Research and Development (RAD) Directed Energy (RD) University Assistance Instruments

Attachment 1-Budget Proposal Instructions Assistance Instruments

AFRL/RDK Budget Proposal Instructions Assistance Instruments
BUDGET PROPOSAL
INSTRUCTIONS
Assistance Instruments
AFRL/RDK
3550 ABERDEEN AVE SE
KIRTLAND AFB, NM 87117
1 of 6
RDK-RAD-FOA-2024
Attachment 1

---

AFRL/RDK Budget Proposal Instructions Assistance Instruments
1. GENERAL INSTRUCTIONS:
A. Provide complete responses to the attached Contractor Information document for the Recipient and each Subrecipient. If
preferred by the offeror, the responses to the information requested may be provided on a similar form or listed on the first
page of the budget proposal. (Attachment 1)
B. Indicate whether Government approval of respective accounting, estimating, and purchasing systems have been obtained. If so,
provide evidence of such approval.
C. Round all dollar amounts to the nearest dollar. Round all labor rates to the nearest penny.
D. Furnish Tables 1 thru 4 (sample tables are at paragraph 3 below), or in the contractor’s format containing the information
outlined in these instructions, for the entire performance period (supported by rationale required by paragraph 2) in Microsoft
Excel compatible format, to include all cell formulas. Include a separate Cost Element Summary by Offeror Fiscal Year
(OFY), for each contract line item (CLIN), for the basic and each option or task order as proposed. (For purposes of these
instructions, CLIN refers to contract line items that are required to be priced separately.)
E. Provide all budget summaries by OFY.
2. PROPOSED COST ELEMENTS:
The detail required for each major cost element is described below. Address all cost elements applicable to the proposed effort and
provide a narrative to support the basis of estimate. Explain the basis of estimate for each cost element to include the basis for
proposed rates. As applicable, provide the following information for each cost element. If a portion of the required information is not
applicable for a particular cost element, so state.
A. DIRECT COSTS:
(1) DIRECT LABOR:
(a) As part of Table 1, list the proposed base, rates, and calculated amounts for each direct labor category by OFY, by
CLIN. If separately priced CLINs apply, also include a roll-up to Total Program Summary.
(b) As part of the basis of estimate narrative, provide rationale for proposed hours and labor mix. Identify staffing
requirements by each position title and brief description of duties. Explain how the proposed labor hour skill mix
has been derived.
(c) Provide the base labor rates for each category. If composite or blended rates are used, provide the calculations used
in deriving the composite rates. Identify the source of the proposed rates. If applicable, identify the proposed
escalation factors applied to future estimates and rationale for the proposed factors. Submit source data for proposed
direct labor rates. If evidence of a negotiation agreement, or recently audited direct labor are not available for
submission, submit the following source data listed in order of preference, current payroll data, or signed employee
agreements, or salary survey, etc. to support proposed direct labor.
(d) If salaries vice hourly rates are proposed, please list the annual salary of each position, percentage of time and
number of months devoted to the project. (e.g., Program Director: $30,000/year x 25% x 8.5 months; calculation:
$30,000/12 = $2,500 x 25% x 8.5 months = $5,312.). The same level of detail required in paragraph 2A(1)(c) above
still applies.
(2) SUBCONTRACTS/INTER-ORGANIZATIONAL TRANSFERS (IOTs):
NOTE: Highly recommend the recipient provide these budget proposal instructions to all subrecipients. Fully disclosed
Subrecipient/IOT proposals are required for ALL subrecipients (including Tables 1 thru 4), and are due by the closing
date identified in this solicitation.
It is especially important that adequate data on subrecipients be provided. Rates are particularly important. Note
that the absence of adequate data on subrecipients is a frequent source of a recipient’s inadequate proposal and
avoidable delay in contract award.
(a) As part of Table 1, list each subrecipient/IOT cost separately by OFY by CLIN.
(b) Provide a list of anticipated subrecipients/IOTs using Table 2.
(c) Explain the services to be provided by the subrecipient.
(d) OMB Circulars A-110 and 2 CFR, Part 215 as implemented by CFR establish procurement standards for covered
recipients. The standards include requirements to compete procurements whenever practical, conduct a cost analysis,
and award to the most advantageous offer, cost, quality and other factors considered. Provide evidence of
compliance with the referenced Circulars.
(3) CONSULTANTS:
(a) Consultants hired to assist with the program, which do not receive benefits, should be included under other direct
costs. If the recipient proposes the use of consultants, provide the following FOR EACH NAMED CONSULTANT:
(1) The specific project or area in which such services are to be used.
2 of 6
RDK-RAD-FOA-2024
Attachment 1

---

AFRL/RDK Budget Proposal Instructions Assistance Instruments
(2) Identification of all cost elements included in the consultant's costs. (i.e.: number of hours, the consultant's rate
per hour, plus a detailed explanation of any costs that would be charged over and above labor costs
(3) A signed consulting agreement between the recipient and the consultant
(b) In those cases where a consultant IS NOT NAMED but the recipient realizes a need will exist, support the proposed
daily rate by supplying a basis of estimate.
(4) MATERIALS/ EQUIPMENT/ SUPPLIES:
(a) As part of Table 1, list material/equipment costs by OFY by CLIN. Using Table 4, provide a consolidated priced
summary of individual quantities and the basis for pricing by OFY, by CLIN. As part of the basis of estimate
narrative, provide information regarding the rationale/methodology used to derive the proposed estimate.
(b) Include raw materials, parts, components, assemblies, etc., to be produced or performed by others. Equipment is
defined as having a per unit cost of $5,000 and a service life of more than one year. If the item meets these criteria
then all federal procurement policies and procedures must be followed. If an item does not meet these criteria it is
considered a supply. List items separately using unit costs (and the percentage of each unit cost being charged to the
Government) for photocopying, postage, telephone/fax, printing, and office supplies (for example, Telephone:
$50/month x 50% = $25/month x 12 months).
(c) For those assistance awards where the procurement standards of the CFR apply, state whether the cognizant field
administration office (CFAO) has reviewed the intended recipient's procurement system. If the CFAO has found the
recipient to be in compliance with the CFR requirements, provide evidence of such finding, otherwise if the
procurement meets any of the conditions at CFR 32.44(e) and 34.31(b), provide copies of supporting documentation
(Purchase Orders, Vendor Quotes, Invoice Prices, Catalog Prices, or Historical Information) to substantiate a
MINIMUM of 70% of the proposed material/equipment/supply costs.
Specifically, provide supporting documentation for the highest unit prices.
(5) OTHER DIRECT COSTS (ODCs):
As part of Table 1, list ODC costs by OFY by CLIN. The inclusion of each should be justified in the budget narrative.
A-133 audit costs can be included if they are not part of the indirect pool and only the portion of the cost associated with
this program can be included.
(a) ODCs - Travel
i. Identify the following information for each trip: location of origin and destination; number of travelers;
duration; airfare cost; rental car cost; per diem (meals and lodging) cost; any other costs.
ii. As part of Table 1, list travel costs by OFY by CLIN. Using Table 3, separately identify costs for travel.
Note that Table 3 is a summary format and may be expanded to include more detailed travel rate information
and calculations.
(b) ODCs - Other
i. Using Table 4, identify and provide a detailed description of any other direct costs that do not fit into the ODC
categories above, including the basis for determining those costs (e.g., vendor quotes, catalog pricing data,
company estimating procedures, etc.).
ii. Provide an explanation/rationale for all other proposed ODCs.
(c) For those assistance awards where the procurement standards of the CFR apply, state whether the cognizant field
administration office (CFAO) has reviewed the intended recipient's procurement system. If the CFAO has found the
recipient to be in compliance with the CFR requirements, provide evidence of such finding, otherwise if the
procurement meets any of the conditions at CFR 32.44(e) and 34.31(b), provide copies of supporting documentation
for proposed ODCs.
B. INDIRECT COSTS
(1) As part of Table 1, list the proposed base, rate/factor and calculated amount for each indirect cost by OFY, by CLIN.
(2) As part of the basis of estimate narrative, identify all indirect cost rates/factors and the applicable allocation bases.
(3) Identify the basis of proposed rates (e.g., rate agreement, actual rates and effective date, etc.). Submit source data for all
proposed indirect rates. If evidence of negotiated or approved rates, or recently audited indirect rates are not available
for submission, submit the following source data in order of preference, budgetary data to include details of the indirect
rate cost pools, or supporting historical trend data.
(4) If recipient is subject to full CAS coverage and is proposing FCCOM, submit a properly executed DD Form 1861.
Provide the basis for proposed percentage of land buildings and equipment.
(6) Note: Normally, neither G&A nor COM can be applied to costs that are included in the recipient’s Independent
Research and Development account.
3 of 6
RDK-RAD-FOA-2024
Attachment 1

---

AFRL/RDK Budget Proposal Instructions Assistance Instruments
C. NEW MEXICO GROSS RECEIPTS TAX (NMGRT)
(1) NMGRT may be applicable to the proposed effort. Effective 1 January 2016, the New Mexico Taxation and Revenue
Department (TRD) has implemented a Gross Receipts Tax deduction for R&D efforts. This new deduction for
contractors will only apply to research and development. The time frame for this deduction is 2016-2021. Interested
Contractors are required to verify with the New Mexico Taxation and Revenue Department before submitting a budget
proposal to determine if the NMGRT is applicable to the proposed effort.
(2) For assistance in determining the extent to which NMGRT may apply and applicable rates, contact the New Mexico
Taxation and Revenue Department, 5301 Central Ave., NE, PO Box 8485, Albuquerque, NM 87198, (505) 841-6200,
http://www.tax.newmexico.gov/gross-receipts-taxes.aspx. Identify the cost elements and amounts included in the
NMGRT base, if applicable. Demonstrate the method of calculating total tax dollars included in the proposal.
(3) As part of Table 1, list the proposed base, rate/factor and calculated amount for each NMGRT line item cost by OFY, by
CLIN.
(4) Identify the location(s) where the work will be performed, whether nexus applies, and where the final deliverables will
be initially used.
3. SAMPLE COST PROPOSAL TABLES (Revise to comply with established accounting practices.):
A. Table 1 (Sample): Cost Element Summary. If applicable, list each Subrecipient and IOT separately.
B. TABLE 2 (Sample): SUBRECIPIENTS/IOTs & CONSULTANTS
SAMPLE Table 2 - PRICE SUMMARY for SUBRECIPIENTS / IOTs & CONSULTANTS
QUOTED
R
EV
EC
A
I
L
P
U
IE
A
N
T
T
E
'
D
s
% of
NAME TASKS TYPE PRICE COST DIFFERENCE WORK
TOTALS $ - $ - 0.00%
C. TABLE 3 (Sample): TRAVEL
4 of 6
RDK-RAD-FOA-2024
Attachment 1

---

AFRL/RDK Budget Proposal Instructions Assistance Instruments
SAMPLE Table 3 - Travel
No. No. No. Per Rental
OFY From To Purpose Trips Tvlrs Days Diem Lodging Car Airfare Total
YYY1
YYY1
YYY1 Subtotal: $ -
YYY2
YYY2
YYY2 Subtotal: $ -
TOTAL TRAVEL: $ -
D. Table 4 (Sample):MATERIALS/EQUIPMENT/SUPPLIES & ODCs (other than Travel & Consultants)
SAMPLE Table 4 -M ATERIALS/EQUIPMENT/SUPPLIES & OTHER ODCs
MATERIALS
Item OFY Description Qty Unit Price Total Price Vendor/Source Basis of Estimate Totals
1 YYY1
3 YYY1
4 YYY1
5 YYY1
6 YYY1
7 YYY1
OFY YYY1 Subtotal: $ -
8 YYY2
9 YYY2
10 YYY2
11 YYY2
12 YYY2
OFY YYY2 Subtotal: $ -
Total MATERIALS Proposed: $ -
ODCs
Item OFY Description Qty Unit Price Total Price Vendor/Source Basis of Estimate Totals
1 YYY1
3 YYY1
4 YYY1
5 YYY1
6 YYY1
7 YYY1
OFY YYY1 Subtotal: $ -
8 YYY2
9 YYY2
10 YYY2
11 YYY2
12 YYY2
OFY YYY2 Subtotal: $ -
Total ODCs Proposed: $ -
5 of 6
RDK-RAD-FOA-2024
Attachment 1

---

Det 8 AFRL/RVK Budget Proposal Instructions

---

Attachment 2-DoD-research-and-development-rd-general-terms-and-conditions-september-2023

