
application narrative page limit applies to text and non-text elements (e.g., figures, tables,
graphs, photographs, diagrams, chemical structures, drawings, etc.) used to describe the
project. Inclusion of URLs that provide additional information to expand the Narrative
and could confer an unfair competitive advantage is prohibited and may result in
administrative withdrawal of the pre-proposal/pre-application.
Include the following:
○ Problem to Be Studied: Describe the perceived issue(s) and the problems to be
studied. This section should serve as an abstract of the proposed work.
○ Theoretical Rationale, Scientific Methods, and Design: Describe how the
research approach for accomplishing the specific aims is feasible, will
accomplish the objectives, will provide information on proposed methods and
analysis/evaluation strategies, and is based on sound rationale. Describe how the
proposed work and research will create and produce a demonstration and
validation/proof of concept to meet the subject Topic Area.
– Background/Rationale: Clearly present the ideas and reasoning behind
the proposed research. Include relevant military and civilian literature
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citations, preliminary and/or pilot data, and/or other evidence that led to
the development of the proposed research. Any preliminary data should
be from the laboratory of the PI or member(s) of the collaborating team.
– Hypothesis/Objective and Specific Aims: State the proposed project’s
hypothesis and/or objectives and the specific aims/tasks of the proposed
research.
– Approach/Methodology: Describe the research approach. Include
research design, methods, and analysis/evaluation strategies as well as
materials anticipated to be used during the research. Include a description
of human use in the proposed project. For studies involving human
subjects, include a description of the size, characteristics, and partnering
organizations of the subject population that will be employed.
○ Significance, Relevance, and Innovation of the Proposed Effort:
– Significance and Relevance: Clearly articulate how the proposed research is
instrumental in addressing research gaps, meets military requirements, and has
military relevance to improving theater/operational medicine.
– Innovation: Explain how the proposed project is innovative and not an
incremental advancement of previous work.
○ Proposed Study Design/Plan: Provide the intended research methodology that
will support the study. Provide preliminary information such as description and
background of the technical solution, anticipated success criteria, research/test
plan(s), and statistical protocols. Refer to Section II.A., Program Description, for
additional information on the RAIs for this BAA.
○ Military Impact: Describe the anticipated short- and/or long-term outcomes of the
proposed project and their potential impact on improving technologies, data and/or
processes. Refer to Section II.A., Program Description, for additional information on
the anticipated outcomes sought by this BAA.
○ Personnel and Facilities: Describe the role of the PI, co-PIs (if applicable), key
personnel, sub-awards (if applicable), and consultants (if applicable) in the research
team, including the expertise each brings to the proposed project. Explain how the
team’s expertise is appropriate and complementary for achieving the research goals.
Also, briefly provide information on the primary facility where the research is
expected to be performed.
○ Open Source/License/Architecture: Describe the intellectual property that is
intended to be incorporated within the design/plan and identify any additional
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costs, such as licensing, which may be needed to ensure flexibility or adaption of
the research project for Government use.
Pre-Proposal/Pre-Application Supporting Documentation: The items to be included as
supporting documentation for the pre-proposal/pre-application must be uploaded as individual
PDF documents and are limited to:
○ References Cited (one-page limit): List the references cited (including URLs if
available) in the pre-proposal/pre-application narrative using a standard reference
format that includes the full citation (i.e., author[s], year published, title of reference,
source of reference, volume, chapter, page numbers, and publisher, as appropriate).
○ List of Abbreviations, Acronyms, and Symbols: Provide a list of abbreviations,
acronyms, and symbols used in the pre-proposal/pre-application narrative.
○ PI and Key Personnel Biographical Sketches (five-page limit per individual):
Upload as “Biosketch_LastName.pdf.” Bold or highlight publications relevant to the
proposed project.
○ Budget Summary: Upload as “BudgetSummary.pdf.” Complete the two-page Pre-
Application Budget Summary Form (available for download in eBRAP) as instructed.
○ Quad Chart: Upload as “QuadChart.pdf.” Complete the one-page Quad Chart
Form (available for download in eBRAP) as instructed.
 Submit Pre-Application – Tab 6: This tab must be completed for the pre-
proposal/preapplication to be accepted and processed.
II.D.2.b. Pre-Proposal/Pre-Application Screening Criteria
The USSOCOM scientists or outside experts will screen pre-proposals for technical merit and
programmatic considerations. Based on the screening of the preproposal, a PI may be invited to
submit a full proposal/application. Pre- proposal will be screened based on the following
criteria, listed in descending order of importance:
• Theoretical Rationale, Scientific Methods, and Research: To what degree the
research approach for accomplishing the specific aims is feasible, will accomplish
the objectives, will provide information on proposed methods and analysis/
evaluation strategies, and is based on sound rationale. To what degree the proposed
work and research will create and produce a demonstration and validation/proof of
concept to address the Topic Area.
• Significance, Relevance, and Innovation: To what degree the proposed research is
relevant and innovative, including whether the proposed research is duplicative of
existing research.
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• Study Design/Plan: To what degree the proposed demonstration and validation study
methodologies, anticipated sample and sample size, test plan(s), anticipated success
criteria, evaluation criteria/metrics, and statistical protocols will justify and support
the intended outcomes of the proposed research.
• Military Impact: To what degree the project’s anticipated short- and/or long-term
outcomes will impact the military and provide advancement in theater/operational
medicine in the military health system in a way that is consistent with the intent of
the award mechanism.
• Personnel, Facilities, Timelines, and Budget: To what degree the expertise,
experience, and knowledge of the key research personnel (including co-PIs if
applicable), sub-awards (if applicable), and consultants (if applicable) are
appropriate and complementary for achieving the research goals. To what degree
the prime facility will be able to perform the proposed research.
Following the pre-proposal/pre-application screening, PIs will be notified as to whether or not
they are invited to submit full proposals; however, they will not receive feedback (e.g., a critique
of strengths and weaknesses) on their pre-proposals. Within 180 days of submission, PIs should
receive email notification via eBRAP regarding disposition of their pre-proposals.
A. II.D.2.c. Step 2: Full Proposal/Application Submission Content
A Proposal/Application will not be accepted unless the PI has received an invitation to submit.
If the USSOCOM is interested in receiving a full proposal/application, the PI will receive an
invitation to submit via email from eBRAP. It should be submitted within 60 days of the PI’s
receipt of an invitation to submit, as directed in II.D.2. Agency receipt of a full
proposal/application will be acknowledged by an email sent to the PI via eBRAP. The
proposal/application log number for the full proposal/application will be the same number as
used for the pre-proposal/pre-application, e.g., SO23XX.
The USSOCOM cannot make allowances/exceptions to its policies for submission problems
encountered by the applicant organization using system-to-system interfaces with Grants.gov.
Each application submission must include the completed full application package for this BAA.
The full application package is submitted by the Authorized Organizational Representative
through Grants.gov (http://www.grants.gov/) for extramural organizations. See Table 1 below for
more specific guidelines. Proprietary information should only be included if necessary for
evaluation of the proposal/application. Conspicuously and legibly mark any proprietary
information that is included in the proposal/application.
II.D.2.c.i. Full Guidelines
Organizations must submit full applications through Grants.gov. Applicants must create a
Grants.gov Workspace for submission, which allows the application components to be
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completed online and routed through the applicant organization for review prior to submission.
Applicants may choose to download and save individual PDF forms rather than filling out
webforms in the Workspace. A compatible version of Adobe Reader must be used to view,
complete, and submit an application package consisting of PDF forms. If more than one person
is entering text into an application package, the same version of Adobe Reader software should
be used by each person. Check the version number of the Adobe software on each user’s
computer to make sure the versions match. Using different versions of Adobe Reader may cause
submission and/or save errors – even if each version is individually compatible with Grants.gov.
Refer to the General Submission Instructions, Section III, and the “Apply For Grants” page of
Grants.gov (https://www.grants.gov/web/grants/applicants/apply-for-grants.html) for further
information about the Grants.gov Workspace submission process. Submissions of extramural
applications through eBRAP may be withdrawn.
Table 1. Full Submission Guidelines
Submissions
Download application package components for
HT9425-23-S-SOC1 from Grants.gov
(http://www.grants.gov) and create a Grants.gov
Workspace. The Workspace allows online completion
of the application components and routing of the
application package through the applicant organization
for review prior to submission.
SF424 Research & Related Forms (R&R)
Application for Federal
Assistance Form: Refer to the General Submission
Instructions, Section III.A.1, for detailed information.
Submissions
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Descriptions of each required file can be found under
Full Application Submission Components:
• Attachments
• Research & Related Personal Data
• Research & Related Senior/Key Person
Profile (Expanded)
• Research & Related Budget
• Project/Performance Site Location(s) Form
• R&R Subaward Budget Attachment(s) Form
(if applicable)
• (if applicable) Additional Application
Component(s)
Complete a Grants.gov Workspace.
Add participants (investigators and Business Officials)
to the Workspace, complete all required forms, and
check for errors before submission. The Workspace
progress bar will display the state of your application
process as you apply. As you apply using Workspace,
you may click the blue question mark icon near the
upper-right corner of each page to access context-
sensitive help.
Mandatory Fields in Forms: In the forms, you will
note fields marked with an asterisk and a different
background color. These fields are mandatory fields
that must be completed to successfully submit your
application.
Submit a Grants.gov Workspace Package. An
application may be submitted through
Workspace by clicking the “Sign and Submit” button on
the “Manage Workspace” page, under the “Forms” tab.
Grants.gov recommends submission of the application
package at least 24-48 hours prior to the close date to
allow time to correct any potential technical issues that
may disrupt the application submission.
Note: If either the Project Narrative or the budget fails
eBRAP validation or if the Project Narrative or the
budget needs to be modified, an updated Grants.gov
application package must be submitted via Grants.gov
as a “Changed/Corrected Application” with the previous
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Grants.gov Tracking ID prior to the application
submission deadline.
Submissions
The full application package submitted to
Grants.gov may be viewed and modified in eBRAP until
the end of the application verification period. During
the application verification period, the full application
package, with the exception of the Project Narrative
and Budget Form, may be modified.
Tracking a Grants.gov Workspace Package. After
successfully submitting a Workspace package, a
Grants.gov Tracking Number is automatically assigned
to the package. The number will be listed on the
“Confirmation” page that is generated after submission.
Refer to the General Submission Instructions, Section
III, for further information regarding Grants.gov
requirements.
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Application viewing, modification, and verification in eBRAP are strongly recommended, but
not required. The Project Narrative and Budget cannot be changed after the application
submission deadline. Prior to the full application deadline, a corrected or modified full
application package may be submitted. Other application components may be changed until the
end of the application verification period. Verify that subaward budget(s) and budget
justification forms are present in eBRAP during the application verification period. If these
components are missing, upload them to eBRAP before the end of the application verification
period. After the end of the application verification period, the full application cannot be
modified.
Material submitted after the end of the application verification period, unless specifically
requested by the Government, will not be forwarded for processing.
II.D.2.c.ii. Full Proposal/Application Submission Components
The Grants.gov submission package includes the following components (refer to the General
Submission Instructions, Section III., for additional information on proposal/application
submission):
1. SF 424 (R&R) Application for Federal Assistance Form: Refer to the General
Submission Instructions, Section III for detailed information.
2. Attachments Form
Each attachment to the full proposal/application components must be uploaded as an
individual file in the format specified and in accordance with the formatting guidelines
listed in the General Submission Instructions, Appendix 4.
For all attachments, ensure that the file names are consistent with the guidance. Attachments
will be rejected if the file names are longer than 50 characters or have incorrect file names
that contain characters other than the following: A-Z, a-z, 0-9, underscore, hyphen, space,
and period. In addition, there are file size limits that may apply in some circumstances.
Individual attachments may not exceed 20 MB, and the file size for the entire full
proposal/application package may not exceed 200 MB.
 Attachment 1: Project Narrative (20-page limit): Upload as
“ProjectNarrative.pdf.” The page limit of the Project Narrative applies to text
and non-text elements (e.g., figures, tables, graphs, photographs, diagrams,
chemical structures, drawings, etc.) used to describe the project. Inclusion of
URLs that provide additional information to expand the Project Narrative and
could confer an unfair competitive advantage is prohibited and will result in
administrative withdrawal of the proposal/application.
Describe the proposed project in detail using the outline below.
○ Background: Present the ideas and reasoning behind the proposed
research; include relevant literature citations or preliminary data on the
proposed technical solution(s) and how they may have been utilized in
similar environment(s). Describe previous experience most pertinent to this
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project. Any preliminary data should be from the laboratory of the PI or
member(s) of the collaborating team.
○ Hypotheses/Objectives: State the hypotheses or research/evaluation
questions and overall objective(s) to be reached.
○ Specific Aims: Concisely explain the project’s specific aims to include
expected timeframe of each aim. If this proposal/application is part of a
larger study, present only tasks this award would fund.
○ Project Design: Describe and define the research design, methods, and
analyses/evaluations in sufficient detail for analysis.
— Clearly support the choice of study variables/metrics and explain the
basis for the research questions and/or study hypotheses. Establish the
relevance of the study and explain the applicability of the proposed
findings.
— Provide a detailed protocol, including but not limited to, proposed
methodologies, research/test plan(s) and criteria, intended medical
domain(s) or discipline(s), control groups, and defined statistical
models.
— Define the study variables (independent/dependent) and define how they
will be measured. Include a description of appropriate controls and the
endpoints to be tested. Describe how data will be collected and analyzed in
a manner that is consistent with the study objectives. Describe a plan for
data access and outcome dissemination.
— For development of devices and technologies, discuss the engineering/
technical design that will be used to achieve the project goals,
demonstrating the feasibility of the proposed product development. Discuss
the perceived engineering/design strengths and flaws and recommendations
for overcoming/preventing them.
— Address all potential barriers and provide plans for addressing potential
delays, unexpected events, changes in key personnel, and ongoing
adaptation of the Application. Provide a risk management plan to address
barriers to plans. As relevant, describe plans for addressing potential
issues unique to working within the military health system.
— Document the availability and accessibility of the study materials (including
data) needed as applicable.
○ Project Milestones: Identify timelines for critical events that must be
accomplished in order for the project to be successful in terms of cost,
schedule, and performance. For development of devices and technologies,
discuss the timelines and provide a commercial strategy plan for the
technology being developed.
○ Additional Information: If human subjects are involved in the research,
proposals may be submitted prior to human protocol institutional approvals.
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However, protocols with required institutional approvals must be submitted no
later than 60 days after award to demonstrate continued progress and ensure
continuation of payment. The Contracting Officer may make exceptions in
situations where human and/or animal use is not expected to begin until after
the first year of the research project. In such cases, a timeframe for submission
of the appropriate protocols and institutional approvals will be established
prior to award.
PIs and collaborating organizations may not use, employ, or subcontract for
the use of any human participants, including the use of human anatomical
substances, human data, and/or human cadavers, or laboratory animals until
applicable regulatory documents are approved by the OHRO and or
USSOCOM VRO to ensure that DoD regulations have been met.
– For studies with prospective accrual of human subjects, indicate
quarterly enrollment targets.
– Identify cell line(s) and commercial or organizational source(s) to be
used. If human anatomical substances (including cell lines) will be used,
specify whether or not identifiable information is accessible to the
research team by any means.
– If applicable, indicate time required for submission and/or approval of
documents (e.g., Investigational New Drug and Investigational Device
Exemption) to the U.S. Food and Drug Administration or appropriate
Government agency.
– For studies involving human subjects, allow at least 2 to 3 months for
regulatory review and approval by the USAMRDC OHRO; this does not
include the additional time required for local Institutional Review Board
(IRB)/Ethics Committee (EC) review and approval.
Refer to the General Submission Instructions, Appendix 5, for additional
regulatory information.
 Attachment 2: Supporting Documentation: Start each document on a new
page. Combine and upload as a single file named “Support.pdf.” If
documents are scanned to pdf, the lowest resolution (100 to 150 dpi) should be
used. The Supporting Documentation attachment should not include additional
information such as figures, tables, graphs, photographs, diagrams, chemical
structures, or drawings.
There are no page limits for any of these components unless otherwise noted.
Include only those components described below; items not requested will be
removed and may result in administrative withdrawal of the
proposal/application.
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○ Bibliography and References Cited: List the references in the order they
appear in the Project Narrative. Use a standard reference format that includes
the full citation (i.e., author[s], year published, title of reference, source of
reference, volume, chapter, page numbers, and publisher, as appropriate. Do
not send or attach copies of articles in print. There is no form for this
information. The attachments should be in PDF in accordance with the
formatting guidelines specified for full proposal/application preparation.
○ List of Abbreviations, Acronyms, and Symbols: Provide a list of
abbreviations, acronyms, and symbols.
○ Facilities, Existing Equipment, and Other Resources: Describe the
facilities and equipment available for performance of the proposed project
and any additional facilities or equipment proposed for acquisition at no cost
to the award. Indicate whether or not Government-furnished facilities or
equipment are proposed for use. If so, reference should be made to the
original or present Government award under which the facilities or equipment
items are now accountable. There is no form for this information.
Note: For researchers who will require access to the Defense Healthcare
Management Systems Modernization (DHMSM) Cerner Electronic
Health Record (EHR) solution for testing related to research workflows
and/or interfaces: Access will be provided through a research environment
within the Program Executive Office (PEO) Defense Healthcare
Management Systems (DHMS) Testing Infrastructure at Allegheny Ballistics
Laboratory (ABL). Users will follow the PEO DHMS Testing Infrastructure
Onboarding Guide to access the environment. Direct support from the
DHMSM vendor will not be provided through the DHMSM contract. No one
is authorized to engage the DHMSM contractor for this purpose. Research
must remain in these stated bounds.
○ Publications and/or Patent Abstracts (five-document limit): Include
relevant publication URLs and/or patent abstracts. If publications are not
publicly available, then a copy/copies of the published manuscript(s) must
be attached.
○ Letters of Organizational Support: Provide a letter (or letters, if applicable),
signed by the Department Chair or appropriate organization official,
confirming the laboratory space, equipment, and other resources available for
the project. A letter for each organization involved in the project should be
provided.
○ Letters of Collaboration: Provide a signed letter from each collaborating
individual or organization that will demonstrate that the PI has the support or
resources necessary for the proposed work. If an investigator at an
intramural organization is named as a collaborator on an application
submitted through an extramural organization, the application must include a
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letter from the collaborator’s Commander or Commanding Officer at the
intramural organization that authorizes the collaborator’s involvement.
Refer to the General Submission Instructions, Section III.A.8., Research &
Related Budget, for additional information.
○ Joint Sponsorship (if applicable): Describe present or prospective joint
sponsorship of any portion of the program outlined in the proposal/
application. In the absence of agreements among sponsors for joint support, the
proposal/application should be structured so that the research can be carried
out without the resources of any other sponsor. If, however, it is desirable to
request partial support from another agency, the proposed plan should be stated
and the reasons documented. If the plan cannot be formulated at the time the
proposal/application is submitted, information should be sent later as an
addendum to the proposal/application. Prior approval from both agencies must
be secured for research to be undertaken under joint sponsorship. Provide
letters of support related to recruitment, subject access, and data access plans.
○ Intellectual Property (if applicable): Refer to the General Submission
Instructions, Appendix 3, for additional information. Provide the following:
– Should the Applicant intend to use, in the performance of this program,
pre-existing, legally protected and perfected intangible property and for
which no Federal funds had been used in the development of said property,
the Applicant must:
1. Clearly identify all such property;
2. Identify the cost to the Federal government for use or license of such
property if applicable; or
3. Provide a statement that no property meeting this definition will be
used on this project.