DoD R&D General Terms and Conditions
September 2023
Preamble
Introduction
This award is subject to the following Department of Defense (DoD) Research and Development
(R&D) General Terms and Conditions. These general terms and conditions implement Office of
Management and Budget (OMB) guidance, “Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards,” published in the Code of Federal Regulations (CFR) at
2 CFR part 200 and implemented by the DoD at 2 CFR part 1104, “Interim Grants and Cooperative
Agreements Implementation of Guidance in 2 CFR part 200” (79 FR 76047, December 19, 2014, as
amended at 85 FR 49506, August 13, 2020).
Applicability
These general terms and conditions apply to DoD grants and cooperative agreements for R&D with
institutions of higher education, nonprofit organizations, States, local governments, Indian tribes, and
for-profit entities. They also apply when incorporated into DoD grants or cooperative agreements for
R&D with foreign organizations or foreign public entities (as defined in 2 CFR part 1108). These
general terms and conditions do not apply to DoD Grants and cooperative agreements for R&D made
directly to individuals. Certain provisions within these general terms and conditions may indicate that
they apply to certain types of recipients only. An example of this is FMS Article V for non-Federal
audits.
Order of Precedence
Any inconsistencies in the requirements of this award will be resolved in the following order:
(1) Federal statutes
(2) Federal regulations* not otherwise referenced herein
(3) Award-specific terms and conditions
(4) General Terms and Conditions, which include this document, the DoD Component’s
Addendum to this document, and the DoD Component’s Programmatic Requirements.
Award Acceptance
The DoD Component will select which of the following methods of acceptance it requires:
(1) If you receive an award from a DoD Component that is signed by a grants officer without
your entity having also signed the award, that means the award does not require your
signature to indicate acceptance of the award. Rather, your acceptance of the award in such
instances, including the terms and conditions, occurs when you initiate performance under
this award. Therefore, if you disagree with any requirements of this award, you must
1

---

contact the grants officer prior to initiating performance in order to resolve the issue.
(2) If you receive an unsigned award from a DoD Component, that means that you are required
to sign the award to indicate acceptance of the award, including the terms and conditions, prior
to initiating performance. The grants officer will sign the award upon receipt of your
signature.
English Language
You must translate any of the award content (including attachments to it and any material incorporated
into the award by reference) into another language only to the extent that your compliance with the
award’s terms and conditions depends upon a significant number of your employees who are not fluent
in English being able to read and comprehend that content. If you translate any award content into
another language, the original award content in the English language will take precedence in the event
of an inconsistency between the award requirements in the English and translated versions.
Plain Language
These general terms and conditions use plain language, with use of personal pronouns such as “you” to
denote the recipient and “we” to mean the Federal Government (Government). Use of personal
pronouns is a recognized means to help a reader understand to whom the language is addressed and
assist in determining responsibilities.
Reserved Provisions
If the words “RESERVED – Not Applicable” are used at the section or paragraph level of an article
without additional explanation, it means that this particular section or paragraph does not apply in
any manner to this award. If the word “RESERVED” is used with additional explanation (in bold red
colored font), it will describe whether the particular provisions either will or may be included in a
DoD Component addendum to these terms and conditions.
Definitions
The definitions of terms used in the DoD R&D General Terms and Conditions are in accordance with
2 CFR part 1108 of the DoDGARs or, for terms not defined in the DoDGARs, 2 CFR 200.1. Part 7
of the general terms and conditions may use a term in relation to compliance with a national policy
requirement in a statute, Executive order, or other source that defines the term differently than it is
defined in 2 CFR part 1108. For purposes of that particular national policy requirement, the
definition of a term provided by the source of the requirement and any regulation specifically
implementing it takes precedence over the definition in 2 CFR part 1108.
Feedback on the Terms and Conditions
As you gain operating experience with these general terms and conditions, you may find areas requiring
clarification or correction. Alerting us to potential issues will help us improve both these general terms
and conditions and DoD’s regulatory implementation of the OMB guidance at 2 CFR part 200.
2

---

Table of Contents
Preamble ...................................................................................................................................... 1
Introduction ......................................................................................................................................... 1
Applicability ....................................................................................................................................... 1
Order of Precedence ............................................................................................................................ 1
Award Acceptance .............................................................................................................................. 1
English Language ............................................................................................................................... 2
Plain Language ................................................................................................................................... 2
Reserved Provisions ............................................................................................................................ 2
Definitions .......................................................................................................................................... 2
Feedback on the Terms and Conditions .............................................................................................. 2
Table of Contents ........................................................................................................................ 3
Part 1: Financial and Program Management ......................................................................... 10
FMS Article I. Financial management system standards. (JANUARY 2021) .......................................... 10
Section A. System standard for States. ............................................................................................. 10
Section B. System standards for all recipients. ................................................................................. 10
Section C. Internal controls. ............................................................................................................. 11
FMS Article II. Payments. (SEPTEMBER 2023)..................................................................................... 11
Section A. Awards to States. ............................................................................................................ 11
Section B. Awards to institutions of higher education, nonprofit organizations, local governments,
Indian tribes, and for-profit entities. ................................................................................................. 12
Section C. Electronic funds transfer and other payment procedural instructions or information. ..... 14
FMS Article III. Allowable costs, period of availability of funds, and fee or profit. (SEPTEMBER 2017)
.................................................................................................................................................................. 14
Section A. Allowable costs. .............................................................................................................. 14
Section B. Clarifications concerning charges for professional journal publications. ........................ 15
Section C. Period of availability of funds. ........................................................................................ 15
Section D. Fee or profit. .................................................................................................................... 16
FMS Article IV. Revision of budget and program plans. (SEPTEMBER 2023) ...................................... 16
Section A. Approved budget. ............................................................................................................ 16
Section B. Revisions requiring prior approval from the Grants Officer. .......................................... 16
Section C. Pre-award costs, carry forward of unobligated balances, and one-time no-cost
extensions. ........................................................................................................................................ 17
Section D. Procedures. ...................................................................................................................... 18
FMS Article V. Non-Federal audits. (SEPTEMBER 2023) ..................................................................... 18
Section A. Requirements for entities subject to the Single Audit Act. ............................................. 18
Section B. Requirements for for-profit entities. ................................................................................ 18
FMS Article VI. Cost sharing or matching. (SEPTEMBER 2023) .......................................................... 18
3

---

Section A. Required cost sharing or matching. ................................................................................. 18
Section B. Allowability as cost sharing or matching. ....................................................................... 19
Section C. Allowability of unrecovered indirect costs as cost sharing or matching. ........................ 19
Section D. Allowability of program income as cost sharing or matching. ....................................... 20
Section E. Valuation of services or property that you or subrecipients contribute or donate. .......... 20
Section F. Valuation of third-party in-kind contributions. ................................................................ 21
FMS Article VII. Program income. (SEPTEMBER 2017) ....................................................................... 22
Section A. Definition. ....................................................................................................................... 22
Section B. Encouragement to earn program income. ....................................................................... 23
Section C. Costs of generating program income. ............................................................................. 23
Section D. License fees and royalties. .............................................................................................. 23
Section E. Use of program income. ................................................................................................... 23
Section F. Duration of accountability for program income. .............................................................. 24
Part 2: Property Administration ............................................................................................. 25
PROP Article I. Title to property. (SEPTEMBER 2017) ......................................................................... 25
Section A. Title to property acquired under this award. ................................................................... 25
Section B. Property trust relationship. ............................................................................................... 26
Section C. Federally owned property. .............................................................................................. 26
Section D. Federal interest in donated real property or equipment. .................................................. 26
Section E. Federal interest in property improved under the award. ................................................... 26
PROP Article II. Property management system. (SEPTEMBER 2023) ................................................... 27
Section A. Insurance coverage for real property and equipment. ..................................................... 27
Section B. Other management system standards for a State. ............................................................. 27
Section C. Other management system standards for an institution of higher education, nonprofit
organization, local government, Indian tribe, or for-profit entity. .................................................... 28
PROP Article III. Use and disposition of real property. (SEPTEMBER 2017) ........................................ 29
Section A. Use of real property. ....................................................................................................... 29
Section B. Disposition of real property. ........................................................................................... 29
PROP Article IV. Use and disposition of equipment and supplies. (SEPTEMBER 2023) ....................... 29
Section A. Property subject to this article. ........................................................................................ 29
Section B. Requirements for a State’s use and disposition of equipment. ........................................ 30
Section C. Use of equipment by an institution of higher education, nonprofit organization, local
government, Indian tribe, or for-profit entity. ................................................................................... 30
Section D. Disposition of equipment by an institution of higher education, nonprofit organization,
local government, Indian tribe, or for-profit entity. .......................................................................... 31
Section E. Use and disposition of supplies acquired under this award. ............................................. 32
PROP Article V. Use and disposition of federally owned property. (SEPTEMBER 2017) ..................... 32
Section A. Use. ................................................................................................................................. 32
Section B. Disposition. ..................................................................................................................... 32
PROP Article VI. Intangible property. (SEPTEMBER 2023) .................................................................. 33
Section A. Assertion of copyright. .................................................................................................... 33
4

---

Section B. Inventions developed under the award. ........................................................................... 33
Section C. Data produced under the award. ...................................................................................... 34
Section D. Use and disposition of intangible property acquired, but not developed or produced, under
the award. .......................................................................................................................................... 34
Part 3: Procurement ................................................................................................................. 36
PROC Article I. Procurement standards for States. (JANUARY 2021) ................................................... 36
Section A. Use of State procurement system. ................................................................................... 36
Section B. Procurement of recovered materials. ............................................................................... 36
Section C. Debarment and suspension. ............................................................................................. 36
Section D. Contract provisions. ........................................................................................................ 36
PROC Article II. Procurement standards for institutions of higher education, nonprofit organizations,
local governments, Indian tribes, and for-profit entities. (SEPTEMBER 2023) ...................................... 36
Section A. General procurement standards. ...................................................................................... 36
Section B. Competition. .................................................................................................................... 36
Section C. Procurement methods. ..................................................................................................... 36
Section D. Contracting with small and minority businesses, women’s business enterprises, and
labor surplus area firms..................................................................................................................... 36
Section E. Contract cost and price. ................................................................................................... 37
Section F. Contract provisions. ......................................................................................................... 37
Section G. Procurement of recovered materials. .............................................................................. 37
Section H. Review of procurement documents. ................................................................................ 37
Section I. Domestic preferences for procurements. .......................................................................... 37
Section J. Bonding requirements. ..................................................................................................... 37
PROC Article III. Contract provisions for recipient procurements. (SEPTEMBER 2023) ...................... 37
Section A. Contract provisions for administrative requirements. ..................................................... 37
Section B. Contract provisions for national policy requirements. ..................................................... 39
Part 4: Financial, Programmatic, and Property Reporting ................................................. 42
REP Article I. Performance management, monitoring, and reporting. (SEPTEMBER 2023) .................. 42
Section A. Required reporting form, format, or data elements for interim and final performance
reports. .............................................................................................................................................. 42
Section B. Frequency, reporting periods, and due dates for interim performance reports. .............. 42
Section C. Due date and reporting period for final performance report. ........................................... 42
Section D. Extensions of due dates. .................................................................................................. 42
Section E. Reporting significant developments. ............................................................................... 42
Section F. Performance reporting procedures. .................................................................................. 42
Section G. Site visits. ........................................................................................................................ 42
REP Article II. Financial reporting. (SEPTEMBER 2017) ....................................................................... 43
Section A. Required reporting form, format, or data elements for interim and final financial reports.
.......................................................................................................................................................... 43
Section B. Interim financial reports: frequency, reporting periods, and due dates. .......................... 43
Section C. Final financial report. ...................................................................................................... 43
5

---

Section D. Extensions of due dates. .................................................................................................. 43
Section E. Where and how to submit financial reports. .................................................................... 43
REP Article III. Reporting on property. (SEPTEMBER 2017) ................................................................ 43
Section A. Real property. .................................................................................................................. 43
Section B. Equipment and supplies. ................................................................................................. 44
Section C. Federally owned property. .............................................................................................. 44
Section D. Intangible property. ......................................................................................................... 45
REP Article IV. Reporting on subawards and executive compensation. (JANUARY 2021) ................... 45
Part 5: Other Administrative Requirements ......................................................................... 46
OAR Article I. Submitting and maintaining recipient information. (JANUARY 2021) .......................... 46
Section A. System for Award Management. .................................................................................... 46
Section B. Reporting of Performance and Integrity Information. ...................................................... 46
Section C. Disclosure of evidence of integrity-related issues. ........................................................... 48
OAR Article II. Records retention and access. (JANUARY 2021) .......................................................... 49
Section A. Records retention period. ................................................................................................ 49
Section B. Extensions of retention period due to litigation, claim, or audit. ..................................... 50
Section C. Records for program income earned after the end of the performance period. ............... 50
Section D. Records for joint or long-term use. .................................................................................. 50
Section E. Methods for collecting, transmitting, and storing information. ........................................ 51
Section F. Access to records. ............................................................................................................. 51
OAR Article III. Remedies and termination. (SEPTEMBER 2023) ......................................................... 52
Section A. Noncompliance with award terms and conditions. ......................................................... 52
Section B. Remedies for noncompliance. .......................................................................................... 52
Section C. Termination. .................................................................................................................... 53
Section D. Effects of suspension or termination of the award on allowability of costs. .................. 54
OAR Article IV. Claims, disputes, and appeals. (SEPTEMBER 2023) ................................................... 55
Section A. Definitions....................................................................................................................... 55
Section B. Submission of claims. ...................................................................................................... 55
Section C. Alternative dispute resolution. ......................................................................................... 55
Section D. Grants officer decisions for claims you submit. .............................................................. 55
Section E. Formal administrative appeals. ........................................................................................ 56
Section F. Representation. ................................................................................................................ 56
Section G. Non-exclusivity of remedies. .......................................................................................... 56
Section H. Effect of Grant Appeal Authority’s decision. ................................................................. 56
OAR Article V. Collection of amounts due. (SEPTEMBER 2017) ......................................................... 56
Section A. Establishing a debt. ......................................................................................................... 56
Section B. Debt delinquency and appeals. ........................................................................................ 57
Section C. Demand letter, interest, and debt collection. .................................................................... 57
OAR Article VI. Closeout. (JANUARY 2021) ........................................................................................ 58
Section A. Liquidation of financial obligations. ............................................................................... 58
Section B. Refunds of unobligated balances. .................................................................................... 58
6

---

Section C. Final reports. ................................................................................................................... 58
Section D. Accounting for property. ................................................................................................. 58
Section E. Delinquent Final Reports and Timeframe for Closeout. .................................................. 58
OAR Article VII. Post-closeout adjustments and continuing responsibilities. (SEPTEMBER 2023) ..... 59
Section A. Adjustments. ................................................................................................................... 59
Section B. Continuing responsibilities. ............................................................................................. 59
Part 6: Subawards .................................................................................................................... 60
SUB Article I. Distinguishing subawards and procurements. (SEPTEMBER 2017) ............................... 60
Section A. Required recipient determination. ................................................................................... 60
Section B. Considerations in making the determination. ................................................................... 60
Section C. Effect of the determination on the next-tier transaction. .................................................. 60
SUB Article II. Pre-award and time of award responsibilities. (SEPTEMBER 2023) ............................. 61
Section A. Requirements for unique entity identifiers. ..................................................................... 61
Section B. Pre-award risk assessment. .............................................................................................. 61
Section C. Subaward content............................................................................................................. 62
Section D. Subaward and executive compensation reporting. .......................................................... 63
SUB Article III. Informational content of subawards. (SEPTEMBER 2023) .......................................... 63
Section A. Informational content in general. .................................................................................... 63
Section B. Federal award identification number and award date. .................................................... 63
Section C. Amount of Federal funds obligated. ................................................................................ 63
Section D. Total amount obligated to the subrecipient. .................................................................... 64
Section E. Total Amount of the Federal Award. .............................................................................. 64
Section F. Federal awarding agency, pass-through entity, and awarding official. ........................... 64
Section G. Indirect cost rate. ............................................................................................................. 64
SUB Article IV. Financial and program management requirements for subawards. (SEPTEMBER 2023)
.................................................................................................................................................................. 64
Section A. Purposes of this article in relation to other articles. ......................................................... 64
Section B. Financial management system standards. ....................................................................... 65
Section C. Payments. ......................................................................................................................... 65
Section D. Allowable costs, period of availability of funds, and fee and profit. ............................... 66
Section E. Revision of budget and program plans. ........................................................................... 66
Section F. Non-Federal audits. ......................................................................................................... 67
Section G. Cost sharing or matching requirements. ......................................................................... 67
Section H. Program income. ............................................................................................................. 67
SUB Article V. Property requirements for subawards. (SEPTEMBER 2023) ......................................... 68
Section A. Purposes of this article in relation to other articles. ........................................................ 68
Section B. Title to property. .............................................................................................................. 68
Section C. Property management system. ........................................................................................ 69
Section D. Use and disposition of real property. .............................................................................. 69
Section E. Use and disposition of equipment and supplies. ............................................................. 69
Section F. Use and disposition of federally owned property. ........................................................... 70
Section G. Intangible property. ......................................................................................................... 70
7

---

SUB Article VI. Procurement procedures to include in subawards. (SEPTEMBER 2023) ..................... 71
Section A. Purposes of this article in relation to other articles. ........................................................ 71
Section B. Subaward to a State. ........................................................................................................ 71
Section C. Subaward to an institution of higher education, nonprofit organization, local
government, Indian tribe, or for-profit entity. ................................................................................... 71
SUB Article VII. Financial, programmatic, and property reporting requirements for subawards.
(SEPTEMBER 2017) ............................................................................................................................... 72
Section A. Purposes of this article in relation to other articles. ......................................................... 72
Section B. Performance reporting. .................................................................................................... 72
Section C. Financial reporting. .......................................................................................................... 72
Section D. Reporting on property. ..................................................................................................... 72
SUB Article VIII. Other administrative requirements for subawards. (SEPTEMBER 2023) .................. 73
Section A. Purposes of this article in relation to other articles. ........................................................ 73
Section B. Submission and maintenance of subrecipient information. ............................................. 73
Section C. Records retention and access........................................................................................... 73
Section D. Remedies and termination. .............................................................................................. 74
Section E. Disputes, hearings, and appeals. ...................................................................................... 74
Section F. Collection of amounts due. .............................................................................................. 75
Section G. Closeout. ......................................................................................................................... 75
Section H. Post-closeout adjustments and continuing responsibilities. ............................................. 75
SUB Article IX. National policy requirements for subawards. (September 2021) ................................... 75
Section A. General. ........................................................................................................................... 75
Section B. Nondiscrimination national policy requirements. ........................................................... 76
Section C. Environmental national policy requirements. ................................................................. 76
Section D. National policy requirements concerning live organisms. .............................................. 76
Section E. Other national policy requirements. ................................................................................ 76
SUB Article X. Subrecipient monitoring and other post-award administration. (JANUARY 2021) ....... 77
Section A. General requirement for subrecipient monitoring. .......................................................... 77
Section B. Subrecipient monitoring actions. ..................................................................................... 77
Section C. Remedies and subaward suspension or termination. ....................................................... 78
Section D. Subaward closeout. .......................................................................................................... 78
SUB Article XI. Requirements concerning subrecipients’ lower tier subawards. (SEPTEMBER 2017) . 78
Section A. Purpose. ........................................................................................................................... 78
Section B. Requirements for lower tier subawards. .......................................................................... 79
SUB Article XII. Fixed amount subawards. (SEPTEMBER 2023) .......................................................... 79
Section A. Limitations on use. .......................................................................................................... 79
Section B. Fixed-amount subawards that do not require prior approval to institutions of higher
education, nonprofit organizations, for-profit organizations, States, local governments, or Indian
tribes. ................................................................................................................................................ 80
Section C. Informational content of fixed amount subawards. ......................................................... 82
Section D. Terms and conditions addressing administrative requirements. ...................................... 82
Section E. National policy requirements for fixed amount subawards. ............................................ 84
Section F. Subrecipient monitoring and other post-award administration. ....................................... 84
8

---

Section G. Fixed-amount subawards at lower tiers. .......................................................................... 85
Part 7: National Policy Requirements ..................................................................................... 86
NP Article I. Nondiscrimination national policy requirements. (SEPTEMBER 2017) ............................ 86
Section A. Cross-cutting nondiscrimination requirements. .............................................................. 86
Section B. Other nondiscrimination requirements. ........................................................................... 86
NP Article II. Environmental national policy requirements. (JANUARY 2021) ..................................... 86
Section A. Cross-cutting environmental requirements. .................................................................... 86
Section B. Other environmental requirements. ................................................................................. 88
NP Article III. National policy requirements concerning live organisms. (JANUARY 2021) ................. 88
Section A. Cross-cutting requirements concerning live organisms. ................................................. 88
Section B. Other requirements concerning live organisms. .............................................................. 90
NP Article IV. Other national policy requirements. (September 2023) ................................................... 90
Section A. Cross-cutting requirements. ............................................................................................ 90
Section B. Additional requirements. .................................................................................................. 97
9

---

Part 1: Financial and Program Management
(articles from this part are designated with “FMS” in the article title)
FMS Article I. Financial management system standards. (JANUARY 2021)
Section A. System standard for States. As a State, you must expend and account for funds under this
award in accordance with:
1. Applicable State laws; and
2. To the extent they comply with the requirements of Section B of this Article, your procedures for
expending and accounting for your own State funds.
Section B. System standards for all recipients. Your financial management system must provide for:
1. Inclusion, in your accounts, of the following information about each DoD grant or cooperative
agreement that you receive:
a. That you received the award from the Department of Defense;
b. The number and title listed in the Assistance Listing (formerly the Catalog of Federal Domestic
Assistance) for the DoD program under which the award was made;
c. The DoD award number; and
d. The year (your fiscal year) in which you received the award.
2. Accurate, current, and complete disclosure of the financial results of the award needed to comply with
financial and programmatic reporting requirements that are specified in REP Articles I and II of these
general terms and conditions, as supplemented by any award-specific terms and conditions of this
award concerning reporting requirements. If you are asked at any time under this award to report
financial information on an accrual basis, you:
a. Need not establish an accrual accounting system if you maintain your records on a different basis;
and
b. May develop the accrual data based on an analysis of the data you have on hand.
3. Records that identify adequately the sources of funds for all activities funded by DoD awards,
including any required cost sharing or matching, and the application of those funds. This includes
funding authorizations; your financial obligations and expenditures of the funds; unobligated
balances; property and other assets under the award; program income; and interest.
10

---

4. Effective control over, and accountability for, all funds, property, and other assets under this award.
You must adequately safeguard all assets and assure they are used solely for authorized purposes (see
Section C of this article for additional requirements concerning internal controls).
5. Comparison of expenditures under this award for project or program purposes with amounts in the
approved budget for those purposes.
6. RESERVED – Not Applicable.
7. Written procedures:
a. To implement requirements specified in FMS Article II, “Payments;”
b. For determining the allowability of costs, which for this award are determined in accordance with
FMS Article III, “Allowable costs, period of availability of funds, and fee or profit,” of these
general terms and conditions, as supplemented by any award-specific terms and conditions of this
award that relate to allowability of costs.
Section C. Internal controls. Your system of internal controls must conform to OMB guidance in 2 CFR
200.303. With respect to paragraph (e) of 2 CFR 200.303, your internal control system must include
measures to safeguard any information that Federal statute, Executive order, or regulation requires to be
protected (e.g., personally identifiable or export-controlled information), whether generated under the
award or provided to you and identified as being subject to protection.
FMS Article II. Payments. (SEPTEMBER 2023)
Section A. Awards to States. If the award-specific terms and conditions of this award do not identify it as
an award subject to Subpart A of 31 CFR part 205 (Department of the Treasury regulations implementing
the Cash Management Improvement Act), then this award is subject to Subpart B of that part. Consistent
with Subpart B of 31 CFR part 205:
1. Payment method, timing, and amounts. You must:
a. Minimize the time between your receipt of a payment under this award and your disbursement of
those funds for project or program purposes.
b. Limit the amount of each advance payment request to the minimum amount you need to meet
your actual, immediate cash requirements for carrying out the project or program.
c. Submit each advance payment request approximately 10 days before you anticipate disbursing the
requested amount for project or program purposes, so that your receipt of the funds will be as
close in time as is administratively feasible to your actual cash outlay for direct project or
11

---

program costs and the proportionate share of any allowable indirect costs.
2. Interest. Unlike awards subject to Subpart A of 31 CFR part 205, neither you nor we will incur any
interest liability due to a difference in timing between your receipt of payments under this award and
your disbursement of those funds for project or program purposes.
Section B. Awards to institutions of higher education, nonprofit organizations, local governments,
Indian tribes, and for-profit entities.
1. Payment method. Unless the award-specific terms and conditions of this award provide otherwise,
you are authorized to request advance payments under this award. That authorization is contingent on
your continuing to maintain, or demonstrating the willingness to maintain, written procedures that
minimize the time elapsing between your receipt of each payment and your disbursement of the funds
for project or program purposes. Note that you are not required to request advance payments and may
instead, at your option, request reimbursements of funds after you disburse them for project or
program purposes.
2. Amounts requested. You must:
a. Limit the amount of any advance payment request to the minimum amount needed to meet your
actual, immediate cash requirements for carrying out the purpose of the approved project or
program, including direct project costs and a proportionate share of any allowable indirect costs.
b. Exclude from any payment request amounts you are withholding from payments to contractors to
assure satisfactory completion of the work. You may request those amounts when you make the
payments to the contractors or to escrow accounts established to assure satisfactory completion of
the work.
c. Exclude from any payment request amounts from any of the following sources that are available
to you for project or program purposes under this award: program income, including repayments
to a revolving fund; rebates; refunds; contract settlements; audit recoveries; and interest earned on
any of those funds. You must disburse those funds for project or program purposes before
requesting additional funds from us.
3. Timing of requests. For any advance payment you request, you should submit the request
approximately 10 days before you anticipate disbursing the requested amount for project or program
purposes. With time for agency processing of the request, that should result in payment as close as is
administratively feasible to your actual disbursements for project or program purposes.
4. Frequency of requests. You may request payments as often as you wish unless you have been
granted a waiver from requirements to receive payments by electronic funds transfer (EFT). If you
have been granted a waiver from EFT requirements, the award-specific terms and conditions of this
award specify the frequency with which you may submit payment requests.
12