Intellectual and Material Property Plan: If applicable, provide a plan for

resolving intellectual and material property issues among participating
organizations.
 Attachment 3: Technical Abstract (one-page limit): Upload as
“TechAbs.pdf.”
The technical abstract is used by all reviewers. Abstracts of all funded research
projects will be posted publicly. Do not include proprietary or confidential
information. Use only characters available on a standard QWERTY keyboard.
Spell out all Greek letters, other non-English letters, and symbols. Graphics are
not allowed. Use the outline below.
Background: Provide a brief statement of the ideas and theoretical
o
reasoning behind the proposed work. o Objective/Hypothesis: State the
objective/hypothesis to be tested. Provide evidence or rationale that supports the
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objective/hypothesis. o Specific Aims/Milestones: State concisely the specific
aims/milestones of the project.
Project Design: Briefly describe the project design. o Impact: Provide a
o
brief statement explaining the potential impact of the proposed work to advancing
the standard of care for injured Service members and/or the general public. o
Relevance: Provide a brief statement explaining the potential relevance of the
proposed work to the specific topic area being addressed and its impact on health
outcomes.
• Attachment 4: Lay Abstract (one-page limit): Upload as “LayAbs.pdf.”
The lay abstract is used by all reviewers. Do not include proprietary or
confidential information. Use only characters available on a standard
QWERTY keyboard. Spell out all Greek letters, other non-English letters, and
symbols. Graphics are not allowed.
Lay abstracts should be written using the following outline. Do not duplicate the
technical abstract.
○ Describe the objectives and rationale for the proposal/application in a manner
that will be readily understood by readers without a background in science or
medicine.
○ Describe the ultimate applicability and potential impact of the research.
— What types of patients will it help, and how will it help them? Include
the current available statistics to the related injury/condition.
— What are the potential clinical Applications, benefits, and risks?
— What is the projected timeline it may take to achieve the expected patient-
related outcome?
○ Briefly describe how the proposed project will benefit Service
members, Veterans, and/or family members.
• Attachment 5: Statement of Work (SOW) (two-page limit): Upload as
“SOW.pdf.” The suggested SOW format and examples specific to different
types of research projects are available on the eBRAP “Funding Opportunities
& Forms” web page (https://ebrap.org/eBRAP/public/Program.htm). The SOW
outlines and establishes the PI’s and an organization’s performance expectations
for the work to be funded under this award. The SOW in an assistance
agreement award establishes general objectives. The SOW in a contract sets
rather specific goals and conditions for each year of the contracted project; the
PI and contractor are expected to meet the provisions and milestones of the SOW.
The SOW for all award types will be incorporated into the award document and,
as such, is subject to release under the Freedom of Information Act.
A series of relatively short statements should be included that comprise the
approach to each of the major goals or objectives of the proposed research. The
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statements should outline the specific tasks, systems, and materials that are
reasonable estimates for testing the proposed hypotheses of the study. An outline
should be included that shows the work statements to be accomplished in each
year of the award. If this proposal/application is part of a larger study, present
only tasks that this award would fund. Allow at least 2 to 3 months for the
USAMRDC OHRO’s regulatory review and approval processes for studies
involving human subjects. Allow at least 1 to 2 months for the USSOCOM
VRO regulatory review and approval processes for studies involving animals.
• Attachment 6: Outcomes and Impact Statement (one-page limit): Upload as
“Impact.pdf.” Explain in detail why the proposed research project is important,
as follows:
○ Short-Term Impact: Describe the anticipated outcome(s), results, theoretical
framework, design and or plan that will be directly attributed to the results of
the proposed research.
○ Long-Term Impact: Describe the anticipated long-term clinical/patient
gains or commercial end product from the proposed project. What is the
indication and will the project lead toward transforming the standard of
care? Are there non-trauma-related indications that would expand the
market for the proposed product?
○ Military Relevance: Clearly articulate how the proposed project or product
meets the needs of military medical providers and injured Service
members.
○ Public Purpose: If appropriate, provide a concise, detailed description on
how this project will benefit the general public.
• Attachment 7: Innovation Statement (two-page limit): Upload as
“Innovation.pdf.” Describe how the proposed project is innovative. Research
deemed innovative may introduce a new paradigm, challenge current paradigms,
look at existing problems from new perspectives, or exhibit other creative
qualities. Investigating the next logical step or incremental advancement on
published data is not considered innovative. This may include a proposed
conceptual framework, design, and/or plan of key components and how they
integrate/communicate with each other. Identify which potential components will
be open source/open architecture vs. proprietary.
• Attachment 8: Data and Research Resource-Sharing Plan (one-page limit):
Upload as “Sharing.pdf.” Describe how unique and/or final research data will
be shared with the research community, along with any resulting research
resources. This includes cases where pre-existing data or research resources will
be utilized and/or modified during the course of the proposed project. If there
are limitations associated with a pre-existing agreement for the original data or
research resources that preclude subsequent sharing, the Applicant should
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explain this in the data- and/or research resource-sharing plan. For projects
involving clinical trials, PIs may be required to register their clinical trials on
Clinicaltrials.gov (https://clinicaltrials.gov/). For projects involving TBI, PIs
may be required to report data to the Federal Interagency Traumatic Brain Injury
Research (FITBIR) informatics system (http://fitbir.nih.gov/). If the project
includes systems biology- related research, the PI may be required to make the
systems biology data, generated via an award, available to the research
community by depositing research data into the SysBioCube system
(https://sysbiocube-abcc.ncifcrf.gov). Refer to the General Submission
Instructions, Appendix 2, for additional information.
• Attachment 9: Conflicts of Interest, if applicable: Upload as “COI.pdf.”
Provide details with the proposal/application submission of all potential or
actual COIs, along with a plan to resolve them. A contract or assistance
agreement will not be awarded if it is determined by the respective Contracting
Officer that a COI cannot be managed.
Personnel involved in the review process and/or with making funding
recommendations are prohibited from assisting in any proposal/application,
including, but not limited to, concept design, Application development, budget
preparation, and the development of any supporting documentation.
Questions related to this topic should be directed to the eBRAP Help Desk via
email at help@eBRAP.org or 301-682-5507. Refer to the General Submission
Instructions, Appendix 3, for additional information.
• Attachment 10: Data Management (no page limit): Upload as
“DataManage.pdf.” The Data Management attachment should include the
components listed below.
Data Management: Describe all methods used for data collection to include the
following:
○ Identifiers: Describe the unique identifiers or specific code system to be used
to identify human subjects, if applicable.
○ Confidentiality: Explain measures taken to protect the privacy of studies
conducted on human subjects and the ability to maintain confidentiality of
study data. Strategies to protect the privacy and confidentiality of study
records, particularly those containing identifying information, should be
addressed.
— Address who will have access to study records, data, and specimens,
including an acknowledgment that representatives of USSOCOM are
eligible to review study records.
— Address requirements for reporting sensitive information to state or local
authorities.
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○ Disposition of data: Describe where data (both electronic and hard copy) will
be stored, who will keep the data, how the data will be stored, and the length
of time data will be stored. For FDA-regulated studies, compliance with 21
CFR 11 is required.
○ Sharing study results: In cases where the human subject could possibly
benefit medically or otherwise from the information, explain whether or not
the results of screening and/or study participation will be shared with human
subjects or their primary care provider, to include results from any screening or
diagnostic tests performed as part of the study.
• Attachment 11: Post-Award Project Transition Plan (three-page limit).
Upload as “Transition.pdf.” Provide information on the methods and
strategies proposed to move the project or knowledge outcomes to the next
project phase of studies, commercialization, and/or delivery to the civilian or
military market after successful completion of the award. The transition plan
should include the components listed below.
a. The planned indication for the product label, if appropriate, and an outline of
the development plan required to support that indication.
b. The anticipated regulatory strategy (e.g., additional nonclinical or clinical
studies anticipated/required, FDA or regulatory authority meetings desired,
industry partnerships) for movement of the research into later phases of
development and to support a potential marketing Application [e.g., New
Drug Application, Biologics License Application, Premarket Approval
Application, 510(k)].
c. Details of the funding strategy that will be used to bring the outcomes to
the next level of development and/or commercialization (e.g., specific
potential industry partners, specific funding opportunities to be applied
for).
d. For knowledge products, a description of how the knowledge will be further
developed, disseminated, and incorporated into clinical care.
e. A description of collaborations and other resources that will be used to
provide continuity of development.
f. A brief schedule and milestones for bringing the outcome(s) to the next phase
of studies, commercialization, and/or delivery to the military or civilian
market, including when it can be anticipated to be transitioned to an industry
partner or approved by the FDA, if applicable.
g. A risk analysis for cost, schedule, manufacturability, and sustainability.
• Attachment 12: Collaborating DoD Military Facility Budget Form(s), if
applicable: Upload as “MFBudget.pdf.” If a Military Facility will be a
collaborator in performance of the project complete the Collaborating DoD
Military Facility Budget Form (available for download on eBRAP “Funding
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Opportunities and Forms” web page), including a budget justification for each
year. If more than one Military Facility is proposed, submit a separate budget
form for each site. Refer to the General Submission Instructions, Section II.D.5.,
Research & Related Budget, for detailed information.
 Extramural Applications
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 USC
A§1681 et seq.), the DoD 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
science, technology, engineering, or mathematics (STEM) disciplines. To enable this
assessment, each application must include the following forms completed as indicated.
Research & Related Personal Data: For extramural submissions (via Grants.gov), refer to
the General Submission Instructions, Section III.A.3.
Research & Related Senior/Key Person Profile (Expanded): Refer to the General
Submission Instructions, Section III for detailed information.
• PI Biographical Sketch (five-page limit): Upload as “Biosketch_LastName.pdf.” 
PI Previous/Current/Pending Support (three-page limit): Upload as
“Support_LastName.pdf.”
• Key Personnel Biographical Sketches (five-page limit each): Upload as
“Biosketch_LastName.pdf.”
• Key Personnel Previous/Current/Pending Support (three -page limit each): Upload
as “Support_LastName.pdf.”
Research & Related Budget: Refer to the General Submission Instructions, Section III for
detailed information.
• Budget Justification (no page limit): Upload as “BudgetJustification.pdf.” The budget
justification for the entire period of performance must be uploaded to the Research &
Related Budget after completion of the budget for Period 1.
IAW FAR 35.016(e), “The primary basis for selecting proposals for
o
acceptance shall be technical, importance to agency programs, and fund
availability. Cost realism and reasonableness shall also be considered to the
extent appropriate”.
For contracts, statutory limits for fees are specified in FAR 15.404-4(c)(4).
o
NOTE: For all Federal agencies or organizations collaborating with Military
Facilities, special restrictions apply to the budget and are described below.
• For Federal Agencies: Proposals from Federal agencies must include in their budget
justifications a Federal Financial Plan. The Federal Financial Plan must address how
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all funds will be obligated before their period for obligation expires, and how funds will
be available to cover research costs over the entire award period. The Federal Financial
Plan must include the funding mechanism(s) that will be used to carry over funds
between fiscal years.
• For Collaborating DoD Military Facilities: Proposals from organizations that include
collaborations with DoD Military Facilities (military health system facility, research
laboratory, treatment facility, dental treatment facility, or a DoD activity embedded with
a civilian medical center) must submit Collaborating DoD Military Facility Budget
Form(s) as instructed in Attachment 12.
Project/Performance Site Location(s) Form: Refer to the General Submission Instructions,
Section III. for detailed information.
R & R Subaward Budget Attachment(s) Form (if applicable): Refer to the General
Submission Instructions, Section III. for detailed information.
R&R Subaward Budget Attachment(s) Form (if applicable): Refer to the General
Application Instructions, Section III. for detailed information.
Collaborating with DoD Military Facilities (if applicable): Refer to the General
Application Instructions, Section III. for detailed information.
II.D.3. Unique Entity Identifier (UEI) and System for Award Management (SAM)
All organizations applying online through Grants.gov must register with the System for Award
Management (SAM) and will receive a unique entity identifier (UEI) number. Failure to register
with SAM will prevent your organization from applying through Grants.gov.
Applicant organizations and all subrecipient organizations must have an active registration in the
System for Award Management (SAM) number to submit proposals to Grants.gov. The
applicant organization must also be registered in the Entity Management functional area of the
SAM with an “Active” status to submit proposals through the Grants.gov portal. Verify the
status of the applicant’s organization’s Entity registration in SAM well in advance of the
proposal/application submission deadline. Allow several weeks to complete the entire SAM
registration process. If an applicant has not fully complied with the requirements at the time the
Federal awarding agency 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. Refer to the General
Submission Instructions, Section III, for further information regarding Grants.gov requirements.
Organizations must have an active System for Award Management (SAM) registration, and
Grants.gov account to apply for contracts. If individual applicants are eligible to apply for this
funding opportunity, then you may begin with step 3, Create a Grants.gov Account, listed below.
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Creating a Grants.gov account can be completed online in minutes, but SAM registrations may
take additional time. Therefore, an organization's registration should be done in sufficient time to
ensure it does not impact the entity's ability to meet required application submission deadlines.
Complete organization instructions can be found on Grants.gov here:
https://www.grants.gov/web/grants/applicants/organization-registration.html
1) Register with SAM for all awards: SAM registration must be renewed annually. For more
detailed instructions for registering with SAM, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-
sam.html
2) Create a Grants.gov Account: The next step is to register an account with Grants.gov.
Follow the on-screen instructions or refer to the detailed instructions here:
https://www.grants.gov/web/grants/applicants/registration.html
3) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single
applicant organization the user represents (i.e., an applicant) or an individual applicant. If you
work for or consult with multiple organizations and have a profile for each, you may log in to
one Grants.gov account to access all of your grant applications. To add an organizational
profile to your Grants.gov account, enter the UEI Number for the organization in the UEI field
while adding a profile. For more detailed instructions about creating a profile on Grants.gov,
refer to: https://www.grants.gov/web/grants/applicants/registration/add-profile.html
4) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an
Organization Applicant Profile, the organization applicant's request for Grants.gov roles and
access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the
appropriate roles, which may include the AOR role, thereby giving you permission to complete
and submit applications on behalf of the organization. You will be able to submit your
application online any time after you have been assigned the AOR role. For more detailed
instructions about creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html
5) Track Role Status: To track your role request, refer to:
https://www.grants.gov/web/grants/applicants/registration/track-role-status.html
b. Electronic Signature: When applications are submitted through Grants.gov, the name of the
organization applicant with the AOR role that submitted the application is inserted into the
signature line of the application, serving as the electronic signature. The EBiz POC must
authorize people who are able to make legally binding commitments on behalf of the
organization as a user with the AOR role; this step is often missed and it is crucial for valid and
timely submissions.
For additional training resources, including video tutorials, refer to:
https://www.grants.gov/web/grants/applicants/applicant-training.html
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Applicant Support: If you are experiencing difficulties with your submission, it is best to call the
Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist
the USSOCOM with tracking your issue and understanding background information on the
issue. Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and
email at support@grants.gov. For questions related to the specific grant opportunity, contact the
number listed in the application package of the grant you are applying for.
In March 2018, the General Services Administration (GSA) implemented fraud prevention
security measures in the System for Award Management (SAM) which required every new
contractor registrant to provide a written (hard copy), notarized letter confirming the entity's
Administrator that is authorized to register the entity in the SAM database, or to make changes to
its registration. Effective 29 April 2018, the notarized letter process is now mandatory on all
CURRENT registrants at SAM who have a requirement to update data on their SAM record.
The notarized letter is mandatory and is required before the GSA Federal Service
Desk (FSD) will activate the entity's registration. The Office of the Secretary of Defense and
GSA realizes the length of time needed to transmit, receive, process, and approve the notarized
letters presents a significant impact on the ability of the contracting activity to make timely
awards, but in order to mitigate the concern of fraud, these steps and the time needed for
processing, is unavoidable. Notarized letters are required for all new and existing SAM
registered Entities. The notarized letters must be postal service mailed (not emailed or faxed) to
the "Federal Service Desk" and must contain the information outlined in the SAM posted FAQ
at: (https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-
systemshttps://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-
systems-management/integrated-award-environment-iae/sam-updatemanagement/integrated-
award-environment-iae/sam-update). Instructions for domestic entities and instructions for
international entities with embedded templates for use are also provided within the SAM Update
notice with frequently asked questions at https://www.gsa.gov/abouthttps://www.gsa.gov/about-
us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-
environment-iae/sam-updateus/organization/federal-acquisition-service/office-of-systems-
management/integrated-awardhttps://www.gsa.gov/about-us/organization/federal-acquisition-
service/office-of-systems-management/integrated-award-environment-iae/sam-
updateenvironment-iae/sam-update.
II.D.4. Submission Dates and Times
This is a continuously open announcement through 31 July 2028; therefore, reviews occur
throughout the year. Pre-proposals may be submitted at any time throughout the 5-year period
noted above. An invited full proposal/application should be submitted within
60 days of the PI’s receipt of an invitation to submit. No pre-proposal/pre-application or full
proposal/application may be submitted under this BAA after 31 July 2028, 11:59 p.m. Eastern
Time. If an invited proposal/application is not submitted by 31 July 2028, 11:59 p.m. Eastern
Time, the applicant must wait for the next available opportunity for submission, i.e., the release
of the FY28 BAA (to be posted to Grants.gov 31 July 2028). No proposal/application received
under this BAA will be considered for funding after 24 months from the date of submission.
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II.D.5. Funding Restrictions
The following limits on the duration and cost of research projects apply:
Proposed projects longer than five (5) years will not be considered.
Most projects are anticipated to have a total cost between $2,000,000 and $10,000,000
(including indirect costs). Projects that have a total cost higher than $5,000,000 (including
Indirect costs) with outstanding scientific merit that meet a critical need may be accepted;
however, the total cost of these projects are not to exceed $10,000,000.00 (including Indirect
costs).
No budget will be approved by the Government exceeding $10,000,000.00 (including indirect
costs).
A budget should be commensurate with the nature and complexity of the proposed research.
Researchers should submit budgets that include the entire period of performance of the research
project. Budgets should include all direct and indirect costs, based on supportable, verifiable
estimates. The budget for the full proposal/application should not differ significantly from the
pre-proposal/pre-application budget summary form provided in the pre-proposal/pre-application
submission.
Offerors or Applicants seeking additional or continuation funding must submit new pre-
proposals and be invited to submit full proposals.
See the General Submission Instructions, Section III, for additional information regarding the
research and related budget.
All direct and indirect costs of any subaward, contract, or subcontract must be included in the
costs of the primary award.
The applicant may request the entire maximum funding amount for a project that may have a
period of performance less than the maximum five years.
For this award mechanism, direct costs may be requested for (not all inclusive):
• Salary
• Research – related subject costs
• Research supplies
• Support for multidisciplinary collaborations, including travel
• Travel costs
• Equipment
For extramural awards with an intragovernmental component, direct transfer of funds from an
extramural award recipient to a DoD or other Federal agency is not allowed. Funding to
intramural DoD and other Federal agencies will be managed through a direct fund transfer.
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Intramural applicants are responsible for coordinating through their agency’s procedures the use
of contractual or assistance funding awards or other appropriate agreements to support
extramural collaborators.
Refer to the General Submission Instructions, Section III. for budget regulations and instructions
for the Research & Related Budget. For Federal agencies or organizations collaborating with
Federal agencies, budget restrictions apply as are noted in the General Submission
Instructions, Section III.
For additional information refer to Section II.F.1, Federal Award Notices.
Funds to be obligated on any award resulting from this BAA will be available for use for a
limited time period based on the fiscal year of the funds. Awards will identify expiration of the
funds.
Refer to the General Submission Instructions, “Research & Related Budget,” for discussion of
allowable costs, including pre-award costs and collaborations with Military Facilities.
II.D.6. Other Submission Requirements
Refer to the General Submission Instructions, Appendix 4, for detailed formatting guidelines on
submission.
II.E. Proposal/Application Review Information
II.E.1. Criteria
II.E.1.a. Peer Review
To determine technical merit, all proposals will be evaluated according to the following scored
criteria, which are listed in descending order of importance:
• Research Objectives: The degree to which the stated objectives are clear, valid, and logical.
For development of devices and technologies, the degree to which the performance
objectives are plausible; the proposed effort demonstrates familiarity with the historical
background of the problem and previous/current solutions; and the awareness of similar
projects previously undertaken and related activities. The extent that the proposed research
projects demonstrate an innovative approach and relate to the Research Areas of Interest
identified in Section II.A.
• Scientific Design Excellence: The degree to which proposed plans, methods, techniques and
procedures are feasible, clear, valid, adequately referenced, and state-of-the-art. The merit of
the statistical features of the study. The extent to which literature searches were used to
document the strengths of the proposed project. For development of devices and
technologies, the feasibility of the proposed prototype/technology development plan; how
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well the engineering/technical design is likely to achieve the goals indicated; adequacy of the
engineering/design solutions; and how well the perceived engineering/design strengths and
flaws are addressed.
• Impact/Outcomes: The potential impact of the research in the field, the significance of this
impact, and when it can be anticipated. For development of devices and technologies, the
potential translation, implementation, and/or commercial use for the prototype/technology
being developed.
• Budget: The degree to which the budget reflects the actual needs of the proposed work, is
thoroughly detailed and fully justified so that the government can evaluate and determine the
cost commensurate with the complexity and nature of the research proposed.
• PI and Key Personnel Qualifications: The qualifications, capabilities, and experience of
the proposed PI and other key personnel to demonstrate that the proposed staff has the
knowledge, technical expertise, and management skills to achieve the proposed objectives as
well as the time available for the percentage of efforts indicated for the project.
• Facilities: The proposed facilities and equipment, or unique combinations of these, to
demonstrate that the organization has the necessary facilities required for the accomplishing
the proposed objectives.
II.E.1.b. Programmatic Review
To make funding recommendations and select the proposal(s)/application(s) that, individually or
collectively, will best achieve the program objectives, the following criteria are used by
programmatic reviewers:
• Scientific peer review results
• SOF Relevance (mission, health, medicine, and beneficiaries)
• Portfolio balance
• Programmatic priorities
II.E.2. Proposal/Application Review and Selection Process
All invited proposals are evaluated by USSOCOM scientists, other federal agency
representatives, outside scientists with diverse expertise, clinicians, consumers, or combinations
thereof, using a two-tier review process. The first tier is peer review of proposals against
established criteria for determining technical merit. Each proposal/application is evaluated for
its own merit, independent of other proposals. The second tier is a programmatic review that
makes recommendations for funding, based on established criteria for determining relevance to
the mission of the USSOCOM and its programs. Programmatic review is a comparison-based
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process in which proposals with scientific and technical merit compete in a common pool. The
highest-scoring proposals from the first tier of review are not automatically recommended for
funding. Funding recommendations depend on various factors as described in Section II.E.
Programmatic Review.
After the two-tier evaluation, proposals recommended for funding may be prioritized. A
prioritized listing of alternates (deferred decisions) may also be prepared, when warranted.
Subsequent awards depend upon the availability of funds and fulfillment of requirements and
priorities determined to exist at the time of award. In some cases, funding priorities may change
as certain scientific tasks are addressed and new mission assignments arise.
If selected for funding, the award may also be dependent upon the organization providing
adequate additional regulatory documentation, such as human subjects/anatomical
substances/use of cadavers’ protocols and approvals, animal subjects’ protocols and approvals,
and environmental information. The award may also be dependent upon additional supporting
administrative and budgetary information.
IAW FAR 35.016(e), “The primary basis for selecting proposals for acceptance shall be
technical, importance to agency programs, and fund availability. Cost realism and
reasonableness shall also be considered to the extent appropriate”.
All USSOCOM review processes are conducted confidentially to maintain the integrity of the
merit-based selection process. Panel members sign a statement that proposal/application and
evaluation information will not be disclosed outside the panel. Violations of confidentiality can
result in the dissolving of a panel(s) and other corrective actions. In addition, personnel at the
Applicant or collaborating organizations are prohibited from contacting persons involved in the
review and approval process to gain protected evaluation information or to influence the
evaluation process. Violations of these prohibitions will result in the administrative withdrawal
of the organization’s proposal/application. Violations by panel members or applicants that
compromise the confidentiality of the review and approval process may also result in suspension
or debarment from federal awards. Furthermore, the unauthorized disclosure of confidential
information of one party to another third party is a crime in accordance with 18 USC 1905.
II.E.3. Integrity and Performance Information
Prior to making an award where the Federal share is expected to exceed the simplified
acquisition threshold (currently $250,000) over the period of performance, the Federal awarding
agency is required to review and consider any information about the applicant that is available in
the SAM.gov Responsibility/Qualification (R/Q).
An applicant organization may review R/Q, accessible through SAM, and submit comments to
R/Q on any information about the organization that a Federal awarding agency previously
entered and is currently available in R/Q.
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The Federal awarding agency will consider any comments by the applicant, in addition to 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
determining an organization’s qualification prior to award, according to the qualification
standards of the FAR.
II.E.4. Anticipated Announcement and Federal Award Dates
Each PI and organization will receive email notification via eBRAP of the funding
recommendation. Notifications should be sent within 180 days of submission. Each PI will
receive a peer review summary statement on the strengths and weaknesses of the
proposal/application.
II.F. Federal Award Administration Information
II.F.1. Federal Award Notices
The PI should receive disposition regarding the full proposal/application via an email from
eBRAP within 180 days of submission. A recommended for funding notification is NOT an
authorization to begin performance nor a guarantee of an award.
The awarding agency will be the USAMRAA. The USAMRAA Contracting Officers are the
only individuals authorized to obligate funds and bind the Federal Government.
Authorization to begin performance will be received via an award document (contract,) signed
by the USAMRAA Contracting Officer. No commitment on the part of the Government should
be inferred from discussions with any other individual.
Awards will be made at any time throughout the year and are contingent upon availability of
funding, adequacy of supporting documentation submitted, fulfillment of requirements, and
completion of successful negotiations. No proposal/application submitted under this BAA will
be considered for funding after 24 months from the date of submission to Grants.gov.
Refer to the General Submission Instructions, Appendix 2, Section D, Award Notices, for
additional information. Refer to the full text of the USAMRAA General Research Terms and
Conditions for Institutions of Higher Education, Hospitals, and Non-Profit Organizations and the
USAMRAA General Research Terms and Conditions for For-Profit Organizations available at
http://www.usamraa.army.mil/Pages/Resources.aspx for further information.
II.F.1.a. PI Changes and Award Transfers
Refer to the General Submission Instructions, Appendix 2 for general information on changes to
PIs and organizational transfers.
Should the PI of a funded project leave the award organization, both the PI and organization
must contact the USAMRAA Contracting Officer as soon as possible to discuss options for
continued support of the research project. Every effort should be made to notify the USAMRAA
prior to the PI leaving the organization. An organizational transfer of an Assistance Agreement
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award will not be allowed in the last year of the (original) period of performance or any
extension thereof. An organizational transfer of a Contract award will not be allowed.
II.F.2. Administrative and National Policy Requirements
Applicable requirements in the FAR, found in 48 CFR, Chapter 1, DFARS, found in 48 CFR
Chapter 2, and AFARS, found in 48 CFR Chapter 51, apply to contracts resulting from this
BAA.
Refer to the General Submission Instructions, Appendix 2, for general information regarding
administrative requirements.
Refer to the General Submission Instructions, Appendix 5, for general information regarding
national policy requirements.
Refer to full text of the USAMRAA General Research Terms and Conditions with Institutions of
Higher Education, Hospitals, and Non-Profit Organizations: Addendum to the DoD R&D Terms
and Conditions and the USAMRAA General Research Terms and Conditions with For-Profit
Organizations for further information.
II.F.3. Reporting
Refer to the General Submission Instructions, Appendix 2, Section A, for general information on
reporting requirements. If there are technical reporting requirement delinquencies for any
existing USSOCOM-sponsored awards at the applicant organization, no new awards will be
issued to the applicant organization until all delinquent reports have been submitted.
technical progress reports and quad charts will be required with frequency determined at the
contract level.
• quad charts including:
○ Objective, measurable, and easily independently verifiable assessment of metrics to
measure progress regarding project cost, schedule, performance, risk, and opportunity.
○ Risk and opportunity assessment of project cost, schedule, and performance. Risk
assessments will use objective, measurable, and easily independently verifiable metrics;
mitigation plans; triggering event; latest potential successful mitigation date; and impacts
of unmitigated risks. Opportunity assessments will use objective, measurable and easily
independently verifiable metrics; exploitation plans; triggering event; latest potential
successful exploitation; and impact of successful opportunity exploitation.
○ Integrated project Gantt chart with all progress to date, supported by the cost,
performance, risk, and opportunity assessments.
○ Budget chart with burn rate, demonstrating funding expended against time, funds
remaining, and planned expense plan through the rest of the project schedule against
planned milestones.
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• technical reports including the following:
○ Full description of architecture and content of new interoperable component, description
of scenarios developed, results and method of pilot study.
○ A report, document, or list of the terminology and respective definitions used for the
variables, metrics, and evaluation criteria and how they were deconstructed. It must
provide the measuring tools and, if needed, how they were used to obtain the
metric/evaluation criteria. Objective measurements are preferred, but subjective
measurements that have rigorous reliability, repeatability, and robustness will be
considered.
○ Explanation, including definitions and descriptions, of TRIAGE determinants of
performance and agility. A report or document with the information and analyzed data of
the actual postulated variables, metrics, and evaluation criteria.
○ Analyzed pilot study data and the specific aims, methodologies, sample and sample size,
inter-rater reliability, assessment criteria, statistical methods, analyzed results,
conclusions, and potential next-step recommendations.
○ Completion of preliminary/pilot empirical evaluation of the developed proof-of-concept;
○ A description of the components of the proof-of-concept that are proprietary and ones
that are open source/open architecture. Explanation of Government rights and/or
proposed pricing structure to the Government (if applicable).
○ Documentation of the translational parameters and the respective definitions (if
applicable).
○ Description of the gaps that were uncovered during this research as it pertains to the
success or improvement measured and an outline of anticipated next steps or
recommendations.
II.G. Federal Awarding Agency Contacts
II.G.1. eBRAP Help Desk
Questions related to BAA content or submission requirements as well as questions related to the
submission of the pre-proposal/pre-application through eBRAP should be directed to the eBRAP
Help Desk, which is available Monday through Friday from 8:00 a.m. to 5:00 p.m. Eastern Time.
Response times may vary depending upon the volume of inquiries.
Phone: 301-682-5507
Email: help@eBRAP.org
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II.G.2. Grants.gov Contact Center
Questions related to extramural full proposal/application submission through the Grants.gov
portal should be directed to the Grants.gov Contact Center, which is available 24 hours a day, 7
days a week (closed on U.S. federal holidays). Note that the eBRAP Help Desk is unable to
provide technical assistance with Grants.gov submission.
Phone: 800-518-4726; International 1-606-545-5035
Email: support@grants.gov
Sign up on Grants.gov for “send me change notification emails” by following the link on the
Synopsis page for the BAA or by responding to the prompt provided by Grants.gov when first
downloading the submission package. If the submission package is updated or changed, the
original version of the Application package may not be accepted by Grants.gov.
II.H. Other Information
II.H.1. Administrative Actions
After agency receipt of pre-proposals or proposals, the following administrative actions may
occur:
II.H.1.a. Rejection
The following will result in administrative rejection of the pre-proposal/pre-application:
• Project narrative exceeds page limit.
• Project narrative is missing.
• Budget form contains only zeros.
• Quad Chart is missing.
The following will result in administrative rejection of the proposal/application:
• Submission of an application for which a letter of invitation was not received.
• Project Narrative exceeds page limit.
• Project Narrative is missing.
• Budget is missing.
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II.H.1.b. Modification
• Pages exceeding the specific limits will be removed prior to review for all documents other
than the pre-proposal narrative and project narrative.
• Documents not requested will be removed.
• Following proposal/application submission to Grants.gov, the PI will receive an email
request from eBRAP to review, modify, and verify the proposal/application submitted to
Grants.gov. During this verification period, the PI may upload missing documents (refer to
II.H.I.a, rejection), replace files, and re-categorize files. These modifications must be
completed by the end of the application verification period; otherwise, the
proposal/application will be reviewed as submitted
II.H.1.c. Withdrawal
The following may result in administrative withdrawal of the pre-proposal/pre-application or
proposal/application:
• Federal agency personnel involved in the review process and/or with making funding
recommendations are named as being involved in the research proposed or found to
have assisted in the pre-proposal/pre-application or proposal/application processes,
including, but not limited to, concept design, proposal/application development, budget
preparation, and the development of any supporting documentation. If formal
collaboration with Military Facility personnel is planned (i.e., included in the
proposal/application in performance of the research), this prohibition is not
applicable. However, these Military Facility personnel are prohibited from being
involved in the review process and/or with making funding recommendations.
• Inclusion of URLs, with the exception of links in References Cited and Publication
and/or Patent Abstract sections.
• Page size is larger than 8.5 inches x 11.0 inches (approximately 21.59 cm x 27.94 cm).
• Personnel from applicant or collaborating organizations are found to have contacted
persons involved in the review process to gain protected evaluation information or to
influence the evaluation process.
• Full proposals from extramural organizations, including non-DoD Federal agencies,
received through eBRAP may be withdrawn.
• The full proposal/application does not propose the same research project as described in
the pre-proposal/pre-application.
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• The full proposal/application budget differs significantly from the budget included in
the pre-proposal/pre-application.
• A proposal submitted by a PI who does not meet the eligibility criteria will be
withdrawn.
II.H.1.d. Withhold
Proposals that appear to involve research misconduct will be administratively withheld from
further consideration pending organizational investigation. The organization will be required to
provide the findings of the investigation to the USAMRAA Contracting
Officer for a determination of the final disposition of the proposal/application.
II.H.2. Proposal/Application Submission Checklist
Grants.gov Submission Upload
Action Completed
Package Components Order
SF-424 (R&R)
Application for Federal Complete as instructed.
Assistance
Project Narrative: Upload as Attachment 1 with file name
1
“ProjectNarrative.pdf.”
Supporting Documentation: Upload as Attachment 2 with
2
file name “Support.pdf.”
Technical Abstract: Upload as Attachment 3 with file
3
name “TechAbs.pdf.”
Lay Abstract: Upload as Attachment 4 with file name
4
“LayAbs.pdf.”
Statement of Work: Upload as Attachment 5 with file
5
name “SOW.pdf.
Outcomes and Impact Statement: Upload as Attachment 6
6
with file name “Impact.pdf.”
Attachments Form
Innovation Statement: Upload as Attachment 7 with file
7
name “Innovation.pdf.”
Data and Research Resource-Sharing Plan: Upload as
8
Attachment 8 with the file name “Sharing.pdf.”
Conflicts of Interest: Upload as Attachment 9 with file
9
name “COI.pdf,” if applicable.
Data Management: Upload as Attachment 10 with file
10
name “DataManage.pdf.”
Post-Award Project Transition Plan: Upload as Attachment
11
11 with file name “Transition.pdf.”
Collaborating DoD Military Facility Budget
12 Form(s): Upload as Attachment 12 with the file
name “MFBudget.pdf,” if applicable.
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
48