---

5. Withholding of payments. We will withhold payments for allowable costs under the award at any
time during the period of performance only if one or more of the following applies:
a. We suspend either payments or the award, or disallow otherwise allowable costs, as a remedy
under OAR Article III due to your failure to comply with Federal statutes, regulations, or the
terms and conditions of this award. If we suspend payments and not the award, we will release
withheld payments upon your subsequent compliance. If we suspend the award, then amounts of
payments are subject to adjustment in accordance with the terms and conditions of OAR Article
III.
b. You are delinquent in a debt to the United States, in which case we may, after reasonable notice,
inform you that we will not make any further payments for costs you incurred after a specified
date until you correct the conditions or liquidate the indebtedness to the Federal Government.
c. The award-specific terms and conditions include additional requirements that provide for
withholding of payments based on conditions identified during our pre-award risk evaluation, in
which case you should have been notified about the nature of those conditions and the actions
needed to remove the additional requirements.
6. Depository requirements.
a. There are no eligibility requirements for depositories you use for funds you receive under this
award.
b. You are not required to deposit funds you receive under this award in a depository account
separate from accounts in which you deposit other funds. However, FMS Article I requires that
you be able to account for the receipt, obligation, and expenditure of all funds under this award.
c. You must deposit any advance payments of funds you receive under this award in insured
accounts whenever possible and, unless any of the following apply, you must deposit them in
interest-bearing accounts:
i. You receive a total of less than $250,000 per year under Federal grants and cooperative
agreements.
ii. You would not expect the best reasonably available interest-bearing account to earn interest in
excess of $500 per year on your cash balances of advance payments under Federal grants and
cooperative agreements.
iii. The best reasonably available interest-bearing account would require you to maintain an
average or minimum balance higher than it would be feasible for you to do within your
expected Federal and non-Federal cash balances.
iv. A foreign government or banking system precludes your use of interest-bearing accounts.
d. You may retain for administrative expenses up to $500 per year of interest that you earn in the
aggregate on advance payments you receive under this award and other Federal grants and
13

---

cooperative agreements. You must remit annually the rest of the interest to the Department of
Health and Human Services, Payment Management System, using the procedures set forth in
OMB guidance in 2 CFR 200.305 (b)(9).
Section C. Electronic funds transfer and other payment procedural instructions or information.
1. Electronic funds transfer. Unless the award-specific terms and conditions of this award provide
otherwise, you will receive payments under this award by electronic funds transfer.
2. RESERVED – Language in DoD Component addendum to these terms and conditions.
FMS Article III. Allowable costs, period of availability of funds, and fee or profit.
(SEPTEMBER 2017)
Section A. Allowable costs. This section, with the clarification provided in Section B, specifies which
Federal cost principles must be used in determining the allowability of costs charged to this award, a
subrecipient’s costs charged to any cost-type subaward that you make under this award, and a contractor’s
costs charged to any cost-type procurement transaction into which you enter under this award. These cost
principles also govern the allowable costs that you or a subrecipient of a subaward at any tier below this
award may consider when establishing the amount of any fixed-amount subaward or fixed-price
procurement transaction at the next lower tier. The set of cost principles to be used in each case depends
on the type of entity incurring the cost under the award, subaward, or contract.
1. General case. If you, your subrecipient, or your contractor is:
a. An institution of higher education, the allowability of costs must be determined in accordance
with provisions of Subpart E of OMB guidance in 2 CFR part 200 other than 2 CFR 200.400(g),
supplemented by appendix III to that part.
b. A hospital, the allowability of costs must be determined in accordance with provisions of
appendix IX to 2 CFR part 200, which currently specifies the cost principles in appendix IX to 45
CFR part 75 as the applicable cost principles.
c. A nonprofit organization other than a hospital or institution of higher education, the
allowability of costs must be determined in accordance with provisions of Subpart E of OMB
guidance in 2 CFR part 200 other than 2 CFR 200.400(g), supplemented by appendices IV and
VIII to that part. In accordance with guidance in 2 CFR 200.401(c), a nonprofit organization
listed in appendix VIII to 2 CFR part 200 is subject to the cost principles for for-profit entities
specified in paragraph 1.e of this section.
d. A State, local government, or Indian tribe, the allowability of costs must be determined in
accordance with applicable provisions of Subpart E of OMB guidance in 2 CFR part 200 other than
2 CFR 200.400(g), supplemented by appendices V through VII to that part.
14

---

e. A for-profit entity (other than a hospital) or a nonprofit organization listed in appendix VIII
to 2 CFR part 200:
i. The allowability of costs must be determined in accordance with:
(A) The cost principles for commercial organizations in the Federal Acquisition Regulation
(FAR) at Subpart 31.2 of 48 CFR part 31, as supplemented by provisions of the Defense
Federal Acquisition Regulation Supplement (DFARS) at Subpart 231.2 of 48 CFR part
231; and
(B) For a for-profit entity, the additional provisions on allowability of audit costs, in 32 CFR
34.16(f).
ii. The indirect cost rate to use in that determination is:
(A) The for-profit entity’s federally negotiated indirect cost rate if it has one.
(B) Subject to negotiation between you and the for-profit entity if it does not have a federally
negotiated indirect cost rate. The rate that you negotiate may provide for reimbursement
only of costs that are allowable in accordance with the cost principles specified in
paragraph A.1.e.i of this article.
2. Exception. You may use your own cost principles in determining the allowability of a contractor’s
costs charged to a cost-type procurement transaction under this award—or in pricing for a fixed-price
contract based on estimated costs—as long as your cost principles comply with the Federal cost
principles that paragraph A.1 of this section identifies as applicable to the contractor.
Section B. Clarifications concerning charges for professional journal publications.
RESERVED – Not Applicable.
Section C. Period of availability of funds. You may charge to this award only:
1. Allowable costs incurred during the period of performance specified in this award, including any
subsequent amendments to it;
2. Any pre-award costs that you are authorized (by either the terms and conditions of FMS Article IV or
the DoD awarding official) to incur prior to the start of the period of performance, at your own risk,
for purposes of the project or program under this award; and
3. Costs of publishing in professional journals incurred after the period of performance, as permitted
under 2 CFR 200.461(b)(3), if:
a. We receive the request for payment for such costs no later than the date on which REP Article II
requires you to submit the final financial report to us (or, if we grant your request for an extension
15

---

of the due date, that later date on which the report is due); and
b. Your reported expenditures on the final financial report include the amount you disbursed for
those costs.
Section D. Fee or profit.
1. You may not receive any fee or profit under this award.
2. You may not use funds available to you under this award to pay fee or profit for an entity of any type
to which you make a subaward.
3. You may pay fee or profit to an entity with which you enter into a procurement transaction to
purchase goods or general support services for your use in carrying out the project or program under
the award.
FMS Article IV. Revision of budget and program plans. (SEPTEMBER 2023)
Section A. Approved budget. The approved budget of this award:
1. Is the most recent version of the budget that you submitted, and we approved (either at the time of the
initial award or a more recent amendment), to summarize planned expenditures for the project or
program.
2. Includes all Federal funding that we make available to you under this award to use for project or
program purposes and any cost sharing or matching that you are required to provide under this award
for those same purposes.
Section B. Revisions requiring prior approval from the Grants Officer.
1. Non-construction activities. You must request Grant Officer prior approval from us for any of the
following program or budget revisions in non-construction activities:
a. A change in the scope or objective of the project or program under this award, even if there is no
associated budget revision that requires Grants Officer prior approval.
b. A change in a key person identified in the award cover pages.
c. The approved principal investigator’s or project director’s disengagement from the project for
more than three months, or a 25 percent reduction in his or her time devoted to the project.
d. The inclusion of direct costs that require prior approval in accordance with the applicable cost
principles, as identified in FMS Article III.
16

---

i. The requirement for prior approval of equipment that is to be used primarily in carrying out
the project or program supported by the award is waived for equipment with a unit cost of
$25,000 or less.
e. RESERVED – Only applicable if provided in DoD Component addendum to these terms and
conditions.
f. A subaward to another entity under which it will perform a portion of the substantive project or
program under the award, if it was not included in the approved budget. This does not apply to
your contracts for acquisition of supplies, equipment, or general support services you need to
carry out the program.
g. Any change in the cost sharing or matching you provide under the award, as included in the
approved budget, for which FMS Article VI requires prior approval.
h. RESERVED – Not Applicable.
i. The need arises for additional Federal funds to complete the project or program.
2. Construction activities. You must request prior approval from us for any of the following program or
budget revisions in construction activities:
a. A change in the scope or objective of the project or program under this award, even if there is no
associated budget revision that requires Grants Officer prior approval.
b. The need arises for additional Federal funds to complete the project.
c. The inclusion of direct costs that require prior approval in accordance with the applicable cost
principles, as identified in FMS Article III.
3. Funding transfers between construction and non-construction activities. RESERVED - Only
applicable if provided in DoD Component addendum to these terms and conditions or award
specific terms and conditions.
Section C. Pre-award costs, carry forward of unobligated balances, and one-time no-cost
extensions. You are authorized, without requesting prior approval from us, to:
1. Charge to this award after you receive it pre-award costs that you incurred, at your own risk, up to 90
calendar days before the start date of the period of performance, as long as they are costs that would
be allowable charges to the project or program under the terms and conditions of FMS Article III if
they were incurred during the period of performance.
17

---

2. Carry forward an unobligated balance to a subsequent budget period under this award.
3. RESERVED – Only applicable if provided in DoD Component addendum to these terms and
conditions.
Section D. Procedures.
1. We will review each request you submit for prior approval for a budget or program change and,
within 30 calendar days of our receipt of your request, we will respond to you in writing to either:
a. Notify you whether your request is approved; or
b. Inform you that we still are considering the request, in which case we will let you know when you
may expect our decision.
2. RESERVED - Language in DoD Component addendum to these terms and conditions.
FMS Article V. Non-Federal audits. (SEPTEMBER 2023)
Section A. Requirements for entities subject to the Single Audit Act. You and each subrecipient under
this award that is an institution of higher education, nonprofit organization, State, local government, or
Indian tribe must comply with the audit requirements specified in Subpart F of 2 CFR part 200, which is
the OMB implementation of the Single Audit Act, as amended (31 U.S.C. chapter 75).
Section B. Requirements for for-profit entities. If you are a for-profit entity, you are subject to the audit
requirements specified in 32 CFR 34.16. Any for-profit entity that receives a subaward from you under
this award is also subject to those audit requirements. The provisions of 32 CFR 34.16 indicate that the
audit requirement threshold is $750,000 or more of expenditures under federal awards in a year. Your
subaward terms and conditions will require the subrecipient to provide the reports to you if it is willing to
do so, so that you can resolve audit findings that pertain specifically to your subaward (e. g., disallowance
of costs). If the for-profit entity is unwilling to agree to provide the auditor’s report to you, contact the
grants officer for this award to discuss an alternative approach for carrying out audit oversight of the
subaward. If the grants officer does not provide an alternative approach within 30 days of receiving your
request, you may determine an approach to ensure the for-profit subrecipient’s compliance with the
subaward terms and conditions, as described in OMB guidance at 2 CFR 200.501(h).
FMS Article VI. Cost sharing or matching. (SEPTEMBER 2023)
Section A. Required cost sharing or matching.
1. If any cost sharing or matching is required under this award, the total amount or percentage required is
shown in the award cover pages and included in the approved budget. That cost sharing or matching
includes all:
18

---

a. Cash and third-party in-kind contributions.
b. Contributions to the project or program made either by or through (if made by a third party) you
and any subrecipients.
2. You must obtain Grants Officer prior approval if you wish to:
a. Change the amount or percentage of cost sharing or matching required under this award.
b. RESERVED - Only applicable if provided in DoD Component addendum to these terms and
conditions.
Section B. Allowability as cost sharing or matching. Each cash or third-party in-kind contribution
toward any cost sharing or matching required under this award, whether put forward by you or a
subrecipient under a subaward that you make, is allowable as cost sharing or matching if:
1. You (or the subrecipient, if it is a subrecipient contribution) maintain records from which one may
verify that the contribution was made to the project or program and, if it is a third-party in-kind
contribution, its value.
2. The contribution is not counted as cost sharing or matching for any other Federal award.
3. The contribution is:
a. Allowable under the cost principles applicable to you (or the subrecipient, if it is a subrecipient
contribution) under FMS Article III of these terms and conditions; and
b. Allocable to the project or program and reasonable.
4. The Government does not pay for the contribution through another Federal award, unless that award is
under a program that has a federal statute authorizing application of that program’s Federal funds to
other Federal programs’ cost sharing or matching requirements.
5. The value of the contribution is not reimbursed by the Federal share of this award as either a direct or
indirect cost.
6. The contribution conforms to the other terms and conditions of this award, including the award
specific terms and conditions.
Section C. Allowability of unrecovered indirect costs as cost sharing or matching. You may use your
own or a subrecipient’s unrecovered indirect costs as cost sharing or matching under this award.
Unrecovered indirect costs mean the difference between the amount of indirect costs charged to the award
and the amount that you and any subrecipients could have charged in accordance with your respective
19