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Research & Related Complete as instructed.
Personal Data
Attach PI Biographical Sketch (Biosketch_LastName.pdf)
to the appropriate field.
Attach PI Previous/Current/Pending Support
Research & Related
(Support_LastName.pdf) to the appropriate field.
Senior/Key Person
Attach Biographical Sketch (Biosketch_LastName.pdf) for
Profile (Expanded)
each senior/key person to the appropriate field.
Attach Previous/Current/Pending (Support_LastName.pdf)
for each senior/key person to the appropriate field.
Research & Related Attach Budget Justification (BudgetJustification.pdf) to the
Budget appropriate field. Complete form as instructed.
Project/Performance Site
Complete form as instructed.
Location(s) Form
R&R Subaward Budget
Attachment(s) Form (if Complete form as instructed.
applicable)
Collaborating with DoD Complete form as instructed.
Military Facilities
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
49

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APPENDIX 1: ACRONYM LIST
BAA Broad Agency Announcement
CDMRP Congressionally Directed Medical Research Programs
CFR Code of Federal Regulations
COI Conflict of Interest
DHA Defense Health Agency
DHP Defense Health Program
DoD Department of Defense
eBRAP Electronic Biomedical Research Application Portal
EC Ethics Committee
ET Eastern Time
FAD Funding Authorization Document
FY Fiscal Year
HRPO Human Research Protection Office
IRB Institutional Review Board
LOI Letter of Intent
M Million
MIPR Military Interdepartmental Purchase Request
NPC Non-Profit Corporation
OASD(HA) Office of the Assistant Secretary of Defense for Health Affairs
ORCID Open Researcher and Contributor ID, Inc.
ORP Office of Research Protections
PFC Prolonged Field Care
PI Principal Investigator
RAI Research Area of Interest
R/Q Sam.Gov Responsibility/Qualification
RDT&E Research, Development, Test, and Evaluation
SAM System for Award Management
SCR Service Contract Reporting
SOF Special Operations Forces
SOW Statement of Work
UEI Unique Entity Identifier
USAMRAA U.S. Army Medical Research Acquisition Activity
USAMRDC U.S. Army Medical Research and Development Command
USC United States Code
USSOCOM United States Special Operations Command
VRO Veterinarian Review Office
FY23-FY28 DoD USSOCOM BAA for Extramural Biomedical & Human Performance
Research and Development
50

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ATTACHMENTS FORM
Instructions: On this form, you will attach the various files that make up your grant application. Please consult with the appropriate
Agency Guidelines for more information about each needed file. Please remember that any files you attach must be in the document format
and named as specified in the Guidelines.
Important: Please attach your files in the proper sequence. See the appropriate Agency Guidelines for details.
1) Please attach Attachment 1 Add Attachment Delete Attachment View Attachment
2) Please attach Attachment 2 Add Attachment Delete Attachment View Attachment
3) Please attach Attachment 3 Add Attachment Delete Attachment View Attachment
4) Please attach Attachment 4 Add Attachment Delete Attachment View Attachment
5) Please attach Attachment 5 Add Attachment Delete Attachment View Attachment
6) Please attach Attachment 6 Add Attachment Delete Attachment View Attachment
7) Please attach Attachment 7 Add Attachment Delete Attachment View Attachment
8) Please attach Attachment 8 Add Attachment Delete Attachment View Attachment
9) Please attach Attachment 9 Add Attachment Delete Attachment View Attachment
10) Please attach Attachment 10 Add Attachment Delete Attachment View Attachment
11) Please attach Attachment 11 Add Attachment Delete Attachment View Attachment
12) Please attach Attachment 12 Add Attachment Delete Attachment View Attachment
13) Please attach Attachment 13 Add Attachment Delete Attachment View Attachment
14) Please attach Attachment 14 Add Attachment Delete Attachment View Attachment
15) Please attach Attachment 15 Add Attachment Delete Attachment View Attachment

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Performance Site

OMB Number: 4040-0010
Expiration Date: 11/30/2025
Project/Performance Site Location(s)
I am submitting an application as an individual, and not on behalf of a company, state,
Project/Performance Site Primary Location local or tribal government, academia, or other type of organization.
Organization Name:
UEI:
* Street1:
Street2:
* City: County:
* State:
Province:
* Country: USA: UNITED STATES
ZIP / Postal Code: Project/ Performance Site Congressional District:
I am submitting an application as an individual, and not on behalf of a company, state,
Project/Performance Site Location 1
local or tribal government, academia, or other type of organization.
Organization Name:
UEI:
* Street1:
Street2:
* City: County:
* State:
Province:
* Country: USA: UNITED STATES
ZIP / Postal Code: Project/ Performance Site Congressional District:
Additional Location(s) Add Attachment Delete Attachment View Attachment

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RR Budget

RESEARCH & RELATED BUDGET - Budget Period 1 OMB Number: 4040-0001
Expiration Date: 11/30/2025
UEI: Enter name of Organization:
Budget Type: Project Subaward/Consortium Budget Period: 1 Start Date: End Date:
A.Senior/Key Person
Months
Requested Fringe Funds
Prefix First Middle Last Suffix Base Salary ($) Cal. Acad. Sum. Salary ($) Benefits ($) Requested ($)
Project Role: PD/PI
Total Funds requested for all Senior
Add Attachment Delete Attachment View Attachment
Additional Senior Key Persons: Key Persons in the attached file
Total Senior/Key Person
B.Other Personnel
Months
Number of Requested Fringe Funds
Personnel Project Role Cal. Acad. Sum. Salary ($) Benefits ($) Requested ($)
Post Doctoral Associates
Graduate Students
Undergraduate Students
Secretarial/Clerical
Total Number Other Personnel Total Other Personnel
Total Salary, Wages and Fringe Benefits (A+B)

---

C. Equipment Description
List items and dollar amount for each item exceeding $5,000
Equipment item Funds Requested ($)
Additional Equipment: Add Attachment Delete Attachment View Attachment
Total funds requested for all equipment listed in the attached file
Total Equipment
D. Travel Funds Requested ($)
1. Domestic Travel Costs ( Incl. Canada, Mexico and U.S. Possessions)
2. Foreign Travel Costs
Total Travel Cost
E. Participant/Trainee Support Costs Funds Requested ($)
1. Tuition/Fees/Health Insurance
2. Stipends
3. Travel
4. Subsistence
5. Other
Number of Participants/Trainees Total Participant/Trainee Support Costs

---

F. Other Direct Costs
Funds Requested ($)
1. Materials and Supplies
2. Publication Costs
3. Consultant Services
4. ADP/Computer Services
5. Subawards/Consortium/Contractual Costs
6. Equipment or Facility Rental/User Fees
7. Alterations and Renovations
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
Total Other Direct Costs
G. Direct Costs Funds Requested ($)
Total Direct Costs (A thru F)
H. Indirect Costs
Indirect Cost Type Indirect Cost Rate (%) Indirect Cost Base ($) Funds Requested ($)
Total Indirect Costs
Cognizant Federal Agency
(Agency Name, POC Name, and
POC Phone Number)
I. Total Direct and Indirect Costs Funds Requested ($)
Total Direct and Indirect Institutional Costs (G + H)
J. Fee Funds Requested ($)
K. Total Costs and Fee Funds Requested ($)
Total Costs and Fee (I + J)
L. Budget Justification
(Only attach one file.) Add Attachment Delete Attachment View Attachment

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RESEARCH & RELATED BUDGET - Cumulative Budget
Totals ($)
Section A, Senior/Key Person
Section B, Other Personnel
Total Number Other Personnel
Total Salary, Wages and Fringe Benefits (A+B)
Section C, Equipment
Section D, Travel
1. Domestic
2. Foreign
Section E, Participant/Trainee Support Costs
1. Tuition/Fees/Health Insurance
2. Stipends
3. Travel
4. Subsistence
5. Other
6. Number of Participants/Trainees
Section F, Other Direct Costs
1. Materials and Supplies
2. Publication Costs
3. Consultant Services
4. ADP/Computer Services
5. Subawards/Consortium/Contractual Costs
6. Equipment or Facility Rental/User Fees
7. Alterations and Renovations
8. Other 1
9. Other 2
10.Other 3
11.Other 4
12.Other 5
13.Other 6
14.Other 7
15.Other 8
16.Other 9
17.Other 10

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Section G, Direct Costs (A thru F)
Section H, Indirect Costs
Section I, Total Direct and Indirect Costs (G + H)
Section J, Fee
Section K, Total Costs and Fee (I + J)

---

RR Key Personal

OMB Number: 4040-0001
Expiration Date: 11/30/2025
RESEARCH & RELATED Senior/Key Person Profile (Expanded)
PROFILE - Project Director/Principal Investigator
Prefix: *First Name: Middle Name:
*Last Name: Suffix:
Position/Title:
Department:
Organization Name:
Division:
*Street1:
Street2:
*City: County/ Parish:
*State: Province:
Country: Zip / Postal Code:
*Phone Number: Fax Number:
*E-Mail:
Credential, e.g., agency login:
*Project Role: PD/PI Other Project Role Category:
Degree Type:
Degree Year:
*Attach Biographical Sketch Add Attachment Delete Attachment View Attachment
Attach Current & Pending Support Add Attachment Delete Attachment View Attachment
PROFILE - Senior/Key Person 1
Prefix: *First Name: Middle Name:
*Last Name: Suffix:
Position/Title:
Department:
Organization Name:
Division:
*Street1:
Street2:
*City: County/ Parish:
*State: Province:
Country: USA: UNITED STATES Zip / Postal Code:
*Phone Number: Fax Number:
*E-Mail:
Credential, e.g., agency login:
*Project Role: Other Project Role Category:
Degree Type:
Degree Year:
Attach Biographical Sketch Add Attachment Delete Attachment View Attachment
Attach Current & Pending Support Add Attachment Delete Attachment View Attachment
Delete Entry Next Person
To ensure proper performance of this form; after adding 20 additional Senior/ Key Persons; please save your application, close the Adobe
Reader, and reopen it.

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RR Personal data

OMB Number: 4040-0001
Expiration Date: 11/30/2025
RESEARCH & RELATED PERSONAL DATA
Project Director/Principal Investigator and Co-Project Director(s)/Co-Principal Investigator(s)
The Federal Government has a continuing commitment to monitor the operation of its review and award processes to identify and address any inequities
based on gender, race, ethnicity, or disability of its proposed PDs/PIs and co-PDs/PIs. To gather information needed for this important task, the
applicant should submit the requested information for each identified PD/PI and co-PDs/PIs with each proposal. Submission of the requested
information is voluntary and is not a precondition of award. However, information not submitted will seriously undermine the statistical validity, and
therefore the usefulness, of information received from others. Any individual not wishing to submit some or all the information should check the box
provided for this purpose. Upon receipt of the application, this form will be separated from the application. This form will not be duplicated, and it will not
be a part of the review process. Data will be confidential.
Project Director/Principal Investigator
Prefix: *First Name: Middle Name:
*Last Name: Suffix:
Gender:
Race (check all that apply): Ethnicity: Disability Status (check all that apply):
American Indian or Alaska Native Hearing
Asian Visual
Black or African American Mobility/Orthopedic Impairment
Native Hawaiian or Other Pacific Islander Other
White None
Do Not Wish to Provide Do Not Wish to Provide
Citizenship:

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RR SF424

OMB Number: 4040-0001
Expiration Date: 11/30/2025
APPLICATION FOR FEDERAL ASSISTANCE
3. DATE RECEIVED BY STATE State Application Identifier
SF 424 (R&R)
1. TYPE OF SUBMISSION 4. a. Federal Identifier
Pre-application Application Changed/Corrected Application b. Agency Routing Identifier
2. DATE SUBMITTED Applicant Identifier
c. Previous Grants.gov
Tracking ID
5. APPLICANT INFORMATION UEI:
Legal Name:
Department:
Division:
Street1:
Street2:
City: County / Parish:
State: Province:
Country: USA: UNITED STATES ZIP / Postal Code:
Person to be contacted on matters involving this application
Prefix: First Name: Middle Name:
Last Name: Suffix:
Position/Title:
Street1:
Street2:
City: County / Parish:
State: Province:
Country: USA: UNITED STATES ZIP / Postal Code:
Phone Number: Fax Number:
Email:
6. EMPLOYER IDENTIFICATION (EIN) or (TIN):
7. TYPE OF APPLICANT: Please select one of the following
Other (Specify):
Small Business Organization Type Women Owned Socially and Economically Disadvantaged
8. TYPE OF APPLICATION: If Revision, mark appropriate box(es).
New Resubmission A. Increase Award B. Decrease Award C. Increase Duration D. Decrease Duration
Renewal Continuation Revision E. Other (specify):
Is this application being submitted to other agencies? Yes No What other Agencies?
9. NAME OF FEDERAL AGENCY: 10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:
TITLE:
11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:
12. PROPOSED PROJECT: 13. CONGRESSIONAL DISTRICT OF APPLICANT
Start Date Ending Date

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SF 424 (R&R) Page 2
APPLICATION FOR FEDERAL ASSISTANCE
14. PROJECT DIRECTOR/PRINCIPAL INVESTIGATOR CONTACT INFORMATION
Prefix: First Name: Middle Name:
Last Name: Suffix:
Position/Title:
Organization Name:
Department:
Division:
Street1:
Street2:
City: County / Parish:
State: Province:
Country: ZIP / Postal Code:
USA: UNITED STATES
Phone Number: Fax Number:
Email:
15. ESTIMATED PROJECT FUNDING 16. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER
12372 PROCESS?
a. YES THIS PREAPPLICATION/APPLICATION WAS MADE
a. Total Federal Funds Requested
AVAILABLE TO THE STATE EXECUTIVE ORDER 12372
b. Total Non-Federal Funds PROCESS FOR REVIEW ON:
DATE:
c. Total Federal & Non-Federal Funds
b. NO PROGRAM IS NOT COVERED BY E.O. 12372; OR
d. Estimated Program Income
PROGRAM HAS NOT BEEN SELECTED BY STATE FOR
REVIEW
17. By signing this application, I certify (1) to the statements contained in the list of certifications* and (2) that the statements herein are
true, complete and accurate to the best of my knowledge. I also provide the required assurances * and agree to comply with any resulting
terms if I accept an award. I am aware that any false, fictitious. or fraudulent statements or claims may subject me to criminal, civil, or
administrative penalties. (U.S. Code, Title 18, Section 1001)
I agree
*The list of certifications and assurances, or an Internet site where you may obtain this list, is contained in the announcement or agency specific instructions.
18. SFLLL (Disclosure of Lobbying Activities) or other Explanatory Documentation
Add Attachment Delete Attachment View Attachment
19. Authorized Representative
Prefix: First Name: Middle Name:
Last Name: Suffix:
Position/Title:
Organization:
Department:
Division:
Street1:
Street2:
City: County / Parish:
State: Province:
Country: ZIP / Postal Code:
USA: UNITED STATES
Phone Number: Fax Number:
Email:
Signature of Authorized Representative Date Signed
Completed on submission to Grants.gov Completed on submission to Grants.gov
20. Pre-application Add Attachment Delete Attachment View Attachment
21. Cover Letter Attachment Add Attachment Delete Attachment View Attachment

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RR Subaward budget

OMB Number: 4040-0001
Expiration Date: 11/30/2025
R&R SUBAWARD BUDGET ATTACHMENT(S) FORM
Instructions: On this form, you will attach the R&R Subaward Budget files for your grant application. Complete the subawardee budget(s) in
accordance with the R&R budget instructions. Please remember that any files you attach must be a PDF document.
Click here to extract the R&R Subaward Budget Attachment
Important: Please attach your subawardee budget file(s) with the file name of the subawardee organization. Each file name must be unique.
1)Please attach Attachment 1 Add Attachment Delete Attachment View Attachment
2)Please attach Attachment 2 Add Attachment Delete Attachment View Attachment
3)Please attach Attachment 3 Add Attachment Delete Attachment View Attachment
4)Please attach Attachment 4 Add Attachment Delete Attachment View Attachment
5)Please attach Attachment 5 Add Attachment Delete Attachment View Attachment
6)Please attach Attachment 6 Add Attachment Delete Attachment View Attachment
7)Please attach Attachment 7 Add Attachment Delete Attachment View Attachment
8)Please attach Attachment 8 Add Attachment Delete Attachment View Attachment
9)Please attach Attachment 9 Add Attachment Delete Attachment View Attachment
10)Please attach Attachment 10 Add Attachment Delete Attachment View Attachment
11)Please attach Attachment 11 Add Attachment Delete Attachment View Attachment
12)Please attach Attachment 12 Add Attachment Delete Attachment View Attachment
13)Please attach Attachment 13 Add Attachment Delete Attachment View Attachment
14)Please attach Attachment 14 Add Attachment Delete Attachment View Attachment
15)Please attach Attachment 15 Add Attachment Delete Attachment View Attachment
16)Please attach Attachment 16 Add Attachment Delete Attachment View Attachment
17)Please attach Attachment 17 Add Attachment Delete Attachment View Attachment
18)Please attach Attachment 18 Add Attachment Delete Attachment View Attachment
19)Please attach Attachment 19 Add Attachment Delete Attachment View Attachment
20)Please attach Attachment 20 Add Attachment Delete Attachment View Attachment
21)Please attach Attachment 21 Add Attachment Delete Attachment View Attachment
22)Please attach Attachment 22 Add Attachment Delete Attachment View Attachment
23)Please attach Attachment 23 Add Attachment Delete Attachment View Attachment
24)Please attach Attachment 24 Add Attachment Delete Attachment View Attachment
25)Please attach Attachment 25 Add Attachment Delete Attachment View Attachment
26)Please attach Attachment 26 Add Attachment Delete Attachment View Attachment
27)Please attach Attachment 27 Add Attachment Delete Attachment View Attachment
28)Please attach Attachment 28 Add Attachment Delete Attachment View Attachment
29)Please attach Attachment 29 Add Attachment Delete Attachment View Attachment
30)Please attach Attachment 30 Add Attachment Delete Attachment View Attachment

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Sample Clause list

DOCUMENT NUMBER SPECIAL NOTICE
HT9425-23-S-SOC1 SAMPLE CLAUSE LIST
CLAUSES INCORPORATED BY REFERENCE
CLAUSE ALT NO/ YEAR-
CLAUSE TITLE SECTION
NO DEV NO MO
252.201-7000 Contracting Officer's Representative. 1991-12 SEC G
Requirements Relating to Compensation of Former DoD
252.203-7000 2011-09 SEC I
Officials.
252.203-7002 Requirement to Inform Employees of Whistleblower Rights. 2013-09 SEC I
Payment for Contract Line or Subline Items Not Separately
252.204-7002 2020-04 SEC G
Priced.
252.204-7003 Control of Government Personnel Work Product. 1992-04 SEC I
252.204-7004 Antiterrorism Awareness Training for Contractors. 2019-02 SEC I
Safeguarding Covered Defense Information and Cyber
252.204-7012 2019-12 SEC I
Incident Reporting.
Notice of Authorized Disclosure of Information for Litigation
252.204-7015 2016-05 SEC I
Support.
Prohibition on the Acquisition of Covered Defense
252.204-7018 2021-01 SEC I
Telecommunications Equipment or Services.
Prohibition on Storage, Treatment, and Disposal of Toxic or
252.223-7006 2014-09 SEC I
Hazardous Materials.
252.225-7001 Buy American and Balance of Payments Program. 2017-12 SEC I
252.225-7002 Qualifying Country Sources as Subcontractors. 2017-12 SEC I
252.225-7048 Export-Controlled Items. 2013-06 SEC I
252.227-7015 Technical Data--Commercial Items. 2014-02 SEC I
252.227-7016 Rights in Bid or Proposal Information. 2011-01 SEC I
252.227-7020 Rights in Special Works. 1995-06 SEC I
252.227-7030 Technical Data--Withholding of Payment. 2000-03 SEC I
252.227-7037 Validation of Restrictive Markings on Technical Data. 2016-09 SEC I
252.227-7039 Patents--Reporting of Subject Inventions. 1990-04 SEC I
Electronic Submission of Payment Requests and Receiving
252.232-7003 2018-12 SEC G
Reports.
252.232-7010 Levies on Contract Payments. 2006-12 SEC I
Accelerating Payments to Small Business Subcontractors-
252.232-7017 2020-04 SEC I
Prohibition on Fees and Consideration.
252.235-7011 Final Scientific or Technical Report. 2019-12 SEC I
Prohibition on Interrogation of Detainees by Contractor
252.237-7010 2013-06 SEC I
Personnel.
252.243-7001 Pricing of Contract Modifications. 1991-12 SEC I
252.244-7000 Subcontracts for Commercial Items. 2020-10 SEC I
Prohibition on Requiring Certain Internal Confidentiality
52.203-19 2017-01 SEC I
Agreements or Statements.
52.204-13 System for Award Management Maintenance. 2018-10 SEC I
Incorporation by Reference of Representations and
52.204-19 2014-12 SEC I
Certifications.
Prohibition on Contracting for Hardware, Software, and
52.204-23 Services Developed or Provided by Kaspersky Lab and Other 2018-07 SEC I
Covered Entities.
Prohibition on Contracting for Certain Telecommunications
52.204-25 2020-08 SEC I
and Video Surveillance Services or Equipment.
52.204-9 Personal Identity Verification of Contractor Personnel. 2011-01 SEC I
Prohibition on Contracting with Inverted Domestic
52.209-10 2015-11 SEC I
Corporations.
52.215-8 Order of Precedence-Uniform Contract Format. 1997-10 SEC I
Page 1 of 29

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52.222-21 Prohibition of Segregated Facilities. 2015-04 SEC I
52.222-26 Equal Opportunity. 2016-09 SEC I
52.222-50 Combating Trafficking in Persons. 2020-10 SEC I
Exemption from Application of the Service Contract Labor
52.222-51 Standards to Contracts for Maintenance, Calibration, or Repair 2014-05 SEC I
of Certain Equipment-Requirements.
Exemption from Application of the Service Contract Labor
52.222-53 2014-05 SEC I
Standards to Contracts for Certain Services-Requirements.
Encouraging Contractor Policies to Ban Text Messaging While
52.223-18 2020-06 SEC I
Driving.
52.223-19 Compliance with Environmental Management Systems. 2011-05 SEC I
52.223-5 Pollution Prevention and Right-to-Know Information. 2011-05 SEC I
52.225-13 Restrictions on Certain Foreign Purchases. 2021-02 SEC I
52.230-2 Cost Accounting Standards. 2020-06 SEC I
52.230-6 Administration of Cost Accounting Standards. 2010-06 SEC I
Payment by Electronic Funds Transfer-System for Award
52.232-33 2018-10 SEC I
Management.
52.232-39 Unenforceability of Unauthorized Obligations. 2013-06 SEC I
Providing Accelerated Payments to Small Business
52.232-40 2013-12 SEC I
Subcontractors.
52.233-1 Disputes. 2014-05 SEC I
52.233-3 Protest after Award. 1996-08 SEC I
52.233-4 Applicable Law for Breach of Contract Claim. 2004-10 SEC I
52.242-15 Stop-Work Order. 1989-08 SEC F
52.243-1 ALT I Changes-Fixed-Price. - (Alternate I) 1987-08 SEC I
52.243-1 ALT V Changes-Fixed-Price. - (Alternate V) 1987-08 SEC I
52.244-6 Subcontracts for Commercial Items. 2021-07 SEC I
52.246-9 Inspection of Research and Development (Short Form). 1984-04 SEC E
52.247-34 F.o.b. Destination. 1991-11 SEC F
Termination for Convenience of the Government (Fixed-Price)
52.249-1 1984-04 SEC I
(Short Form).
Notice of Price Evaluation Preference for HUBZone Small
52.219-4 2021-09 SEC I
Business Concerns.
Ensuring Adequate COVID-19 Safety Protocols for Federal
252.223-7999 DEV 2021-O0009 2021-10 SEC I
Contractors (Deviation 2021-O0009)
CLAUSES IN FULL TEXT
CLAUSE ALT NO/ YEAR-
CLAUSE TITLE
NO DEV NO MO
CLAUSE TEXT
52.232-1 Payments. 1984-04
As prescribed in 32.111(a)(1), insert the following clause, appropriately modified with respect to
payment due date in accordance with agency regulations, in solicitations and contracts when a fixed-
price supply contract, a fixed-price service contract, or a contract for nonregulated communication
services is contemplated:
Payments (APR 1984)
The Government shall pay the Contractor, upon the submission of proper invoices or vouchers, the
prices stipulated in this contract for supplies delivered and accepted or services rendered and accepted,
less any deductions provided in this contract. Unless otherwise specified in this contract, payment shall
be made on partial deliveries accepted by the Government if-
(a) The amount due on the deliveries warrants it; or
Page 2 of 29

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(b) The Contractor requests it and the amount due on the deliveries is at least $1,000 or 50 percent
of the total contract price.
(End of clause)
52.232-11 Extras. 1984-04
As prescribed in 32.111(c)(2), insert the following clause, appropriately modified with respect to
payment due dates in accordance with agency regulations, in solicitations and contracts when a fixed-
price supply contract, fixed-price service contract, or transportation contract is contemplated:
Extras (APR 1984)
Except as otherwise provided in this contract, no payment for extras shall be made unless such extras
and the price therefor have been authorized in writing by the Contracting Officer.
(End of clause)
Payments under Fixed-Price Research and Development
52.232-2 1984-04
Contracts.
As prescribed in 32.111(a)(2), insert the following clause, as appropriately modified with respect to
payment due dates in accordance with agency regulations, in solicitations and contracts when a fixed-
price research and development contract is contemplated:
Payments under Fixed-Price Research and Development Contracts (APR 1984)
The Government shall pay the Contractor, upon submission of proper invoices or vouchers, the prices
stipulated in this contract for work delivered or rendered and accepted, less any deductions provided in
this contract. Unless otherwise specified, payment shall be made upon acceptance of any portion of the
work delivered or rendered for which a price is separately stated in the contract.
(End of clause)
52.232-25 Prompt Payment. 2017-01
As prescribed in 32.908(c), insert the following clause:
Prompt Payment (JAN 2017)
Notwithstanding any other payment clause in this contract, the Government will make invoice
payments under the terms and conditions specified in this clause. The Government considers payment as
being made on the day a check is dated or the date of an electronic funds transfer (EFT). Definitions of
pertinent terms are set forth in sections 2.101, 32.001, and 32.902 of the Federal Acquisition Regulation.
All days referred to in this clause are calendar days, unless otherwise specified. (However, see paragraph
(a)(4) of this clause concerning payments due on Saturdays, Sundays, and legal holidays.)
Page 3 of 29