---

approved indirect cost rates, whether those rates are negotiated or de minimis (as described in 2 CFR
200.414(f)).
Section D. Allowability of program income as cost sharing or matching. If FMS Article VII of these
general terms and conditions or the award-specific terms and conditions of this award specify that you are
to use some or all of the program income you earn to meet cost-sharing or matching requirements under
the award, then program income is allowable as cost sharing or matching to the extent specified in those
award terms and conditions.
Section E. Valuation of services or property that you or subrecipients contribute or donate. You
must establish values for services or property contributed or donated toward cost sharing or matching by
you or subrecipients in accordance with the provisions of this section. These contributions or donations
are distinct from third-party contributions or donations to you or subrecipients, which are addressed in
Section F of this article.
1. Usual valuation of services or property that you or subrecipients contribute or donate. Values
established for contributions of services or property by you or a subrecipient must be the amounts
allowable in accordance with the cost principles applicable to the entity making the contribution (i.e.,
you or the subrecipient), as identified in FMS Article III. For property, that generally is depreciation.
2. Needed approvals for, and valuation of, property that you or subrecipients donate.
a. Types of property that may be donated.
i. Buildings or land. If the purposes of this award include construction, facilities acquisition, or
long-term use of real property, you may donate buildings or land to the project if you obtain
Grants Officer prior approval. Donation of property to the project, as described in PROP
Article I, means counting the value of the property toward cost sharing or matching, rather
than charging depreciation.
ii. Other capital assets. If you obtain Grants Officer prior approval, you may donate to the
project other capital assets identified in 2 CFR 200.439(b)(1) through (3).
b. Usual valuation of donated property. Unless you obtain our approval as described in paragraph
E.2.c of this article, the value for the donated property must be the lesser of:
i. The value of the remaining life of the property recorded in your accounting records at the time
of donation, or
ii. The current fair market value.
c. Approval needed for alternative valuation of property. If you obtain our approval as reflected in
the approved budget, you may count as cost sharing or matching the current fair market value of the
20

---

donated property even if it exceeds the value of the remaining life of the property recorded in your
accounting records at the time of donation.
d. Federal interest in donated property. Donating buildings, land, or other property to the project,
rather than charging depreciation, results in a federal interest in the property in accordance with
PROP Article I of these terms and conditions.
Section F. Valuation of third-party in-kind contributions.
1. General. If a third party furnishes goods or services to you or subrecipients that are to be counted
toward cost sharing or matching under this award, the entity to which the third party furnishes the
goods or services (i.e., you or a subrecipient) must document the fair market value of those in-kind
contributions and, to the extent feasible, support those values using the same methods the entity uses
internally.
2. Valuation of third-party services. You must establish values for third-party volunteer services and
services of third parties’ employees furnished to you or subrecipients as follows:
a. Volunteer services. Volunteer services furnished by third-party professional and technical
personnel, consultants, and other skilled and unskilled labor must be valued in accordance with 2
CFR 200.306(e).
b. Services of third parties’ employees. When a third-party organization furnishes the services of
its employees to you or a subrecipient, values for the contributions must be established in
accordance with 2 CFR 200.306(f).
c. Additional requirement for donations to nonprofit organizations. For volunteer services or
services of third parties’ employees furnished to a nonprofit organization:
i. OMB guidance in 2 CFR 200.434(e) also applies and may require the nonprofit organization
to allocate a proportionate share of its applicable indirect costs to the donated services.
ii. The indirect costs that the nonprofit organization allocates to the donated services in that case
must be considered project costs and may be either reimbursed under the award or counted
toward required cost sharing or matching, but not both.
3. Valuation of third-party property. You must establish values for third-party property furnished to
you or subrecipients as follows:
a. Supplies donated by third parties. When a third-party organization donates supplies (e.g.,
office, laboratory, workshop, or classroom supplies), the value that may be counted toward cost
sharing or matching may not exceed the fair market value of the supplies at the time of donation.
b. Equipment, buildings, or land donated by third parties.
21

---

i. The value of third-party donations of equipment, buildings, or land that may be counted
toward cost sharing or matching when the third party transferred title to you or a subrecipient
depends on the purpose of the award in accordance with the following:
(A) If one of the purposes of the award is to assist you or the subrecipient in the acquisition of
equipment, buildings, or land, you may count the aggregate fair market value of the
donated property toward cost sharing or matching.
(B) If the award’s purposes instead include only the support of activities that require the use
of equipment, buildings, or land, you may only charge depreciation unless you obtain
Grants Officer prior approval to count as cost sharing or matching the fair market value
of equipment or other capital assets and fair rental charges for land.
ii. The values of the donated property must be determined in accordance with the usual
accounting policies of the entity to which the third party transferred title to the property, with
the qualifications specified in 2 CFR 200.306(i)(1) and (2) for donated land and buildings and
donated equipment, respectively.
c. Use of space donated by third parties. If a third party makes space available for use by you or
a subrecipient, the value that you may count toward cost sharing or matching may not exceed the
fair rental value of comparable space as established by an independent appraisal, as described in 2
CFR 200.306(i)(3).
d. Equipment loaned by third parties. If a third-party loans equipment for use by you or a
subrecipient, the value that you may count toward cost sharing or matching may not exceed its
fair rental value.
FMS Article VII. Program income. (SEPTEMBER 2017)
Section A. Definition. The term “program income” as used in this award:
1. Is gross income that:
a. You earn that is directly generated by a supported activity or earned as a result of this award; or
b. A subrecipient earns as a result of a subaward you make under this award.
2. Includes, but is not limited to, income earned under this award from:
a. Fees for services performed;
22

---

b. The use or rental of real or personal property acquired under any Federal award and currently
administered under this award;
c. The sale of commodities or items fabricated under this award; and
d. License fees and royalties on patents and copyrights;
e. Payments of principal and interest on loans made with Federal award funds.
3. Does not include for purposes of this award any:
a. Interest earned on advance payments, disposition of which is addressed in FMS Article II;
b. Proceeds from the sale of real property, equipment or supplies, which is addressed in PROP
Articles III and IV;
c. Rebates, credits, discounts, and interest earned on any of them; and
d. Governmental revenues, including any taxes, special assessments, levies, fines, and similar
revenues you raise.
Section B. Encouragement to earn program income. You are encouraged to earn program income
under this award when doing so does not interfere with the project or program the award supports.
Section C. Costs of generating program income. You may deduct costs incidental to the generation of
program income from the amount that you use in accordance with Section E of this Article, as long as
those costs are not charged to this award (which includes their being counted toward any cost sharing or
matching you are required to provide).
Section D. License fees and royalties. You have no obligations to the Federal Government with respect
to program income earned under this award from license fees and royalties for patents or patent
applications, copyrights, trademarks, or inventions developed or produced under the award.
Section E. Use of program income.
1. You must use any program income that you earn during the period of performance under this award to
increase the amount of the award (the sum of the Federal share and any cost sharing or matching you
are required to provide), thereby increasing the amount budgeted for the project or program. The
program income must be used for the purposes and under the terms and conditions of the award.
2. Your use of the additional funding is subject to the terms and conditions of this award, including:
23

---

a. FMS Article II concerning your use of balances of program income before you request additional
funds from us; and
b. FMS Article III concerning allowability of costs for which the funds may be used.
3. You must report on each Federal Financial Report (SF-425) that you submit in accordance with REP
Article II the program income that you earn and any that you use during the reporting period covered
by that SF-425.
Section F. Duration of accountability for program income.
The requirements concerning disposition of program income in Section E of this Article apply only to
program income you or your subrecipients earn during the period of performance. There are no
requirements under this award applicable to program income you or your subrecipients earn after the end
of the period of performance.
24

---

Part 2: Property Administration
(articles from this part are designated with “PROP” in the article title)
PROP Article I. Title to property. (SEPTEMBER 2017)
Section A. Title to property acquired under this award.
1. General. Other than any property identified in paragraph A.2 of this section as exempt property:
a. Title to real property, equipment, and supplies that you acquire (whether by purchase,
construction or fabrication, development, or otherwise) and charge as direct project costs under
this award vests in you, the recipient. Title to intangible property that you acquire (other than by
developing or producing it) under this award also vests in you.
b. That title is a conditional title, subject to the terms and conditions in PROP Articles II-IV, Section
D of PROP Article VI, and REP Article III of this award.
c. There is a federal interest in the property, other than intangible property that you develop or
produce under the award. For real property, equipment, and intangible property, we retain this
Federal interest until final disposition of the property under PROP Article III (for real property),
PROP Article IV (for equipment), or Section D of PROP Article VI (for intangible property that is
acquired, other than by developing or producing it), a period that in some cases may extend
beyond closeout of this award.
2. Exempt property. For an award to conduct basic or applied research with a nonprofit institution of
higher education or nonprofit organization whose primary purpose is conducting scientific research,
title to all equipment and supplies acquired under the award and charged as direct costs to the project
or program shall vest with you upon acquisition subject only to the following three conditions:
a. You use the equipment for the authorized purposes of the project or program until the property is
no longer needed for those purposes.
b. You manage the equipment as provided in PROP Article II of these general terms and conditions.
This includes maintaining property records that include the percentage of Federal participation in
the costs of the project or program under which you acquired the exempt property, so that you
may deduct the Federal share if you wish to use the property in future contributions for cost
sharing or matching purposes on Federal awards.
c. The DoD Component reserves the right to transfer title to the equipment to another recipient entity
if the Principal Investigator relocates his or her research program to that entity.
25

---

Section B. Property trust relationship.
1. Basic requirement. Other than intangible property that you develop or produce under the award, you
hold any real property, equipment, or intangible property that you acquire or improve under this
award in trust for the beneficiaries of the project or program that you are carrying out under the
award.
2. Notices of record. RESERVED - Only applicable if provided in DoD Component addendum to
these terms and conditions or award-specific terms and conditions.
Section C. Federally owned property. Title to any federally owned property that we provide to you
under this award (or such property for which accountability is transferred to this award from another
Federal award) remains with the Government.
Section D. Federal interest in donated real property or equipment.
If real property or equipment is acquired under this award through your donation of the property to the
project or program (i.e., counting the value of the remaining life of the property recorded in your
accounting records or the fair market value as permitted under FMS Article VI of this award as part of
your share of project costs to meet any cost sharing or matching requirements, rather than charging
depreciation):
1. The Government acquires a federal interest in the real property or equipment that is donated for use in
the project or program.
2. The real property or equipment is subject to Section B of this article and the terms and conditions of
PROP Articles II-IV and REP Article III that are applicable to property acquired under the award.
3. The Federal interest in the real property or equipment must be addressed at the time of property
disposition.
Section E. Federal interest in property improved under the award.
1. The Government has an interest in improvements (as distinct from ordinary repairs and maintenance)
you make to an item of real property or equipment if you charge the costs of the improvements as
direct costs to this award.
2. We thereby acquire an interest in the property if the Government did not previously have one. If the
Government already had an interest in the property, the value of that Federal interest in the property
increases by the amount of the Federal interest in the improvements.
3. The property is subject to Section B of this article and the terms and conditions of PROP Articles II-IV
and REP Article III that are applicable to real property or equipment acquired under the award.
26

---

4. The Federal interest must be addressed at the time of property disposition.
PROP Article II. Property management system. (SEPTEMBER 2023)
Section A. Insurance coverage for real property and equipment. You must, at a minimum, provide the
equivalent insurance coverage for real property and equipment acquired or improved under this award as
you provide for real property and equipment that you own.
Section B. Other management system standards for a State.
1. Equipment. Your property management system for equipment acquired or improved in whole or in
part under this award must be in accordance with your state laws and procedures.
2. Federally owned property. You may use your own property management system for any federally
owned property for which you are accountable, as long as it meets the following minimum standards:
a. Records. Your records must include for each item of federally owned property:
i. A description of the item.
ii. The location of the item.
iii. The serial or other identification number.
iv. Which Federal agency holds title.
v. The date you received the item.
vi. Any data on the ultimate disposition of the item, such as the date of disposal.
vii. The Federal award identification number of the award under which you are accountable for
the item.
b. Inventory. You must take a physical inventory of federally owned property at least annually and
reconcile the results with your records.
c. Control system. You must:
i. Maintain an internal property control system with adequate safeguards to prevent loss,
damage, or theft of federally owned property.
ii. Investigate any loss, damage, or theft of federally owned property and promptly notify the
27

---

award administration office.
d. Maintenance. You must maintain the property in good condition.
Section C. Other management system standards for an institution of higher education, nonprofit
organization, local government, Indian tribe, or for-profit entity. Your procedures for managing
equipment (including replacement equipment) acquired or improved in whole or in part under this award
and any federally owned property for which you are accountable under this award must, as a minimum,
meet the requirements in this section.
1. Records. You must maintain records that include for each item of equipment or federally owned
property:
a. A description of the item.
b. The serial or other identification number.
c. Who holds title (e.g., you or the Government and, if the latter, which Federal agency).
d. The source of funding for the equipment, including the award number, or the source of the
federally owned property, including the award number of the award under which you are
accountable for the property.
e. The acquisition date and cost of the equipment (or improvement to the equipment) or the date you
received the federally owned property.
f. The location, use, and condition of the equipment or federally owned property.
g. Information from which one can calculate the amount of the Federal interest in the acquisition or
improvement of the item (this amount is zero after you compensate us for the Federal interest in
the item or improvement).
h. Any data on the ultimate disposition of the item including the date of disposal and sale price.
2. Labelling. You must ensure that property owned by the Federal Government is labeled to identify it
as federally owned property.
3. Inventory. You must take a physical inventory of equipment in which there is a federal interest and
reconcile the results with your records at least once every 2 years.
4. Control system. You must:
28