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(a) Invoice payments-(1) Due date.(i) Except as indicated in paragraphs (a)(2) and (c) of this
clause, the due date for making invoice payments by the designated payment office is the later of the
following two events:
(A) The 30 thday after the designated billing office receives a proper invoice from the
Contractor (except as provided in paragraph (a)(1)(ii) of this clause).
(B) The 30 thday after Government acceptance of supplies delivered or services
performed. For a final invoice, when the payment amount is subject to contract settlement actions,
acceptance is deemed to occur on the effective date of the contract settlement.
(ii) If the designated billing office fails to annotate the invoice with the actual date of
receipt at the time of receipt, the invoice payment due date is the 30 thday after the date of the
Contractor’s invoice, provided the designated billing office receives a proper invoice and there is no
disagreement over quantity, quality, or Contractor compliance with contract requirements.
(2) Certain food products and other payments.(i) Due dates on Contractor invoices for meat,
meat food products, or fish; perishable agricultural commodities; and dairy products, edible fats or oils,
and food products prepared from edible fats or oils are-
(A) For meat or meat food products, as defined in section 2(a)(3) of the Packers and
Stockyard Act of1921 (7 U.S.C.182(3)), and as further defined in Pub.L.98-181, including any edible
fresh or frozen poultry meat, any perishable poultry meat food product, fresh eggs, and any perishable
egg product, as close as possible to, but not later than, the 7 thday after product delivery.
(B) For fresh or frozen fish, as defined in section 204(3) of the Fish and Seafood
Promotion Act of1986 (16 U.S.C.4003(3)), as close as possible to, but not later than, the 7 thday after
product delivery.
(C) For perishable agricultural commodities, as defined in section 1(4) of the Perishable
Agricultural Commodities Act of1930 (7 U.S.C.499a(4)), as close as possible to, but not later than, the
10 thday after product delivery, unless another date is specified in the contract.
(D) For dairy products, as defined in section 111(e) of the Dairy Production Stabilization
Act of1983 (7 U.S.C.4502(e)), edible fats or oils, and food products prepared from edible fats or oils, as
close as possible to, but not later than, the 10 thday after the date on which a proper invoice has been
received. Liquid milk, cheese, certain processed cheese products, butter, yogurt, ice cream, mayonnaise,
salad dressings, and other similar products, fall within this classification. Nothing in the Act limits this
classification to refrigerated products. When questions arise regarding the proper classification of a
specific product, prevailing industry practices will be followed in specifying a contract payment due
date. The burden of proof that a classification of a specific product is, in fact, prevailing industry practice
is upon the Contractor making the representation.
(ii) If the contract does not require submission of an invoice for payment (e.g., periodic
lease payments), the due date will be as specified in the contract.
(3) Contractor's invoice. The Contractor shall prepare and submit invoices to the designated
billing office specified in the contract. A proper invoice must include the items listed in paragraphs (a)(3)
(i) through (a)(3)(x) of this clause. If the invoice does not comply with these requirements, the
designated billing office will return it within 7 days after receipt (3 days for meat, meat food products, or
fish; 5 days for perishable agricultural commodities, dairy products, edible fats or oils, and food products
prepared from edible fats or oils), with the reasons why it is not a proper invoice. The Government will
take into account untimely notification when computing any interest penalty owed the Contractor.
(i) Name and address of the Contractor.
(ii) Invoice date and invoice number. (The Contractor should date invoices as close as
possible to the date of the mailing or transmission.)
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(iii) Contract number or other authorization for supplies delivered or services performed
(including order number and line item number).
(iv) Description, quantity, unit of measure, unit price, and extended price of supplies
delivered or services performed.
(v) Shipping and payment terms (e.g., shipment number and date of shipment, discount for
prompt payment terms). Bill of lading number and weight of shipment will be shown for shipments on
Government bills of lading.
(vi) Name and address of Contractor official to whom payment is to be sent (must be the
same as that in the contract or in a proper notice of assignment).
(vii) Name (where practicable), title, phone number, and mailing address of person to notify
in the event of a defective invoice.
(viii) Taxpayer Identification Number (TIN). The Contractor shall include its TIN on the
invoice only if required elsewhere in this contract.
(ix) Electronic funds transfer (EFT) banking information.
(A) The Contractor shall include EFT banking information on the invoice only if
required elsewhere in this contract.
(B) If EFT banking information is not required to be on the invoice, in order for the
invoice to be a proper invoice, the Contractor shall have submitted correct EFT banking information in
accordance with the applicable solicitation provision (e.g., 52.232-38, Submission of Electronic Funds
Transfer Information with Offer), contract clause (e.g., 52.232-33, Payment by Electronic Funds
Transfer-System for Award Management, or 52.232-34, Payment by Electronic Funds Transfer-Other
Than System for Award Management), or applicable agency procedures.
(C) EFT banking information is not required if the Government waived the requirement
to pay by EFT.
(x) Any other information or documentation required by the contract (e.g., evidence of
shipment).
(4) Interest penalty. The designated payment office will pay an interest penalty automatically,
without request from the Contractor, if payment is not made by the due date and the conditions listed in
paragraphs (a)(4)(i) through (a)(4)(iii) of this clause are met, if applicable. However, when the due date
falls on a Saturday, Sunday, or legal holiday, the designated payment office may make payment on the
following working day without incurring a late payment interest penalty.
(i) The designated billing office received a proper invoice.
(ii) The Government processed a receiving report or other Government documentation
authorizing payment, and there was no disagreement over quantity, quality, or Contractor compliance
with any contract term or condition.
(iii) In the case of a final invoice for any balance of funds due the Contractor for supplies
delivered or services performed, the amount was not subject to further contract settlement actions
between the Government and the Contractor.
(5) Computing penalty amount. The Government will compute the interest penalty in
accordance with the Office of Management and Budget prompt payment regulations at 5 CFR Part 1315.
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(i) For the sole purpose of computing an interest penalty that might be due the Contractor,
Government acceptance is deemed to occur constructively on the 7 thday (unless otherwise specified in
this contract) after the Contractor delivers the supplies or performs the services in accordance with the
terms and conditions of the contract, unless there is a disagreement over quantity, quality, or Contractor
compliance with a contract provision. If actual acceptance occurs within the constructive acceptance
period, the Government will base the determination of an interest penalty on the actual date of
acceptance. The constructive acceptance requirement does not, however, compel Government officials to
accept supplies or services, perform contract administration functions, or make payment prior to
fulfilling their responsibilities.
(ii) The prompt payment regulations at 5 CFR1315.10(c) do not require the Government to
pay interest penalties if payment delays are due to disagreement between the Government and the
Contractor over the payment amount or other issues involving contract compliance, or on amounts
temporarily withheld or retained in accordance with the terms of the contract. The Government and the
Contractor shall resolve claims involving disputes and any interest that may be payable in accordance
with the clause at FAR 52.233-1, Disputes.
(6) Discounts for prompt payment. The designated payment office will pay an interest penalty
automatically, without request from the Contractor, if the Government takes a discount for prompt
payment improperly. The Government will calculate the interest penalty in accordance with the prompt
payment regulations at 5 CFR Part 1315.
(7) Additional interest penalty.(i) The designated payment office will pay a penalty amount,
calculated in accordance with the prompt payment regulations at 5 CFR Part 1315 in addition to the
interest penalty amount only if-
(A) The Government owes an interest penalty of $1 or more;
(B) The designated payment office does not pay the interest penalty within 10 days after
the date the invoice amount is paid; and
(C) The Contractor makes a written demand to the designated payment office for
additional penalty payment, in accordance with paragraph (a)(7)(ii) of this clause, postmarked not later
than 40 days after the invoice amount is paid.
(ii) (A) The Contractor shall support written demands for additional penalty payments with the
following data. The Government will not request any additional data. The Contractor shall-
(1) Specifically assert that late payment interest is due under a specific invoice, and
request payment of all overdue late payment interest penalty and such additional penalty as may be
required;
(2) Attach a copy of the invoice on which the unpaid late payment interest is due; and
(3) State that payment of the principal has been received, including the date of receipt.
(B) If there is no postmark or the postmark is illegible-
(1) The designated payment office that receives the demand will annotate it with the
date of receipt, provided the demand is received on or before the 40th day after payment was made; or
(2) If the designated payment office fails to make the required annotation, the
Government will determine the demand’s validity based on the date the Contractor has placed on the
demand, provided such date is no later than the 40th day after payment was made.
(iii) The additional penalty does not apply to payments regulated by other Government
regulations (e.g., payments under utility contracts subject to tariffs and regulation).
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(b) Contract financing payment. If this contract provides for contract financing, the Government
will make contract financing payments in accordance with the applicable contract financing clause.
(c) Fast payment procedure due dates. If this contract contains the clause at 52.213-1, Fast
Payment Procedure, payments will be made within 15 days after the date of receipt of the invoice.
(d) Overpayments. If the Contractor becomes aware of a duplicate contract financing or invoice
payment or that the Government has otherwise overpaid on a contract financing or invoice payment, the
Contractor shall-
(1) Remit the overpayment amount to the payment office cited in the contract along with a
description of the overpayment including the-
(i) Circumstances of the overpayment (e.g., duplicate payment, erroneous payment,
liquidation errors, date(s) of overpayment);
(ii) Affected contract number and delivery order number if applicable;
(iii) Affected line item or subline item, if applicable; and
(iv) Contractor point of contact.
(2) Provide a copy of the remittance and supporting documentation to the Contracting Officer.
(End of clause)
52.232-8 Discounts for Prompt Payment. 2002-02
As prescribed in 32.111(b)(1), insert the following clause:
Discounts for Prompt Payment (FEB 2002)
(a) Discounts for prompt payment will not be considered in the evaluation of offers. However, any
offered discount will form a part of the award, and will be taken if payment is made within the discount
period indicated in the offer by the offeror. As an alternative to offering a discount for prompt payment
in conjunction with the offer, offerors awarded contracts may include discounts for prompt payment on
individual invoices.
(b) In connection with any discount offered for prompt payment, time shall be computed from the
date of the invoice. If the Contractor has not placed a date on the invoice, the due date shall be calculated
from the date the designated billing office receives a proper invoice, provided the agency annotates such
invoice with the date of receipt at the time of receipt. For the purpose of computing the discount earned,
payment shall be considered to have been made on the date that appears on the payment check or, for an
electronic funds transfer, the specified payment date. When the discount date falls on a Saturday,
Sunday, or legal holiday when Federal Government offices are closed and Government business is not
expected to be conducted, payment may be made on the following business day.
(End of clause)
252.227-7013 Rights in Technical Data--Noncommercial Items. 2014-02
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As prescribed in 227.7103-6(a), use the following clause:
RIGHTS IN TECHNICAL DATA--NONCOMMERCIAL ITEMS (FEB 2014)
(a) Definitions. As used in this clause-
(1) "Computer data base" means a collection of data recorded in a form capable of being
processed by a computer. The term does not include computer software.
(2) "Computer program" means a set of instructions, rules, or routines recorded in a form that
is capable of causing a computer to perform a specific operation or series of operations.
(3) "Computer software" means computer programs, source code, source code listings, object
code listings, design details, algorithms, processes, flow charts, formulae and related material that would
enable the software to be reproduced, recreated, or recompiled. Computer software does not include
computer data bases or computer software documentation.
(4) "Computer software documentation" means owner's manuals, user's manuals, installation
instructions, operating instructions, and other similar items, regardless of storage medium, that explain
the capabilities of the computer software or provide instructions for using the software.
(5) "Covered Government support contractor" means a contractor (other than a litigation
support contractor covered by 252.204-7014) under a contract, the primary purpose of which is to furnish
independent and impartial advice or technical assistance directly to the Government in support of the
Government's management and oversight of a program or effort (rather than to directly furnish an end
item or service to accomplish a program or effort), provided that the contractor-
(i) Is not affiliated with the prime contractor or a first-tier subcontractor on the program
or effort, or with any direct competitor of such prime contractor or any such first-tier subcontractor in
furnishing end items or services of the type developed or produced on the program or effort; and
(ii) Receives access to technical data or computer software for performance of a
Government contract that contains the clause at 252.227-7025, Limitations on the Use or Disclosure of
Government-Furnished Information Marked with Restrictive Legends.
(6) "Detailed manufacturing or process data" means technical data that describe the steps,
sequences, and conditions of manufacturing, processing or assembly used by the manufacturer to
produce an item or component or to perform a process.
(7) "Developed" means that an item, component, or process exists and is workable. Thus, the
item or component must have been constructed or the process practiced. Workability is generally
established when the item, component, or process has been analyzed or tested sufficiently to demonstrate
to reasonable people skilled in the applicable art that there is a high probability that it will operate as
intended. Whether, how much, and what type of analysis or testing is required to establish workability
depends on the nature of the item, component, or process, and the state of the art. To be considered
"developed," the item, component, or process need not be at the stage where it could be offered for sale
or sold on the commercial market, nor must the item, component, or process be actually reduced to
practice within the meaning of Title 35 of the United States Code.
(8) "Developed exclusively at private expense" means development was accomplished
entirely with costs charged to indirect cost pools, costs not allocated to a government contract, or any
combination thereof.
(i) Private expense determinations should be made at the lowest practicable level.
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(ii) Under fixed-price contracts, when total costs are greater than the firm-fixed-price or
ceiling price of the contract, the additional development costs necessary to complete development shall
not be considered when determining whether development was at government, private, or mixed expense.
(9) "Developed exclusively with government funds" means development was not
accomplished exclusively or partially at private expense.
(10) "Developed with mixed funding" means development was accomplished partially with
costs charged to indirect cost pools and/or costs not allocated to a government contract, and partially
with costs charged directly to a government contract.
(11) "Form, fit, and function data" means technical data that describes the required overall
physical, functional, and performance characteristics (along with the qualification requirements, if
applicable) of an item, component, or process to the extent necessary to permit identification of
physically and functionally interchangeable items.
(12) "Government purpose" means any activity in which the United States Government is a
party, including cooperative agreements with international or multi-national defense organizations, or
sales or transfers by the United States Government to foreign governments or international organizations.
Government purposes include competitive procurement, but do not include the rights to use, modify,
reproduce, release, perform, display, or disclose technical data for commercial purposes or authorize
others to do so.
(13) "Government purpose rights" means the rights to-
(i) Use, modify, reproduce, release, perform, display, or disclose technical data within the
Government without restriction; and
(ii) Release or disclose technical data outside the Government and authorize persons to
whom release or disclosure has been made to use, modify, reproduce, release, perform, display, or
disclose that data for United States government purposes.
(14) "Limited rights" means the rights to use, modify, reproduce, release, perform, display, or
disclose technical data, in whole or in part, within the Government. The Government may not, without
the written permission of the party asserting limited rights, release or disclose the technical data outside
the Government, use the technical data for manufacture, or authorize the technical data to be used by
another party, except that the Government may reproduce, release, or disclose such data or authorize the
use or reproduction of the data by persons outside the Government if-
(i) The reproduction, release, disclosure, or use is-
(A) Necessary for emergency repair and overhaul; or
(B) A release or disclosure to-
(1) A covered Government support contractor in performance of its covered
Government support contract for use, modification, reproduction, performance, display, or release or
disclosure to a person authorized to receive limited rights technical data; or
(2) A foreign government, of technical data other than detailed manufacturing
or process data, when use of such data by the foreign government is in the interest of the Government
and is required for evaluational or informational purposes;
(ii) The recipient of the technical data is subject to a prohibition on the further
reproduction, release, disclosure, or use of the technical data; and
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(iii) The contractor or subcontractor asserting the restriction is notified of such
reproduction, release, disclosure, or use.
(15) "Technical data" means recorded information, regardless of the form or method of the
recording, of a scientific or technical nature (including computer software documentation). The term
does not include computer software or data incidental to contract administration, such as financial and/or
management information.
(16) "Unlimited rights" means rights to use, modify, reproduce, perform, display, release, or
disclose technical data in whole or in part, in any manner, and for any purpose whatsoever, and to have
or authorize others to do so.
(b) Rights in technical data. The Contractor grants or shall obtain for the Government the
following royalty free, world-wide, nonexclusive, irrevocable license rights in technical data other than
computer software documentation (see the Rights in Noncommercial Computer Software and
Noncommercial Computer Software Documentation clause of this contract for rights in computer
software documentation):
(1) Unlimited rights. The Government shall have unlimited rights in technical data that are-
(i) Data pertaining to an item, component, or process which has been or will be
developed exclusively with Government funds;
(ii) Studies, analyses, test data, or similar data produced for this contract, when the study,
analysis, test, or similar work was specified as an element of performance;
(iii) Created exclusively with Government funds in the performance of a contract that
does not require the development, manufacture, construction, or production of items, components, or
processes;
(iv) Form, fit, and function data;
(v) Necessary for installation, operation, maintenance, or training purposes (other than
detailed manufacturing or process data);
(vi) Corrections or changes to technical data furnished to the Contractor by the
Government;
(vii) Otherwise publicly available or have been released or disclosed by the Contractor or
subcontractor without restrictions on further use, release or disclosure, other than a release or disclosure
resulting from the sale, transfer, or other assignment of interest in the technical data to another party or
the sale or transfer of some or all of a business entity or its assets to another party;
(viii) Data in which the Government has obtained unlimited rights under another
Government contract or as a result of negotiations; or
(ix) Data furnished to the Government, under this or any other Government contract or
subcontract thereunder, with-
(A) Government purpose license rights or limited rights and the restrictive condition
(s) has/have expired; or
(B) Government purpose rights and the Contractor's exclusive right to use such data
for commercial purposes has expired.
(2) Government purpose rights.
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(i) The Government shall have government purpose rights for a five-year period, or such
other period as may be negotiated, in technical data-
(A) That pertain to items, components, or processes developed with mixed funding
except when the Government is entitled to unlimited rights in such data as provided in paragraphs (b)(1)
(ii) and (b)(1)(iv) through (b)(1)(ix) of this clause; or
(B) Created with mixed funding in the performance of a contract that does not
require the development, manufacture, construction, or production of items, components, or processes.
(ii) The five-year period, or such other period as may have been negotiated, shall
commence upon execution of the contract, subcontract, letter contract (or similar contractual instrument),
contract modification, or option exercise that required development of the items, components, or
processes or creation of the data described in paragraph (b)(2)(i)(B) of this clause. Upon expiration of
the five-year or other negotiated period, the Government shall have unlimited rights in the technical data.
(iii) The Government shall not release or disclose technical data in which it has
government purpose rights unless-
(A) Prior to release or disclosure, the intended recipient is subject to the non-
disclosure agreement at 227.7103-7 of the Defense Federal Acquisition Regulation Supplement
(DFARS); or
(B) The recipient is a Government contractor receiving access to the data for
performance of a Government contract that contains the clause at DFARS 252.227-7025, Limitations on
the Use or Disclosure of Government-Furnished Information Marked with Restrictive Legends.
(iv) The Contractor has the exclusive right, including the right to license others, to use
technical data in which the Government has obtained government purpose rights under this contract for
any commercial purpose during the time period specified in the government purpose rights legend
prescribed in paragraph (f)(2) of this clause.
(3) Limited rights.
(i) Except as provided in paragraphs (b)(1)(ii) and (b)(1)(iv) through (b)(1)(ix) of this
clause, the Government shall have limited rights in technical data-
(A) Pertaining to items, components, or processes developed exclusively at private
expense and marked with the limited rights legend prescribed in paragraph (f) of this clause; or
(B) Created exclusively at private expense in the performance of a contract that does
not require the development, manufacture, construction, or production of items, components, or
processes.
(ii) The Government shall require a recipient of limited rights data for emergency repair
or overhaul to destroy the data and all copies in its possession promptly following completion of the