---

a. Maintain an internal property control system with adequate safeguards to prevent loss, damage, or
theft of equipment and federally owned property.
b. Investigate any loss, damage, or theft and notify the award administration office if it involved
equipment in which there is a federal interest under the award or federally owned property.
5. Maintenance. You must maintain equipment acquired or improved in whole or in part under the
award and federally owned property in good condition.
PROP Article III. Use and disposition of real property. (SEPTEMBER 2017)
Section A. Use of real property.
1. You must use real property acquired or improved under this award for the originally authorized
purpose as long as needed for that purpose. During that time, you may not:
a. Dispose of the property except, with the prior approval of the award administration office, to
acquire replacement property under this award, in which case you may use the proceeds from the
disposition as an offset to the cost of the replacement property; or
b. Encumber the title or other interests in the property without the prior approval of the award
administration office.
2. RESERVED – Not Applicable.
3. RESERVED – Not Applicable.
Section B. Disposition of real property. When you no longer need real property for the originally
authorized purpose, you must obtain disposition instructions from the award administration office except
as provided in any paragraph A.3 of this article. Those instructions will provide for one of the following
three alternatives, which are that you:
1. Retain title after compensating us for the Federal interest in the property, which is to be computed as
specified in the definition of “Federal interest.”
2. Sell the property and compensate us for the Federal interest in the property, as described in 2 CFR
200.311(c)(2).
3. Transfer title to us or a third party we designate, as described in 2 CFR 200.311(c)(3).
PROP Article IV. Use and disposition of equipment and supplies. (SEPTEMBER 2023)
Section A. Property subject to this article. This article specifies requirements for use and disposition of
29

---

equipment and supplies. If a provision of PROP Article I of this award identifies any type of equipment or
supplies as exempt property, requirements of this Article apply to that exempt property only to the extent
specified in that provision of PROP Article I or an award-specific term or condition. The types of non-
exempt property to which this article applies are:
1. Supplies that you acquire either by purchase or by donation as cost sharing or matching under this
award; and
2. Equipment for which title is vested conditionally in you. That includes equipment with a conditional
title resulting from your having, either under this award or under a previous award from which you
transferred accountability for the equipment to this award:
a. Directly charged as project costs, in whole or in part, the acquisition (by purchase, construction or
fabrication, or development) of equipment;
b. Donated the equipment to the project or program by counting the value of the remaining life of
the property recorded in your accounting records or the fair market value toward any cost sharing
or matching requirements under the award, rather than charging depreciation (see PROP Article I,
Section D); or
c. Directly charged as project costs improvements to the equipment that meet the criteria given in
paragraph E.1 of PROP Article I.
Section B. Requirements for a State’s use and disposition of equipment. You:
1. Must use the equipment for the authorized purposes of the project or program during the period of
performance, or until the property is no longer needed for those purposes.
2. May not encumber the property without the prior approval of the award administration office.
3. Must use and dispose of the equipment in accordance with your state laws and procedures.
Section C. Use of equipment by an institution of higher education, nonprofit organization, local
government, Indian tribe, or for-profit entity. You:
1. Must use the equipment for the authorized purposes of the project or program under this award until
the equipment is no longer needed for those purposes, whether or not the project or program continues
to be supported by this award.
2. May not encumber the equipment without the prior approval of the award administration office.
3. During the time that the equipment is used for the project or program under this award:
30

---

a. Must make the equipment available for use on other projects or programs but only if that use will
not interfere with the equipment’s use as needed for the project or program supported by this award.
i. First preference must be given to other projects or programs supported or previously
supported by DoD Components and second preference to those supported or previously
supported by other Federal agencies.
ii. Third preference is for other projects or programs not supported by the Federal Government.
You should charge user fees for use of the equipment in those cases, if it is at all practicable.
b. May use the equipment, if you need to acquire replacement equipment, as a trade-in or sell it (using
sales procedures designed to ensure the highest possible return) and use the proceeds from the sale
to offset the cost of the replacement equipment.
4. When the equipment is no longer needed for the project or program under this award, you may defer
final disposition of the equipment and continue to use it on other federally sponsored projects or
programs. You must give first priority to other projects or programs supported by DoD Components.
5. Notwithstanding the encouragement in FMS Article VII to earn program income, you may not use
equipment in which there currently is a federal interest--whether you acquired it under this award or
are otherwise accountable for it under this award--to provide services for a fee that is less than private
companies charge for equivalent services.
Section D. Disposition of equipment by an institution of higher education, nonprofit organization,
local government, Indian tribe, or for-profit entity. You must request disposition instructions from the
award administration office when either original or replacement equipment acquired under this award
with a current fair market value that exceeds $5,000 is no longer needed for the original project or
program or for other federally sponsored activities as described in paragraph C.4 of this article. For each
item of equipment with a current fair market value of $5,000 or less, you may retain, sell, or otherwise
dispose of the item with no further obligation to the Federal Government.
1. We may issue disposition instructions that:
a. Allow you to retain or sell any item of equipment after compensating us for the Federal interest in
the property, which is to be computed as specified in the definition of “Federal interest;” or
b. Require you to transfer title to the equipment to a federal agency or a third party, in which case you
are entitled to compensation from us for the non-Federal interest in the equipment, plus any
reasonable shipping or interim storage costs incurred.
2. If we fail to provide disposition instructions for any item of equipment within 120 calendar days of
receiving your request, you may retain or sell the equipment, but you must compensate us for the
amount of the Federal interest in the equipment.
31

---

3. If you sell the equipment:
a. You must use sales procedures designed to ensure the highest possible return; and
b. You may deduct and retain for selling and handling expenses either $500 or ten percent of the
proceeds, whichever is less.
Section E. Use and disposition of supplies acquired under this award.
1. Use. As long as we retain a Federal interest in supplies acquired under this award either by purchase
or by donation as cost sharing or matching, you may not use the supplies to provide services to other
organizations for a fee that is less than private companies charge for equivalent services,
notwithstanding the encouragement in FMS Article VII to earn program income.
2. Disposition. If you have a residual inventory of unused supplies with aggregate value exceeding
$5,000 at the end of the period of performance under this award, and the supplies are not needed for
any other Federal award, you may retain the supplies or sell them but must in either case compensate
us for the amount of the Federal interest in the supplies. You may deduct and retain for selling and
handling expenses either $500 or ten percent of the proceeds, whichever is less.
PROP Article V. Use and disposition of federally owned property. (SEPTEMBER 2017)
Section A. Use. During the time that federally owned property for which you are accountable under this
award is used for the project or program supported by the award, you:
1. Also, may make the property available for use on other federally supported projects or programs, but
only if that use will not interfere with the property’s use for the project or program supported by this
award. You must give first priority to other projects or programs supported by DoD Components.
2. May use the property for purposes other than federally supported projects or programs only with the
prior approval of the awarding office or, if you request approval after the award is made, the award
administration office.
Section B. Disposition. You must request disposition instructions from the award administration office
for any federally owned property under this award, including any property for which a subrecipient is
accountable under a subaward you make under this award, either:
1. At any time during the period of performance if the property is no longer needed for the project or
program supported by this award; or
2. At the end of the period of performance.
32

---

PROP Article VI. Intangible property. (SEPTEMBER 2023)
Section A. Assertion of copyright.
1. You may assert copyright in any work that is eligible for copyright protection if you acquire
ownership of it under this award, either by developing it or otherwise.
2. With respect to any work in which you assert copyright, as described in paragraph A.1 of this section,
DoD reserves a royalty-free, nonexclusive and irrevocable license to:
a. Reproduce, publish, or otherwise use the work for Federal Government purposes; and
b. Authorize others to reproduce, publish, or otherwise use the work for Federal Government
purposes.
Section B. Inventions developed under the award.
1. Applicability of Governmentwide clause for research awards. You must comply with the
Governmentwide patent rights award clause at 37 CFR 401.14, with the modifications described in
paragraph B.2 of this section. DoD adopts that Governmentwide clause for the following entities,
thereby broadening the applicability beyond types of entities included in the definition of “contractor”
in 37 CFR part 401: any institution of higher education, non-profit organization, State, local
government, Indian tribe, for-profit entity, foreign organization, or foreign public entity receiving a
DoD award or subaward for the performance of experimental, research, or developmental work.
2. Modifications to the wording of the Governmentwide clause. DoD adopts the Governmentwide
clause at 37 CFR 401.14, as described in paragraph B.1 of this section, with the following
modifications:
a. Terminology. Throughout the Governmentwide award clause:
i. Insert the terms “recipient” and “subrecipient (or contractor to the recipient or to a
subrecipient)” to replace the terms “contractor” and “subcontractor,” respectively.
ii. Insert the terms “award” and “subaward (or contract under either the award or a subaward)” to
replace the terms “contract” and “subcontract,” respectively.
b. Final report. Add a new subparagraph (f)(5) to read, “The recipient must submit a final report
listing all subject inventions made under the award or stating that there were none. The final
report is due 120 calendar days after the end date of the period of performance unless you request,
and we grant an extension of the due date.”
c. Broadening applicability to all entities. Delete paragraphs (g)(2) and (3) of the
33

---

Governmentwide clause, redesignate paragraph (g)(1) as paragraph (g), and delete the phrase “to
be performed by a small business firm or domestic nonprofit organization” from paragraph (g) as
redesignated.
Section C. Data produced under the award.
1. Data in general. The Federal Government has the right to:
a. Obtain, reproduce, publish, or otherwise use the data produced under this award; and
b. Authorize others to receive, reproduce, publish, or otherwise use the data produced under this
award for Federal Government purposes.
2. Research data requested under the Freedom of Information Act (FOIA).
a. If we receive a request under the FOIA for “research data” that are related to “published research
findings” produced under this award and that were “used by the Federal Government in
developing an agency action that has the force and effect of law,” you must provide the data to us
within a reasonable time after we request it from you, so that the data can be made available to
the public through procedures established under the FOIA.
b. For purposes of the requirement in paragraph C.2.a of this section, 2 CFR 200.315(e) provides
definitions of the phrases “published research findings,” “used by the Federal Government in
developing an agency action that has the force and effect of law,” and “research data.”
Section D. Use and disposition of intangible property acquired, but not developed or produced, under
the award.
1. Applicability. This section applies to a patent, patent application, copyright, or other intangible
property acquired, but not developed or produced, under this award.
2. Use. You:
a. Must use the intangible property for the authorized purpose under this award until the intangible
property is no longer needed for that purpose, whether or not that purpose is still being supported
by this award.
b. May not encumber the intangible property without the prior approval of the award administration
office.
3. Disposition. When the intangible property is no longer needed for the originally authorized purpose,
you must contact the award administration office to arrange for disposition in accordance with the
procedures specified for disposition of equipment in either Section B or D of PROP Article IV, as
34

---

applicable.
35

---

Part 3: Procurement
(articles from this part are designated with “PROC” in the article title)
PROC Article I. Procurement standards for States. (JANUARY 2021)
Section A. Use of State procurement system. Subject only to the conditions in Sections B through D of
this article, you must use the same policies and procedures to procure supplies, equipment, real property,
and services under this award that you use when you procure those items for State purposes using non-
Federal funds.
Section B. Procurement of recovered materials. You must comply with the Resource Conservation and
Recovery Act requirements described in OMB guidance in 2 CFR 200.323.
Section C. Debarment and suspension. You must comply with restrictions on awarding procurement
transactions to excluded or disqualified parties and other requirements specified by OMB guidelines on
nonprocurement debarment and suspension at 2 CFR part 180, as implemented by DoD at 2 CFR part
1125.
Section D. Contract provisions. You must include provisions in your procurement transactions under
this award to require the contractors’ compliance with the requirements specified in PROC Article III, as
applicable.
PROC Article II. Procurement standards for institutions of higher education, nonprofit
organizations, local governments, Indian tribes, and for-profit entities. (SEPTEMBER
2023)
Section A. General procurement standards.
1. For procurement under this award, you must comply with the OMB guidance in 2 CFR 200.318.
2. You must do business only with responsible contractors who are able to perform, as described in
OMB guidance in 2 CFR 200.318(h). Related to that, you must comply with restrictions on awarding
procurement transactions to excluded or disqualified parties and other requirements specified by
OMB guidelines on nonprocurement debarment and suspension at 2 CFR part 180, as implemented
by DoD at 2 CFR part 1125.
Section B. Competition. You must award procurement transactions under this award in accordance with
the competition requirements described in OMB guidance in 2 CFR 200.319.
Section C. Procurement methods. You must award procurement transactions under this award using
methods described in OMB guidance in 2 CFR 200.320.
Section D. Contracting with small and minority businesses, women’s business enterprises, and
36

---

labor surplus area firms. You must take the affirmative steps described in OMB guidance in 2 CFR
200.321 when awarding procurement transactions under this award.
Section E. Contract cost and price. When awarding a procurement transaction under this award, you
must follow the procedures related to cost and price that are described in OMB guidance in 2 CFR
200.324, using the applicable cost principles specified in FMS Article III.
Section F. Contract provisions. You must include provisions in your procurement transactions under this
award to require the contractors’ compliance with the requirements of PROC Article III, as applicable.
Section G. Procurement of recovered materials. If you are a political subdivision of a State, you must
comply with the Resource Conservation and Recovery Act requirements described in OMB guidance in 2
CFR 200.323.
Section H. Review of procurement documents. Upon our request, you must make available:
1. Technical specifications on proposed procurement transactions, as described in 2 CFR 200.325(a).
2. Pre-procurement documents for our review, as described in 2 CFR 200.325(b) unless you are exempt
from that requirement under 2 CFR 200.325(c).
Section I. Domestic preferences for procurements. As appropriate and to the extent consistent with
law, you should, to the greatest extent practicable under this award, provide a preference for the purchase,
acquisition, or use of goods, products, or materials produced in the United States (including but not
limited to iron, aluminum, steel, cement, and other manufactured products). This must be included in all
subawards including all contracts and purchase orders for work or products under this award.
Section J. Bonding requirements. RESERVED - Only applicable if provided in DoD Component
addendum to these terms and conditions or award-specific terms and conditions.
PROC Article III. Contract provisions for recipient procurements. (SEPTEMBER 2023)
Section A. Contract provisions for administrative requirements.
1. Remedies. In any contract under this award for an amount in excess of the simplified acquisition
threshold, you must provide for administrative, contractual, or legal remedies, including any
appropriate sanctions and penalties, when the contractor violates or breaches the contract terms.
2. Termination. In any contract for an amount in excess of $10,000, you must specify: conditions under
which you may terminate the contract for cause or convenience; the procedures for termination; and
the basis to be used for settlement.
3. Allowable costs under cost-type contracts. In any cost-type contract with an entity, you must
37