emergency repair/overhaul and to notify the Contractor that the data have been destroyed.
(iii) The Contractor, its subcontractors, and suppliers are not required to provide the
Government additional rights to use, modify, reproduce, release, perform, display, or disclose technical
data furnished to the Government with limited rights. However, if the Government desires to obtain
additional rights in technical data in which it has limited rights, the Contractor agrees to promptly enter
into negotiations with the Contracting Officer to determine whether there are acceptable terms for
transferring such rights. All technical data in which the Contractor has granted the Government
additional rights shall be listed or described in a license agreement made part of the contract. The license
shall enumerate the additional rights granted the Government in such data.
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(iv) The Contractor acknowledges that-
(A) Limited rights data are authorized to be released or disclosed to covered
Government support contractors;
(B) The Contractor will be notified of such release or disclosure;
(C) The Contractor (or the party asserting restrictions as identified in the limited
rights legend) may require each such covered Government support contractor to enter into a non-
disclosure agreement directly with the Contractor (or the party asserting restrictions) regarding the
covered Government support contractor's use of such data, or alternatively, that the Contractor (or party
asserting restrictions) may waive in writing the requirement for a non-disclosure agreement; and
(D) Any such non-disclosure agreement shall address the restrictions on the covered
Government support contractor's use of the limited rights data as set forth in the clause at 252.227-7025,
Limitations on the Use or Disclosure of Government- Furnished Information Marked with Restrictive
Legends. The non-disclosure agreement shall not include any additional terms and conditions unless
mutually agreed to by the parties to the non-disclosure agreement.
(4) Specifically negotiated license rights. The standard license rights granted to the
Government under paragraphs (b)(1) through (b)(3) of this clause, including the period during which the
Government shall have government purpose rights in technical data, may be modified by mutual
agreement to provide such rights as the parties consider appropriate but shall not provide the
Government lesser rights than are enumerated in paragraph (a)(14) of this clause. Any rights so
negotiated shall be identified in a license agreement made part of this contract.
(5) Prior government rights. Technical data that will be delivered, furnished, or otherwise
provided to the Government under this contract, in which the Government has previously obtained rights
shall be delivered, furnished, or provided with the pre-existing rights, unless-
(i) The parties have agreed otherwise; or
(ii) Any restrictions on the Government's rights to use, modify, reproduce, release,
perform, display, or disclose the data have expired or no longer apply.
(6) Release from liability. The Contractor agrees to release the Government from liability for
any release or disclosure of technical data made in accordance with paragraph (a)(14) or (b)(2)(iii) of this
clause, in accordance with the terms of a license negotiated under paragraph (b)(4) of this clause, or by
others to whom the recipient has released or disclosed the data and to seek relief solely from the party
who has improperly used, modified, reproduced, released, performed, displayed, or disclosed Contractor
data marked with restrictive legends.
(c) Contractor rights in technical data. All rights not granted to the Government are retained by
the Contractor.
(d) Third party copyrighted data. The Contractor shall not, without the written approval of the
Contracting Officer, incorporate any copyrighted data in the technical data to be delivered under this
contract unless the Contractor is the copyright owner or has obtained for the Government the license
rights necessary to perfect a license or licenses in the deliverable data of the appropriate scope set forth
in paragraph (b) of this clause, and has affixed a statement of the license or licenses obtained on behalf
of the Government and other persons to the data transmittal document.
(e) Identification and delivery of data to be furnished with restrictions on use, release, or
disclosure.
(1) This paragraph does not apply to restrictions based solely on copyright.
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(2) Except as provided in paragraph (e)(3) of this clause, technical data that the Contractor
asserts should be furnished to the Government with restrictions on use, release, or disclosure are
identified in an attachment to this contract (the Attachment). The Contractor shall not deliver any data
with restrictive markings unless the data are listed on the Attachment.
(3) In addition to the assertions made in the Attachment, other assertions may be identified
after award when based on new information or inadvertent omissions unless the inadvertent omissions
would have materially affected the source selection decision. Such identification and assertion shall be
submitted to the Contracting Officer as soon as practicable prior to the scheduled date for delivery of the
data, in the following format, and signed by an official authorized to contractually obligate the
Contractor:
Identification and Assertion of Restrictions on the Government's Use, Release,
or Disclosure of Technical Data.
The Contractor asserts for itself, or the persons identified below, that the Government's
rights to use, release, or disclose the following technical data should be restricted-
Technical Data Name of Person
to be Furnished Basis for Asserted Rights Asserting
With Restrictions Assertion Category Restrictions**
____(LIST) ____(LIST) ____(LIST) ____(LIST)
*If the assertion is applicable to items, components, or processes developed at private
expense, identify both the data and each such item, component, or process.
**Generally, the development of an item, component, or process at private expense, either
exclusively or partially, is the only basis for asserting restrictions on the Government's rights to use,
release, or disclose technical data pertaining to such items, components, or processes. Indicate whether
development was exclusively or partially at private expense. If development was not at private expense,
enter the specific reason for asserting that the Government's rights should be restricted.
*Enter asserted rights category (e.g., government purpose license rights from a prior
contract, rights in SBIR data generated under another contract, limited or government purpose rights
under this or a prior contract, or specifically negotiated licenses).
**Corporation, individual, or other person, as appropriate.
Date ____
Printed Name and Title ____
____
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Signature ____
(End of identification and assertion)
(4) When requested by the Contracting Officer, the Contractor shall provide sufficient
information to enable the Contracting Officer to evaluate the Contractor's assertions. The Contracting
Officer reserves the right to add the Contractor's assertions to the Attachment and validate any listed
assertion, at a later date, in accordance with the procedures of the Validation of Restrictive Markings on
Technical Data clause of this contract.
(f) Marking requirements. The Contractor, and its subcontractors or suppliers, may only assert
restrictions on the Government's rights to use, modify, reproduce, release, perform, display, or disclose
technical data to be delivered under this contract by marking the deliverable data subject to restriction.
Except as provided in paragraph (f)(5) of this clause, only the following legends are authorized under
this contract: the government purpose rights legend at paragraph (f)(2) of this clause; the limited rights
legend at paragraph (f)(3) of this clause; or the special license rights legend at paragraph (f)(4) of this
clause; and/or a notice of copyright as prescribed under 17 U.S.C. 401 or 402.
(1) General marking instructions. The Contractor, or its subcontractors or suppliers, shall
conspicuously and legibly mark the appropriate legend on all technical data that qualify for such
markings. The authorized legends shall be placed on the transmittal document or storage container and,
for printed material, each page of the printed material containing technical data for which restrictions are
asserted. When only portions of a page of printed material are subject to the asserted restrictions, such
portions shall be identified by circling, underscoring, with a note, or other appropriate identifier.
Technical data transmitted directly from one computer or computer terminal to another shall contain a
notice of asserted restrictions. Reproductions of technical data or any portions thereof subject to asserted
restrictions shall also reproduce the asserted restrictions.
(2) Government purpose rights markings. Data delivered or otherwise furnished to the
Government with government purpose rights shall be marked as follows:
GOVERNMENT PURPOSE RIGHTS
Contract No.
____
Contractor Name
____
Contractor Address
____
____
Expiration Date
____
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The Government's rights to use, modify, reproduce, release, perform, display, or disclose
these technical data are restricted by paragraph (b)(2) of the Rights in Technical Data-Noncommercial
Items clause contained in the above identified contract. No restrictions apply after the expiration date
shown above. Any reproduction of technical data or portions thereof marked with this legend must also
reproduce the markings.
(End of legend)
(3) Limited rights markings. Data delivered or otherwise furnished to the Government with
limited rights shall be marked with the following legend:
LIMITED RIGHTS
Contract No.
____
Contractor Name
____
Contractor Address
____
____
The Government's rights to use, modify, reproduce, release, perform, display, or disclose
these technical data are restricted by paragraph (b)(3) of the Rights in Technical Data--Noncommercial
Items clause contained in the above identified contract. Any reproduction of technical data or portions
thereof marked with this legend must also reproduce the markings. Any person, other than the
Government, who has been provided access to such data must promptly notify the above named
Contractor.
(End of legend)
(4) Special license rights markings.
(i) Data in which the Government's rights stem from a specifically negotiated license
shall be marked with the following legend:
SPECIAL LICENSE RIGHTS
The Government's rights to use, modify, reproduce, release, perform, display, or disclose these data
are restricted by Contract No. ____(Insert contract number)____, License No. ____(Insert license
identifier)____. Any reproduction of technical data or portions thereof marked with this legend must
also reproduce the markings.
(End of legend)
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(ii) For purposes of this clause, special licenses do not include government purpose
license rights acquired under a prior contract (see paragraph (b)(5) of this clause).
(5) Pre-existing data markings. If the terms of a prior contract or license permitted the
Contractor to restrict the Government's rights to use, modify, reproduce, release, perform, display, or
disclose technical data deliverable under this contract, and those restrictions are still applicable, the
Contractor may mark such data with the appropriate restrictive legend for which the data qualified under
the prior contract or license. The marking procedures in paragraph (f)(1) of this clause shall be followed.
(g) Contractor procedures and records. Throughout performance of this contract, the Contractor
and its subcontractors or suppliers that will deliver technical data with other than unlimited rights, shall-
(1) Have, maintain, and follow written procedures sufficient to assure that restrictive
markings are used only when authorized by the terms of this clause; and
(2) Maintain records sufficient to justify the validity of any restrictive markings on technical
data delivered under this contract.
(h) Removal of unjustified and nonconforming markings.
(1) Unjustified technical data markings. The rights and obligations of the parties regarding
the validation of restrictive markings on technical data furnished or to be furnished under this contract
are contained in the Validation of Restrictive Markings on Technical Data clause of this contract.
Notwithstanding any provision of this contract concerning inspection and acceptance, the Government
may ignore or, at the Contractor's expense, correct or strike a marking if, in accordance with the
procedures in the Validation of Restrictive Markings on Technical Data clause of this contract, a
restrictive marking is determined to be unjustified.
(2) Nonconforming technical data markings. A nonconforming marking is a marking placed
on technical data delivered or otherwise furnished to the Government under this contract that is not in the
format authorized by this contract. Correction of nonconforming markings is not subject to the
Validation of Restrictive Markings on Technical Data clause of this contract. If the Contracting Officer
notifies the Contractor of a nonconforming marking and the Contractor fails to remove or correct such
marking within sixty (60) days, the Government may ignore or, at the Contractor's expense, remove or
correct any nonconforming marking.
(i) Relation to patents. Nothing contained in this clause shall imply a license to the Government
under any patent or be construed as affecting the scope of any license or other right otherwise granted to
the Government under any patent.
(j) Limitation on charges for rights in technical data.
(1) The Contractor shall not charge to this contract any cost, including, but not limited to,
license fees, royalties, or similar charges, for rights in technical data to be delivered under this contract
when-
(i) The Government has acquired, by any means, the same or greater rights in the data; or
(ii) The data are available to the public without restrictions.
(2) The limitation in paragraph (j)(1) of this clause-
(i) Includes costs charged by a subcontractor or supplier, at any tier, or costs incurred by
the Contractor to acquire rights in subcontractor or supplier technical data, if the subcontractor or
supplier has been paid for such rights under any other Government contract or under a license conveying
the rights to the Government; and
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(ii) Does not include the reasonable costs of reproducing, handling, or mailing the
documents or other media in which the technical data will be delivered.
(k) Applicability to subcontractors or suppliers.
(1) The Contractor shall ensure that the rights afforded its subcontractors and suppliers under
10 U.S.C. 2320, 10 U.S.C. 2321, and the identification, assertion, and delivery processes of paragraph (e)
of this clause are recognized and protected.
(2) Whenever any technical data for noncommercial items, or for commercial items
developed in any part at Government expense, is to be obtained from a subcontractor or supplier for
delivery to the Government under this contract, the Contractor shall use this same clause in the
subcontract or other contractual instrument, including subcontracts or other contractual instruments for
commercial items, and require its subcontractors or suppliers to do so, without alteration, except to
identify the parties. This clause will govern the technical data pertaining to noncommercial items or to
any portion of a commercial item that was developed in any part at Government expense, and the clause
at 252.227-7015 will govern the technical data pertaining to any portion of a commercial item that was
developed exclusively at private expense. No other clause shall be used to enlarge or diminish the
Government's, the Contractor's, or a higher-tier subcontractor's or supplier's rights in a subcontractor's or
supplier's technical data.
(3) Technical data required to be delivered by a subcontractor or supplier shall normally be
delivered to the next higher-tier contractor, subcontractor, or supplier. However, when there is a
requirement in the prime contract for data which may be submitted with other than unlimited rights by a
subcontractor or supplier, then said subcontractor or supplier may fulfill its requirement by submitting
such data directly to the Government, rather than through a higher-tier contractor, subcontractor, or
supplier.
(4) The Contractor and higher-tier subcontractors or suppliers shall not use their power to
award contracts as economic leverage to obtain rights in technical data from their subcontractors or
suppliers.
(5) In no event shall the Contractor use its obligation to recognize and protect subcontractor
or supplier rights in technical data as an excuse for failing to satisfy its contractual obligation to the
Government.
(End of clause)
252.232-7006 Wide Area WorkFlow Payment Instructions. 2018-12
As prescribed in 232.7004(b), use the following clause:
WIDE AREA WORKFLOW PAYMENT INSTRUCTIONS (DEC 2018)
(a) Definitions. As used in this clause-
"Department of Defense Activity Address Code (DoDAAC)" is a six position code that uniquely
identifies a unit, activity, or organization.
"Document type" means the type of payment request or receiving report available for creation in
Wide Area WorkFlow (WAWF).
"Local processing office (LPO)" is the office responsible for payment certification when payment
certification is done external to the entitlement system.
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"Payment request" and "receiving report" are defined in the clause at 252.232-7003, Electronic
Submission of Payment Requests and Receiving Reports.
(b) Electronic invoicing. The WAWF system provides the method to electronically process
vendor payment requests and receiving reports, as authorized by Defense Federal Acquisition Regulation
Supplement (DFARS) 252.232-7003, Electronic Submission of Payment Requests and Receiving
Reports.
(c) WAWF access. To access WAWF, the Contractor shall-
(1) Have a designated electronic business point of contact in the System for Award
Management at https://www.sam.gov; and
(2) Be registered to use WAWF at https://wawf.eb.mil/ following the step-by-step procedures
for self-registration available at this web site.
(d) WAWF training. The Contractor should follow the training instructions of the WAWF Web-
Based Training Course and use the Practice Training Site before submitting payment requests through
WAWF. Both can be accessed by selecting the "Web Based Training" link on the WAWF home page at
https://wawf.eb.mil/
(e) WAWF methods of document submission. Document submissions may be via web entry,
Electronic Data Interchange, or File Transfer Protocol.
(f) WAWF payment instructions. The Contractor shall use the following information when
submitting payment requests and receiving reports in WAWF for this contract or task or delivery order:
(1) Document type. The Contractor shall submit payment requests using the following
document type(s):
(i) For cost-type line items, including labor-hour or time-and-materials, submit a cost
voucher.
(ii) For fixed price line items-
(A) That require shipment of a deliverable, submit the invoice and receiving report
specified by the Contracting Officer.
____
(Contracting Officer: Insert applicable invoice and receiving report document type(s) for fixed price
line items that require shipment of a deliverable.)
(B) For services that do not require shipment of a deliverable, submit either the
Invoice 2in1, which meets the requirements for the invoice and receiving report, or the applicable
invoice and receiving report, as specified by the Contracting Officer.
____
(Contracting Officer: Insert either "Invoice 2in1" or the applicable invoice and receiving
report document type(s) for fixed price line items for services.)
(iii) For customary progress payments based on costs incurred, submit a progress
payment request.
(iv) For performance based payments, submit a performance based payment request.
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(v) For commercial item financing, submit a commercial item financing request.
(2) ) Fast Pay requests are only permitted when Federal Acquisition Regulation (FAR)
52.213-1 is included in the contract.
(f) [Note: The Contractor may use a WAWF "combo" document type to create some combinations
of invoice and receiving report in one step.]
(3) Document routing. The Contractor shall use the information in the Routing Data Table
below only to fill in applicable fields in WAWF when creating payment requests and receiving reports in
the system.
Routing Data Table*
Field Name in WAWF Data to be entered in WAWF
Pay Official DoDAAC ____
Issue By DoDAAC ____
Admin DoDAAC ____
Inspect By DoDAAC ____
Ship To Code ____
Ship From Code ____
Mark For Code ____
Service Approver (DoDAAC) ____
Service Acceptor (DoDAAC) ____
Accept at Other DoDAAC ____
LPO DoDAAC ____
DCAA Auditor DoDAAC ____
Other DoDAAC(s) ____
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(*Contracting Officer: Insert applicable DoDAAC information. If multiple ship to/acceptance
locations apply, insert "See Schedule" or "Not applicable.")
(**Contracting Officer: If the contract provides for progress payments or performance-based
payments, insert the DoDAAC for the contract administration office assigned the functions under FAR
42.302(a)(13).)
(4) Payment request. The Contractor shall ensure a payment request includes documentation
appropriate to the type of payment request in accordance with the payment clause, contract financing
clause, or Federal Acquisition Regulation 52.216-7, Allowable Cost and Payment, as applicable.
(5) Receiving report. The Contractor shall ensure a receiving report meets the requirements
of DFARS Appendix F.
(g) WAWF point of contact.
(1) The Contractor may obtain clarification regarding invoicing in WAWF from the
following contracting activity's WAWF point of contact.
____
(Contracting Officer: Insert applicable information or "Not applicable.")
(2) Contact the WAWF helpdesk at 866-618-5988, if assistance is needed.
(End of clause)
252.232-7007 Limitation of Government's Obligation. 2014-04
As prescribed in 232.705-70, use the following clause:
LIMITATION OF GOVERNMENT'S OBLIGATION (APR 2014)
(a) Contract line item(s) [Contracting Officer insert after negotiations] is/are incrementally
funded. For this/these item(s), the sum of $ [Contracting Officer insert after negotiations] of the total
price is presently available for payment and allotted to this contract. An allotment schedule is set forth in
paragraph (j) of this clause.
(b) For item(s) identified in paragraph (a) of this clause, the Contractor agrees to perform up to the
point at which the total amount payable by the Government, including reimbursement in the event of
termination of those item(s) for the Government's convenience, approximates the total amount currently
allotted to the contract. The Contractor is not authorized to continue work on those item(s) beyond that
point. The Government will not be obligated in any event to reimburse the Contractor in excess of the
amount allotted to the contract for those item(s) regardless of anything to the contrary in the clause
entitled "Termination for Convenience of the Government." As used in this clause, the total amount
payable by the Government in the event of termination of applicable contract line item(s) for
convenience includes costs, profit, and estimated termination settlement costs for those item(s).
(c) Notwithstanding the dates specified in the allotment schedule in paragraph (j) of this clause,
the Contractor will notify the Contracting Officer in writing at least ninety days prior to the date when, in
the Contractor's best judgment, the work will reach the point at which the total amount payable by the
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Government, including any cost for termination for convenience, will approximate 85 percent of the total
amount then allotted to the contract for performance of the applicable item(s). The notification will state
(1) the estimated date when that point will be reached and (2) an estimate of additional funding, if any,
needed to continue performance of applicable line items up to the next scheduled date for allotment of
funds identified in paragraph (j) of this clause, or to a mutually agreed upon substitute date. The
notification will also advise the Contracting Officer of the estimated amount of additional funds that will
be required for the timely performance of the item(s) funded pursuant to this clause, for a subsequent
period as may be specified in the allotment schedule in paragraph (j) of this clause or otherwise agreed to
by the parties. If after such notification additional funds are not allotted by the date identified in the
Contractor's notification, or by an agreed substitute date, the Contracting Officer will terminate any item
(s) for which additional funds have not been allotted, pursuant to the clause of this contract entitled
"Termination for Convenience of the Government."
(d) When additional funds are allotted for continued performance of the contract line item(s)
identified in paragraph (a) of this clause, the parties will agree as to the period of contract performance
which will be covered by the funds. The provisions of paragraphs (b) through (d) of this clause will
apply in like manner to the additional allotted funds and agreed substitute date, and the contract will be
modified accordingly.
(e) If, solely by reason of failure of the Government to allot additional funds, by the dates
indicated below, in amounts sufficient for timely performance of the contract line item(s) identified in
paragraph (a) of this clause, the Contractor incurs additional costs or is delayed in the performance of the
work under this contract and if additional funds are allotted, an equitable adjustment will be made in the
price or prices (including appropriate target, billing, and ceiling prices where applicable) of the item(s),
or in the time of delivery, or both. Failure to agree to any such equitable adjustment hereunder will be a
dispute concerning a question of fact within the meaning of the clause entitled "Disputes."
(f) The Government may at any time prior to termination allot additional funds for the
performance of the contract line item(s) identified in paragraph (a) of this clause.
(g) The termination provisions of this clause do not limit the rights of the Government under the
clause entitled "Default." The provisions of this clause are limited to the work and allotment of funds for
the contract line item(s) set forth in paragraph (a) of this clause. This clause no longer applies once the
contract is fully funded except with regard to the rights or obligations of the parties concerning equitable
adjustments negotiated under paragraphs (d) and (e) of this clause.
(h) Nothing in this clause affects the right of the Government to terminate this contract pursuant to
the clause of this contract entitled "Termination for Convenience of the Government."
(i) Nothing in this clause shall be construed as authorization of voluntary services whose
acceptance is otherwise prohibited under 31 U.S.C. 1342.
(j) The parties contemplate that the Government will allot funds to this contract in accordance
with the following schedule:
On execution of contract $ ____
(month) (day), (year) $ ____
(month) (day), (year) $ ____
(month) (day), (year) $ ____
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(End of clause)
252.235-7010 Acknowledgment of Support and Disclaimer. 1995-05
As prescribed in 235.072(c), use the following clause:
ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER (MAY 1995)
(a) The Contractor shall include an acknowledgment of the Government's support in the
publication of any material based on or developed under this contract, stated in the following terms:
This material is based upon work supported by the ____(name of contracting agency(ies)) under
Contract No. ____(Contracting agency(ies) contract number(s)).
(b) All material, except scientific articles or papers published in scientific journals, must, in
addition to any notices or disclaimers by the Contractor, also contain the following disclaimer: Any
opinions, findings and conclusions or recommendations expressed in this material are those of the author
(s) and do not necessarily reflect the views of the ____(name of contracting agency(ies)).
(End of clause)
52.227-11 Patent Rights-Ownership by the Contractor. 2014-05
As prescribed in 27.303(b)(1), insert the following clause:
Patent Rights-Ownership by the Contractor (MAY 2014)
(a) As used in this clause-
Invention means any invention or discovery that is or may be patentable or otherwise protectable
under title 35 of the U.S. Code, or any variety of plant that is or may be protectable under the Plant
Variety Protection Act (7 U.S.C. 2321, et seq.)
Made means-
(1) When used in relation to any invention other than a plant variety, the conception or first
actual reduction to practice of the invention; or
(2) When used in relation to a plant variety, that the Contractor has at least tentatively
determined that the variety has been reproduced with recognized characteristics.
Nonprofit organization means a university or other institution of higher education or an
organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C.
501(c)) and exempt from taxation under section 501(a) of the Internal Revenue Code (26 U.S.C. 501(a)),
or any nonprofit scientific or educational organization qualified under a State nonprofit organization
statute.
"Practical application" means to manufacture, in the case of a composition of product; to
practice, in the case of a process or method; or to operate, in the case of a machine or system; and, in
each case, under such conditions as to establish that the invention is being utilized and that its benefits
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are, to the extent permitted by law or Government regulations, available to the public on reasonable
terms.
Subject invention means any invention of the Contractor made in the performance of work
under this contract.
(b) Contractor's rights. (1) Ownership. The Contractor may retain ownership of each subject
invention throughout the world in accordance with the provisions of this clause.
(2) License. (i) The Contractor shall retain a nonexclusive royalty-free license throughout the
world in each subject invention to which the Government obtains title, unless the Contractor fails to
disclose the invention within the times specified in paragraph (c) of this clause. The Contractor's license
extends to any domestic subsidiaries and affiliates within the corporate structure of which the Contractor
is a part, and includes the right to grant sublicenses to the extent the Contractor was legally obligated to
do so at contract award. The license is transferable only with the written approval of the agency, except
when transferred to the successor of that part of the Contractor's business to which the invention pertains.
(ii) The Contractor's license may be revoked or modified by the agency to the extent
necessary to achieve expeditious practical application of the subject invention in a particular country in
accordance with the procedures in FAR 27.302(i)(2) and 27.304-1(f).
(c) Contractor's obligations. (1) The Contractor shall disclose in writing each subject invention to
the Contracting Officer within 2 months after the inventor discloses it in writing to Contractor personnel
responsible for patent matters. The disclosure shall identify the inventor(s) and this contract under which
the subject invention was made. It shall be sufficiently complete in technical detail to convey a clear
understanding of the subject invention. The disclosure shall also identify any publication, on sale (i.e.,
sale or offer for sale), or public use of the subject invention, or whether a manuscript describing the
subject invention has been submitted for publication and, if so, whether it has been accepted for
publication. In addition, after disclosure to the agency, the Contractor shall promptly notify the
Contracting Officer of the acceptance of any manuscript describing the subject invention for publication
and any on sale or public use.
(2) The Contractor shall elect in writing whether or not to retain ownership of any subject
invention by notifying the Contracting Officer within 2 years of disclosure to the agency. However, in
any case where publication, on sale, or public use has initiated the 1-year statutory period during which
valid patent protection can be obtained in the United States, the period for election of title may be
shortened by the agency to a date that is no more than 60 days prior to the end of the statutory period.
(3) The Contractor shall file either a provisional or a nonprovisional patent application or a
Plant Variety Protection Application on an elected subject invention within 1 year after election.
However, in any case where a publication, on sale, or public use has initiated the 1-year statutory period
during which valid patent protection can be obtained in the United States, the Contractor shall file the
application prior to the end of that statutory period. If the Contractor files a provisional application, it
shall file a nonprovisional application within 10 months of the filing of the provisional application. The
Contractor shall file patent applications in additional countries or international patent offices within
either 10 months of the first filed patent application (whether provisional or nonprovisional) or 6 months
from the date permission is granted by the Commissioner of Patents to file foreign patent applications
where such filing has been prohibited by a Secrecy Order.
(4) The Contractor may request extensions of time for disclosure, election, or filing under
paragraphs (c)(1), (c)(2), and (c)(3) of this clause.
(d) Government's rights- (1) Ownership. The Contractor shall assign to the agency, on written
request, title to any subject invention-
(i) If the Contractor fails to disclose or elect ownership to the subject invention within the
times specified in paragraph (c) of this clause, or elects not to retain ownership; provided, that the agency
may request title only within 60 days after learning of the Contractor's failure to disclose or elect within
the specified times.
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(ii) In those countries in which the Contractor fails to file patent applications within the
times specified in paragraph (c) of this clause; provided, however, that if the Contractor has filed a patent
application in a country after the times specified in paragraph (c) of this clause, but prior to its receipt of
the written request of the agency, the Contractor shall continue to retain ownership in that country.
(iii) In any country in which the Contractor decides not to continue the prosecution of any
application for, to pay the maintenance fees on, or defend in reexamination or opposition proceeding on,
a patent on a subject invention.
(2) License. If the Contractor retains ownership of any subject invention, the Government shall
have a nonexclusive, nontransferable, irrevocable, paid-up license to practice, or have practiced for or on
its behalf, the subject invention throughout the world.
(e) Contractor action to protect the Government's interest. (1) The Contractor shall execute or have
executed and promptly deliver to the agency all instruments necessary to-
(i) Establish or confirm the rights the Government has throughout the world in those subject
inventions in which the Contractor elects to retain ownership; and
(ii) Assign title to the agency when requested under paragraph (d) of this clause and to
enable the Government to obtain patent protection and plant variety protection for that subject invention
in any country.
(2) The Contractor shall require, by written agreement, its employees, other than clerical and
nontechnical employees, to disclose promptly in writing to personnel identified as responsible for the
administration of patent matters and in the Contractor's format, each subject invention in order that the
Contractor can comply with the disclosure provisions of paragraph (c) of this clause, and to execute all
papers necessary to file patent applications on subject inventions and to establish the Government's rights
in the subject inventions. The disclosure format should require, as a minimum, the information required
by paragraph (c)(1) of this clause. The Contractor shall instruct such employees, through employee
agreements or other suitable educational programs, as to the importance of reporting inventions in
sufficient time to permit the filing of patent applications prior to U.S. or foreign statutory bars.
(3) The Contractor shall notify the Contracting Officer of any decisions not to file a
nonprovisional patent application, continue the prosecution of a patent application, pay maintenance
fees, or defend in a reexamination or opposition proceeding on a patent, in any country, not less than 30
days before the expiration of the response or filing period required by the relevant patent office.
(4) The Contractor shall include, within the specification of any United States nonprovisional
patent or plant variety protection application and any patent or plant variety protection certificate issuing
thereon covering a subject invention, the following statement, "This invention was made with
Government support under (identify the contract) awarded by (identify the agency). The Government has
certain rights in the invention."
(f) Reporting on utilization of subject inventions. The Contractor shall submit, on request, periodic
reports no more frequently than annually on the utilization of a subject invention or on efforts at
obtaining utilization of the subject invention that are being made by the Contractor or its licensees or
assignees. The reports shall include information regarding the status of development, date of first
commercial sale or use, gross royalties received by the Contractor, and other data and information as the
agency may reasonably specify. The Contractor also shall provide additional reports as may be requested
by the agency in connection with any march-in proceeding undertaken by the agency in accordance with
paragraph (h) of this clause. The Contractor also shall mark any utilization report as confidential
/proprietary to help prevent inadvertent release outside the Government. As required by 35 U.S.C. 202(c)
(5), the agency will not disclose that information to persons outside the Government without the
Contractor's permission.
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(g) Preference for United States industry. Notwithstanding any other provision of this clause,
neither the Contractor nor any assignee shall grant to any person the exclusive right to use or sell any
subject invention in the United States unless the person agrees that any products embodying the subject
invention or produced through the use of the subject invention will be manufactured substantially in the
United States. However, in individual cases, the requirement for an agreement may be waived by the
agency upon a showing by the Contractor or its assignee that reasonable but unsuccessful efforts have
been made to grant licenses on similar terms to potential licensees that would be likely to manufacture
substantially in the United States, or that under the circumstances domestic manufacture is not
commercially feasible.
(h) March-in rights. The Contractor acknowledges that, with respect to any subject invention in
which it has retained ownership, the agency has the right to require licensing pursuant to 35 U.S.C. 203
and 210(c), and in accordance with the procedures in 37 CFR 401.6 and any supplemental regulations of
the agency in effect on the date of contract award.
(i) Special provisions for contracts with nonprofit organizations. If the Contractor is a nonprofit
organization, it shall-
(1) Not assign rights to a subject invention in the United States without the written approval of
the agency, except where an assignment is made to an organization that has as one of its primary
functions the management of inventions, provided, that the assignee shall be subject to the same
provisions as the Contractor;
(2) Share royalties collected on a subject invention with the inventor, including Federal
employee co-inventors (but through their agency if the agency deems it appropriate) when the subject
invention is assigned in accordance with 35U.S.C.202(e) and 37 CFR 401.10;
(3) Use the balance of any royalties or income earned by the Contractor with respect to subject
inventions, after payment of expenses (including payments to inventors) incidental to the administration
of subject inventions for the support of scientific research or education; and
(4) Make efforts that are reasonable under the circumstances to attract licensees of subject
inventions that are small business concerns, and give a preference to a small business concern when
licensing a subject invention if the Contractor determines that the small business concern has a plan or
proposal for marketing the invention which, if executed, is equally as likely to bring the invention to
practical application as any plans or proposals from applicants that are not small business concerns;
provided, that the Contractor is also satisfied that the small business concern has the capability and
resources to carry out its plan or proposal. The decision whether to give a preference in any specific case
will be at the discretion of the Contractor.
(5) Allow the Secretary of Commerce to review the Contractor's licensing program and
decisions regarding small business applicants, and negotiate changes to its licensing policies, procedures,
or practices with the Secretary of Commerce when the Secretary's review discloses that the Contractor
could take reasonable steps to more effectively implement the requirements of paragraph (i)(4) of this
clause.
(j) Communications. ____[Complete according to agency instructions.]
(k) Subcontracts. (1) The Contractor shall include the substance of this clause, including this
paragraph (k), in all subcontracts for experimental, developmental, or research work to be performed by
a small business concern or nonprofit organization.
(2) The Contractor shall include in all other subcontracts for experimental, developmental, or
research work the substance of the patent rights clause required by FAR subpart 27.3.
(3) At all tiers, the patent rights clause must be modified to identify the parties as follows:
references to the Government are not changed, and the subcontractor has all rights and obligations of the
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Contractor in the clause. The Contractor shall not, as part of the consideration for awarding the
subcontract, obtain rights in the subcontractor's subject inventions.
(4) In subcontracts, at any tier, the agency, the subcontractor, and the Contractor agree that the
mutual obligations of the parties created by this clause constitute a contract between the subcontractor
and the agency with respect to the matters covered by the clause; provided, however, that nothing in this
paragraph is intended to confer any jurisdiction under the Contract Disputes statute in connection with
proceedings under paragraph (h) of this clause.
(End of clause)
52.252-2 Clauses Incorporated by Reference. 1998-02
As prescribed in 52.107(b), insert the following clause:
Clauses Incorporated By Reference (FEB 1998)
This contract incorporates one or more clauses by reference, with the same force and effect as if they
were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the
full text of a clause may be accessed electronically at this/these address(es):
____ ____ ____[Insert one or more Internet addresses]
(End of clause)
52.252-4 Alterations in Contract. 1984-04
As prescribed in 52.107(d), insert the following clause in solicitations and contracts in order to revise
or supplement, as necessary, other parts of the contract, or parts of the solicitation that apply after
contract award, except for any clause authorized for use with a deviation. Include clear identification of
what is being altered.
Alterations in Contract (APR 1984)
Portions of this contract are altered as follows:
____ ____ ____
(End of clause)
52.252-6 Authorized Deviations in Clauses. 2020-11
As prescribed in 52.107(f), insert the following clause in solicitations and contracts that include any
FAR or supplemental clause with an authorized deviation. Whenever any FAR or supplemental clause is
used with an authorized deviation, the contracting officer shall identify it by the same number, title, and
date assigned to the clause when it is used without deviation, include regulation name for any
supplemental clause, except that the contracting officer shall insert "(DEVIATION)" after the date of the
clause.
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Authorized Deviations in Clauses (Nov 2020)
(a) The use in this solicitation or contract of any Federal Acquisition Regulation (48 CFR Chapter
1) clause with an authorized deviation is indicated by the addition of "(DEVIATION)" after the date of
the clause.
(b) The use in this solicitation or contract of any ____[insert regulation name] (48 CFR ____)
clause with an authorized deviation is indicated by the addition of "(DEVIATION)" after the name of the
regulation.
(End of clause)
52.204-1 Approval of Contract. 1989-12
As prescribed in 4.103 , insert the following clause:
Approval of Contract (DEC 1989)
This contract is subject to the written approval of ____[identify title of designated agency official
here] and shall not be binding until so approved.
(End of clause)
52.219-14 DEV 2021-O0008 Limitations on Subcontracting (DEVIATION 2021-O0008) 2021-09
As prescribed in 19.507(e), insert the following clause:
LIMITATIONS ON SUBCONTRACTING (SEP 2021) (DEVIATION 2021-O0008)
(a) This clause does not apply to the unrestricted portion of a partial set-aside.
(b) Definition. “Similarly situated entity,” as used in this clause, means a first-tier subcontractor,
including an independent contractor, that--
(1) Has the same small business program status as that which qualified the prime contractor for the
award (e.g., for a small business set-aside contract, any small business concern, without regard to its
socioeconomic status); and
(2) Is considered small for the size standard under the North American Industry Classification
System (NAICS) code the prime contractor assigned to the subcontract.
(c) Applicability. This clause applies only to--
(1) Contracts that have been set aside for any of the small business concerns identified in 19.000(a)
(3);
(2) Part or parts of a multiple-award contract that have been set aside for any of the small business
concerns identified in 19.000(a)(3);
(3) Contracts that have been awarded on a sole-source basis in accordance with subparts 19.8,
19.13, 19.14, and 19.15;
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(4) Orders expected to exceed the simplified acquisition threshold and that are--
(i) Set aside for small business concerns under multiple-award contracts, as described in
8.405-5 and 16.505(b)(2)(i)(F); or
(ii) Issued directly to small business concerns under multiple-award contracts as described in
19.504(c)(1)(ii);
(5) Orders, regardless of dollar value, that are--
(i) Set aside in accordance with subparts 19.8, 19.13, 19.14, or 19.15 under multiple-award
contracts, as described in 8.405-5 and 16.505(b)(2)(i)(F); or
(ii) Issued directly to concerns that qualify for the programs described in subparts 19.8, 19.13,
19.14, or 19.15 under multiple-award contracts, as described in 19.504(c)(1)(ii); and
(6) Contracts using the HUBZone price evaluation preference to award to a HUBZone small
business concern unless the concern waived the evaluation preference.
(d) Independent contractors. An independent contractor shall be considered a subcontractor.
(e) Limitations on subcontracting. By submission of an offer and execution of a contract, the
Contractor agrees that in performance of a contract assigned a North American Industry Classification
System (NAICS) code for--
(1) Services (except construction), it will not pay more than 50 percent of the amount paid by the
Government for contract performance, excluding certain other direct costs and certain work performed
outside the United States (see paragraph (e)(1)(i)), to subcontractors that are not similarly situated
entities. Any work that a similarly situated entity further subcontracts will count towards the prime
contractor’s 50 percent subcontract amount that cannot be exceeded. When a contract includes both
services and supplies, the 50 percent limitation shall apply only to the service portion of the contract. The
following services may be excluded from the 50 percent limitation:
(i) Other direct costs, to the extent they are not the principal purpose of the acquisition and small
business concerns do not provide the service. Examples include airline travel, work performed by a
transportation or disposal entity under a contract assigned the environmental remediation NAICS code
562910), cloud computing services, or mass media purchases.
(ii) Work performed outside the United States on awards made pursuant to the Foreign
Assistance Act of 1961, or work performed outside the United States required to be performed by a local
contractor.
(2) Supplies (other than procurement from a nonmanufacturer of such supplies), it will not pay
more than 50 percent of the amount paid by the Government for contract performance, excluding the cost
of materials, to subcontractors that are not similarly situated entities. Any work that a similarly situated
entity further subcontracts will count towards the prime contractor’s 50 percent subcontract amount that
cannot be exceeded. When a contract includes both supplies and services, the 50 percent limitation shall
apply only to the supply portion of the contract;
(3) General construction, it will not pay more than 85 percent of the amount paid by the
Government for contract performance, excluding the cost of materials, to subcontractors that are not
similarly situated entities. Any work that a similarly situated entity further subcontracts will count
towards the prime contractor’s 85 percent subcontract amount that cannot be exceeded; or
(4) Construction by special trade contractors, it will not pay more than 75 percent of the amount
paid by the Government for contract performance, excluding the cost of materials, to subcontractors that
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are not similarly situated entities. Any work that a similarly situated entity further subcontracts will
count towards the prime contractor’s 75 percent subcontract amount that cannot be exceeded.
(f) The Contractor shall comply with the limitations on subcontracting as follows:
(1) For contracts, in accordance with paragraphs (c)(1), (2), (3) and (6) of this clause --
[Contracting Officer check as appropriate.]
By the end of the base term of the contract and then by the end of each subsequent option period; or
By the end of the performance period for each order issued under the contract.
(2) For orders, in accordance with paragraphs (c)(4) and (5) of this clause, by the end of the
performance period for the order.
(g) A joint venture agrees that, in the performance of the contract, the applicable percentage specified
in paragraph (e) of this clause will be performed by the aggregate of the joint venture participants.
(End of clause)
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