---

include a clause to permit the entity to charge to the contract only costs that are allowable under the
cost principles that FMS Article III identifies as applicable to that type of entity, as supplemented by
any award-specific terms and conditions related to allowability of costs that are included in this
award. Your contract clause may permit the contractor to use its own cost principles in determining
the allowability of its costs charged to the contract, as long as its cost principles comply with those
Federal cost principles supplemented by any award-specific terms and conditions of this award.
4. Rights in copyright and data. You must include in each contract under this award a provision
requiring that the contractor:
a. Grant the Government a royalty-free, nonexclusive and irrevocable right to:
i. Reproduce, publish, or otherwise use for Federal purposes any work that is subject to
copyright and that the contractor develops, or acquires ownership of, under this award;
ii. Authorize others to reproduce, publish, or otherwise use such work for Federal purposes; and
b. Grant the Government the right to:
i. Obtain, reproduce, publish, or otherwise use data produced under this award;
ii. Authorize others to receive, reproduce, publish, or otherwise use such data for Federal
purposes; and
c. Include the Government rights described in subparagraphs 4.a. and 4.b. of this section in any
subcontracts.
5. Access to records.
a. In any negotiated, cost-type or time and materials contract for an amount in excess of the
simplified acquisition threshold, you must provide for access to any of the contractor’s books,
documents, papers, and records that are directly pertinent to that contract, to enable and support
audits, examinations, excerpts, and transcriptions. The contract provision must provide access to
those records for all of the following and their duly authorized representatives:
i. You;
ii. Us as the Federal awarding agency, including our Inspector General; and
iii. The Comptroller General of the United States.
b. In any audit services contract for performance of an audit required by the Single Audit Act, as
implemented by OMB in Subpart F of 2 CFR part 200, you must provide for the access to audit
38

---

documentation described in 2 CFR 200.517(b).
6. Records retention.
a. In any negotiated, cost-type or time and materials contract for an amount in excess of the
simplified acquisition threshold, you must provide for retention of all records that are directly
pertinent to that contract for 3 years after you make final payment, and all pending matters are
closed.
b. In any audit services contract for performance of an audit required by the Single Audit Act, as
implemented by OMB in Subpart F of 2 CFR part 200, you must provide for the retention of audit
documentation described in 2 CFR 200.517(a).
7. Reporting. In any contract awarded under this award, you must include any provision for the
contractor’s reporting to you that may be needed in order for you to meet your requirements under this
award to report to us.
Section B. Contract provisions for national policy requirements.
1. Equal employment opportunity. You must include the clause provided in 41 CFR 60-1.4(b) in any
“federally assisted construction contract” (as defined in 41 CFR 60-1.3) under this award unless
provisions of 41 CFR part 60-1 exempt the contract from the requirement.
2. Wage Rate Requirements (Construction). RESERVED - Only applicable if provided in DoD
Component addendum to these terms and conditions or award-specific terms and conditions.
3. Copeland Act prohibition on kickbacks. RESERVED - Only applicable if provided in DoD
Component addendum to these terms and conditions or award-specific terms and conditions.
4. Contract Work Hours and Safety Standards Act for work involving mechanics or laborers. In
each contract for an amount greater than $100,000 that involves the employment of mechanics or
laborers and is not a type of contract excepted under 40 U.S.C. 3701, you must include the clauses
specified in Department of Labor (DoL) regulations at 29 CFR 5.5(b) to require use of wage
standards that comply with the Contract Work Hours and Safety Standards Act (40 CFR, Subtitle II,
Part A, Chapter 37), as implemented by the DoL at 29 CFR part 5, “Labor Standards Provisions
Applicable to Contracts Governing Federally Financed and Assisted Construction.”
5. Patents and inventions. If you procure the services of a nonprofit organization, small business firm,
or other entity for the performance of experimental, developmental or research work, you must
include in the contract the clause prescribed in Section B of PROP Article VI to establish contractual
requirements regarding subject inventions resulting from the contract and provide for Government
rights in those inventions.
6. Clean air and water requirements. You must:
39

---

a. In each contract for an amount greater than $150,000 under this award, include a clause requiring
the contractor to comply with applicable provisions of the Clean Air Act (42 U.S.C. 7401-7671q),
Federal Water Pollution Control Act (33 U.S.C. 1251-1387), and standards, orders, or regulations
issued under those acts; and
b. Report any violations of the Acts, standards, orders, or regulations to both the award administration
office and the appropriate regional office of the Environmental Protection Agency.
7. Nonprocurement suspension and debarment. Unless you have an alternate method for requiring the
contractor’s compliance, you must include a clause in each contract for an amount equal to or greater
than $25,000 and in each contract for federally required audit services to require the contractor to
comply with OMB guidance on nonprocurement suspension and debarment in 2 CFR part 180, as
implemented by DoD regulations at 2 CFR part 1125.
8. Byrd Amendment anti-lobbying requirements. In each contract for an amount exceeding $100,000,
you must include a clause requiring the contractor to submit to you the certification and any
disclosure forms regarding lobbying that are required under 31 U.S.C. 1352, as implemented by the
DoD at 32 CFR part 28.
9. Purchase of recovered materials by States or political subdivisions of States. In each contract
under which the contractor may purchase items designated in Environmental Protection Agency
(EPA) regulations in 40 CFR part 247, Subpart B, you must include a clause requiring the contractor
to comply with applicable requirements in those EPA regulations, which implement section 6002 of
the Resource Conservation and Recovery Act of 1976, as amended (42 U.S.C. 6962).
10. Fly America requirements. In each contract under which funds provided under this award might be
used for international air travel for the transportation of people or property, you must include a clause
requiring the contractor to:
a. Comply with the International Air Transportation Fair Competitive Practices Act of 1974 (49
U.S.C. 40118, also known as the "Fly America” Act), as implemented at 41 CFR 301-10.131
through 301-10.143. The law and regulations provide that U.S. Government-financed
international air travel of passengers and transportation of personal effects or property must use a
U.S. Flag air carrier or be performed under a cost-sharing arrangement with a U.S. carrier, if such
service is available; and
b. Include the requirements of the Fly America Act in all subcontracts that might involve
international air transportation.
11. Cargo preference for United States flag vessels. In each contract under which equipment, material,
or commodities may be shipped by oceangoing vessels, you must include the clause specified in
Department of Transportation regulations at 46 CFR 381.7(b) to require that at least 50 percent of
equipment, materials or commodities purchased or otherwise obtained with Federal funds under this
40

---

award, and transported by ocean vessel, be transported on privately owned U.S.-flag commercial
vessels, if available.
12. Prohibition on Using Funds under Grants and Cooperative Agreements with Entities that
Require Certain Internal Confidentiality Agreements. You must include the provision provided in
Section B.1 of NP Article IV in Part 7 of these general terms and conditions in each contract under
this award.
13. Prohibition on certain telecommunications and video surveillance services or equipment. You
must include the provision provided in Section B.18 of NP Article IV in Part 7 of these general terms
and conditions in each contract under this award.
41

---

Part 4: Financial, Programmatic, and Property Reporting
(articles from this part are designated with “REP” in the article title)
REP Article I. Performance management, monitoring, and reporting. (SEPTEMBER 2023)
Section A. Required reporting form, format, or data elements for interim and final performance
reports.
1. You must report any changes in key personnel identified in award documents, including the current
and pending information. You must provide this information using the “Participants and Other
Collaborating Organizations” section of the Research Performance Progress Report (RPPR) package.
Section B. Frequency, reporting periods, and due dates for interim performance reports.
RESERVED Language in DoD Component addendum to these terms and conditions.
Section C. Due date and reporting period for final performance report.
1. Due date. You must submit the final performance report under this award no later than 120 calendar
days after the end date of the period of performance unless we approve an extension of that due date
as described in Section D of this article.
2. Reporting period. Final reports must be cumulative (i.e., each final report should cover the entire
period of performance under the award and not just the period since the previous interim performance
report).
Section D. Extensions of due dates. You may request extensions of the due dates that Sections B and C
of this Article specify for interim and final reports, respectively. You must provide the reasons for your
request, and we will consider approving extensions that are adequately justified.
Section E. Reporting significant developments. You must report the following information to us as soon
as you become aware of it:
1. Problems, delays, or adverse conditions that will materially impair your ability to meet the objectives
of this award. This disclosure must include a statement of the action taken, or contemplated, and any
assistance needed to resolve the situation.
2. Favorable developments which will enable you to meet schedules and objectives sooner or at less cost
than anticipated or produce more or different beneficial results than originally planned.
Section F. Performance reporting procedures. RESERVED - Language in DoD Component
addendum to these terms and conditions.
Section G. Site visits. We reserve the right to make site visits as warranted to monitor program
42

---

performance under this award.
REP Article II. Financial reporting. (SEPTEMBER 2017)
Section A. Required reporting form, format, or data elements for interim and final financial
reports. RESERVED - Language in DoD Component addendum to these terms and conditions.
Section B. Interim financial reports: frequency, reporting periods, and due dates. RESERVED -
Language in DoD Component addendum to these terms and conditions.
Section C. Final financial report. You must submit the final financial report under this award no later
than 120 calendar days after the end date of the period of performance.
Section D. Extensions of due dates. You may request extensions of the due dates that Sections B and C
of this Article specify for interim and final reports, respectively. You must provide the reasons for your
request, and we will consider approving extensions that are adequately justified.
Section E. Where and how to submit financial reports. RESERVED - Language in DoD Component
addendum to these terms and conditions.
REP Article III. Reporting on property. (SEPTEMBER 2017)
Section A. Real property. Paragraphs A.1 through A.4 apply to real property for which you are
accountable under this award, for as long as there is a federal interest in the property (whether that interest
is due to you or a subrecipient having acquired or improved the property under this award, or a transfer of
the accountability for the property to this award from another award).
1. Periodic status reports. You must submit periodic status reports, as follows:
a. Frequency and duration of reporting requirement. RESERVED - Only applicable if provided in
DoD Component addendum to these terms and conditions or award-specific terms and
conditions.
b. Due dates. RESERVED - Only applicable if provided in DoD Component addendum to these
terms and conditions or award-specific terms and conditions.
c. Other submission instructions. RESERVED - Only applicable if provided in DoD Component
addendum to these terms and conditions or award-specific terms and conditions.
2. Notifications of critical changes. You must notify the award administration office of any critical
change in the status of real property as soon as feasible after you become aware of it. A critical
change is any event with a significant adverse impact on the condition or value of the property, such
as damage due to fire; flood, hurricane, or other severe weather; earthquake; or accident.
43

---

3. Requests for disposition instructions. You must comply with applicable requirements in PROP
Article III to request disposition instructions, either during the period of performance or at closeout.
4. Closeout accounting. You must account to the award administration office for real property at the
time of closeout of the award, as required by Section D of OAR Article VI.
Section B. Equipment and supplies. Paragraphs B.1 through B.4 apply to equipment or supplies for
which you are accountable under this award and in which there is a federal interest (whether that interest
is due to you or a subrecipient having acquired or improved the property under this award, or a transfer of
the accountability for the property to this award from another award).
1. Periodic status report. There is no requirement for periodic reporting during the period of
performance.
2. Notifications of loss, damage, or theft. You must comply with applicable requirements in PROP
Article II governing your property management system to promptly notify the award administration
office of any loss, damage, or theft of equipment.
3. Requests for disposition instructions. You must comply with applicable requirements in PROP
Article IV to request disposition instructions for equipment, either during the period of performance or
at closeout.
4. Closeout accounting.
a. Equipment. You must account to the award administration office for equipment at the time of
closeout of this award, as required by Section D of OAR Article VI.
b. Supplies. If you have a residual inventory of unused supplies that meets the criteria specified in
paragraph E.2 of PROP Article IV, you must as part of your closeout accounting arrange with the
award administration office for the compensation that paragraph specifies for the Federal interest
in the supplies.
Section C. Federally owned property. Paragraphs C.1 through C.4 apply to federally owned property for
which you are accountable under this award.
1. Annual inventory. You must submit annually to the award administration office an inventory of
federally owned property.
2. Notifications of loss, damage, or theft. As provided in PROP Article II governing your property
management system, you must promptly notify the award administration office of any loss, damage, or
theft of federally owned property.
44

---

3. Requests for disposition instructions. You must comply with requirements in Section B of PROP
Article V to request disposition instructions, either during the period of performance or at closeout.
4. Closeout accounting. Your requests for disposition instructions for federally owned property, as
described in paragraph C.3 of this section, satisfy the need to account for federally owned property at
closeout (see Section D of OAR Article VI).
Section D. Intangible property. Paragraphs D.1 through D.3 apply to intangible property for which you
are accountable under this award.
1. Inventions developed under the award. You must submit all reports on subject inventions
developed under this award that are required by the modified Governmentwide patent rights award
provision specified in Section B of PROP Article VI, which include a disclosure of each subject
invention and a final report listing all such subject inventions.
2. Copyrights and data. You are not required to submit periodic reports about data produced under the
award or about works for which you acquired ownership under this award, either by development or
otherwise, and in which copyright was asserted. However, because the Federal Government has the
rights in the works and data that Sections A and C of PROP Article VI specify, you must provide
information about the works and data if we request it.
3. Intangible property acquired, but not developed or produced, under the award. You must
comply with requirements in Section D of PROP Article VI to request disposition instructions for
intangible property acquired, but not developed or produced, under the award.
REP Article IV. Reporting on subawards and executive compensation. (JANUARY 2021)
You must report information about subawards, and executive compensation as specified in the award
provision in appendix A to 2 CFR part 170, “Reporting subaward and executive compensation
information,” modified as follows:
1. To accommodate any future designation of a different Governmentwide Web site for reporting
subaward information, the Web site “http://www.fsrs.gov” cited in paragraphs a.2.i. and a.3 of the
award provision is replaced by the phrase “http://www.fsrs.gov or successor OMB-designated Web
site for reporting subaward information;”
2. To accommodate any future designation of a different Governmentwide Web site for reporting
executive compensation information, the Web site “http://www.sam.gov” cited in paragraph b.2.i. of
the award provision is replaced by the phrase “https://www.sam.gov or successor OMB-designated
Web site for reporting information on total compensation.”
45

---

Part 5: Other Administrative Requirements
(articles from this part are designated with “OAR” in the article title)
OAR Article I. Submitting and maintaining recipient information. (JANUARY 2021)
Section A. System for Award Management.
1. Unless you are exempted from this requirement in accordance with OMB guidance in 2 CFR 25.110,
you must maintain the currency of information about yourself in the system the Federal Government
specifies as the repository for information about its business partners (currently the System for Award
Management (SAM)). This includes information on your immediate and highest-level owner and
subsidiaries, as well as on all of your predecessors that have been awarded a federal contract or
Federal financial assistance within the last three years, if applicable.
2. You must maintain the information in that system until you submit the final financial report required
under this award or receive the final payment, whichever is later.
3. You must review and update the information at least annually after your initial registration in the
system (unless you are subject to the requirements in Section B) and more frequently if required by
changes in your information.
Section B. Reporting of Performance and Integrity Information.
1. General reporting requirement. If the total value of your currently active grants, cooperative
agreements, and procurement contracts from all Federal agencies exceeds $10,000,000 for any period
of time during the period of performance of this award, then during that period of time you must
maintain in SAM the currency of information required by paragraph B.2 of this section. Note that:
a. This reporting is required under section 872 of Public Law 110-417, as amended (41 U.S.C.
2313).
b. As required by section 3010 of Public Law 111-212, all performance and integrity information
posted in the designated information system on or after April 15, 2011, except past performance
reviews required for Federal procurement contracts, will be publicly available.
c. Recipient information is submitted to the OMB-designated integrity and performance system
through the SAM, as described in paragraph B.3 of this section. The currently designated
integrity and performance information system is the Federal Awardee Performance and Integrity
Information System (FAPIIS).
2. Proceedings about which you must report. Submit the information that the designated information
system requires about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative agreement, or procurement
46

---

contract from the Federal Government;
b. Reached its final disposition during the most recent 5-year period; and
c. Is one of the following:
i. A criminal proceeding that resulted in a conviction, as defined in paragraph B.5. of this
section;
ii. A civil proceeding that resulted in a finding of fault and liability and payment of a monetary
fine, penalty, reimbursement, restitution, or damages of $5,000 or more;
iii. An administrative proceeding, as defined in paragraph B.5. of this section, that resulted in a
finding of fault and liability and your payment of either monetary fine or penalty of $5,000 or
more or a reimbursement, restitution, or damages in excess of $100,000; or
iv. Any other criminal, civil, or administrative proceeding if:
(A) It could have led to an outcome described in paragraph B.2.c.i, ii, or iii of this section;
(B) It had a different disposition arrived at by consent or compromise with an
acknowledgment of fault on your part; and
(C) The requirement in this section to disclose information about the proceeding does not
conflict with applicable laws and regulations.
3. Reporting procedures. Submit the information required in paragraph B.2 of this section to the Entity
Management functional area of SAM.
a. Current procedures are to submit the information as part of the maintenance of your information
in the SAM that Section A of this article requires.
b. You do not need to submit the information again under this award if you already reported current
information to the SAM under another Federal grant, cooperative agreement, or procurement
contract.
4. Reporting frequency. During any period of time when you are subject to the requirement in
paragraph B.1 of this section, you must report to SAM at least semiannually following your initial
report of any information required in paragraph B.2 of this section, either to provide new information
not reported previously or affirm that there is no new information to report.
5. Definitions. For purposes of this section:
47

---

a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order to
make a determination of fault or liability (e.g., Securities and Exchange Commission
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed
Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and
State level but only in connection with performance of a federal contract, grant, or cooperative
agreement. It does not include audits, site visits, corrective plans, or inspection of deliverables.
b. Conviction means a judgment or conviction of a criminal offense by any court of competent
jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a
plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement contracts
includes:
i. Only the Federal share of the funding under any Federal agency award with a recipient cost
share or match; and
ii. The value of all expected funding increments and options, even if not yet exercised, under
each Federal agency award.
Section C. Disclosure of evidence of integrity-related issues.
1. Disclosure requirement. At any time during the period of performance of this award, if you have
evidence that a covered person committed a covered action (see paragraphs C.2 and C.3 of this
section) that may affect this award, you must disclose the evidence in writing to the Office of the
Inspector General, DoD, with a copy to the grants officer identified in the award cover pages.
2. Covered person. As the term is used in this section, covered person means a principal, employee, or
agent of either you or a subrecipient under this award, where:
a. Principal means:
i. An officer, director, owner, partner, principal investigator, or other person with management
or supervisory responsibilities that relate to this award; or
ii. A consultant or other person, whether or not employed by you or a subrecipient or paid with
funds under this award, who:
(A) Is in a position to handle funds under this award;
(B) Is in a position to influence or control the use of those funds; or
(C) Occupies a technical or professional position capable of substantially influencing the
48

---

development or outcome of an activity required to perform the project or program under
this award.
b. Agent means any individual who acts on behalf of, or who is authorized to commit you or the
subrecipient, whether or not employed by you or the subrecipient.
3. Covered action. As the term is used in this section, covered action means a violation of Federal
criminal law in Title 18 of the United States Code involving fraud, bribery, or a gratuity violation.
4. Safeguarding of the information.
a. To the extent permitted by law and regulation, we will:
i. Safeguard and treat information you disclose to us as confidential if you mark the information
as “confidential” or “proprietary.”
ii. Not release the information to the public in response to a Freedom of Information Act (5
U.S.C. 552) request without notifying you in advance.
b. We may transfer documents you provide to us to any other department or agency within the
Executive Branch of the Federal Government if the information relates to matters within that
organization’s jurisdiction.
OAR Article II. Records retention and access. (JANUARY 2021)
Section A. Records retention period. Except as provided in Sections B through D of this article:
1. You must keep records related to any real property and equipment acquired, in whole or in part, using
Federal funds under the award for 3 years after final disposition of the property. For any item of
exempt property with a current fair market value greater than $5,000, and for which final disposition
was not a condition of the title vesting, you must keep whatever records you need for as long as
necessary to ensure that you can deduct the Federal share if you later use the property in contributions
for cost sharing or matching purposes under any Federal award.
2. You must keep records related to rate proposals for indirect or facilities and administrative costs, cost
allocation plans, and supporting records such as indirect cost rate computations and any similar
accounting computations of the rate at which a particular group of costs is chargeable (such as
computer usage chargeback or composite fringe benefit rates) as follows:
a. If you are required to submit a proposal, plan, or other computations to your Federal cognizant
agency for indirect costs, as the basis for negotiation of a rate, you must keep the submissions and
all supporting records for 3 years from the date on which you were required to make the
submissions.
49

---

b. If you are not required to submit a proposal, plan, or other computation as the basis for
negotiation, you must keep the proposal, plan, other computation, and supporting records for 3
years from the end of the fiscal year or other accounting period covered by the proposal, plan, or
other computation.
3. You must keep other financial records, supporting documents, statistical records, and other records
pertinent to this award for a period of 3 years from the date you submit your final financial report
under the award.
Section B. Extensions of retention period due to litigation, claim, or audit.
1. If any litigation, claim, or audit begins before the end of the 3-year retention period specified in
Section A of this article and the final action related to the litigation, claim, or audit is not taken before
the end of that 3-year period, you must retain all records related to this award that may be involved in
the litigation, claim, or audit until all findings involving the records have been resolved and final
action taken.
2. We may disallow costs and recover funds under this award based on an audit or other review of
records during the record retention period, including any extension to that retention period that we
required in a written notification to you.
Section C. Records for program income earned after the end of the performance period. In
accordance with Section F of FMS Article VII, there are no requirements under this award applicable to
program income you earn after the end of the period of performance and therefore no associated records
retention requirements.
Section D. Records for joint or long-term use.
1. Joint use. To avoid duplicate recordkeeping for records that you and we both need to use on a
continuous basis, we may ask you to make special arrangements with us, by mutual agreement, to
make records available for joint and continuous use.
2. Long-term use. If we determine that some records will be needed longer than the 3-year period
specified in Section A of this article, we may request that you either:
a. Retain the records for a longer period of time; or
b. Transfer the records to our custody for long-term retention.
3. Retention requirements for transferred records. For any records transferred to our custody, you are
not subject to the records retention requirements in Section A of this article.
50

---

[Document continues — 48 more pages]

---

Attachment 3 -Data Management Plan DMP

Data Management Plan

If you do, attach your Data Management Plan to field 12 of the R & R Other Project Information Form.

Your “Data Management Plan” should be two (2) pages or less in length and discuss:

• The types of data, software, and other materials to be produced in the course of the project, and include a notation marking items that are publicly releasable;

• How the data will be acquired;

• Time and location of data acquisition if they are scientifically pertinent;

• How the data will be processed;

• The file formats and naming conventions that will be used;

• A description of the quality assurance and quality control measures during collection, analysis, and processing;

• If existing data are to be used, a description of their origins;

• A description of the standards to be used for data and metadata format and content;

• Plans and justifications for archiving the data;

• The timeframe for preservation; and

• If for legitimate reasons the data cannot be preserved, the plan must include a justification citing such reasons.

---

Attachment 4-SF424

Please wait...
If this message is not eventually replaced by the proper contents of the document, your PDF
viewer may not be able to display this type of document.
You can upgrade to the latest version of Adobe Reader for Windows®, Mac, or Linux® by
visiting http://www.adobe.com/go/reader_download.
For more assistance with Adobe Reader visit http://www.adobe.com/go/acrreader.
Windows is either a registered trademark or a trademark of Microsoft Corporation in the United States and/or other countries. Mac is a trademark
of Apple Inc., registered in the United States and other countries. Linux is the registered trademark of Linus Torvalds in the U.S. and other
countries.

---

Attachment 5-Security Program Questionnaire

SECURITY PROGRAM QUESTIONNAIRE

Objective: This questionnaire is used to review the security program and practices of the institutions receiving research funding.

Intended Audience/User: Completed by Contractor/Recipient; reviewed by S&T Protection Lead.

Date Submitted:

Applicant Name:

Cage Code/SCL and level (if applicable):

Completed by Name:

Position/Title:

• What are your physical security plans?

• What information security processes are in place?

• Where will information for this effort be stored? (examples: computers, cloud, file cabinets, etc.)

• What procedures are in place for transmission/transportation of information for this effort?

• What procedures are in place for disposal and destruction of information for this effort?

• What procedures are in place for reproduction of information for this effort?

• What safeguards are in place for personnel who can access information for this effort?

• What is the plan for safeguarding GFE/GFI?

• What procedures are in place for cybersecurity or network protection?

• What operations security processes are in place to prevent adversaries’ access to information for this effort or actions that would compromise your projects?

• What processes are in place to deter, detect, and mitigate actions of insider threat?

• What procedures are in place to handle if information for this effort is compromised?

• Are you willing to provide AFRL S&T Protection training to all personnel with access annually?

Additional comments:

---

RDK-RAD-FOA-2024 Solicitation

DEPARTMENT OF THE AIR FORCE
AIR FORCE RESEARCH LABORATORY
KIRTLAND AIR FORCE BASE NEW MEXICO
AFRL RV/RD University Assistance Instrument Program
Funding Opportunity Announcement (FOA)
FUNDING OPPORTUNITY NUMBER: RDK-RAD-FOA-2024
FUNDING OPPORTUNITY ANNOUNCEMENT TITLE: Research and Development (RAD)
Directed Energy (RD) University Assistance Instruments
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER(S): 12.800 Air
Force Defense Research Sciences Program
FEDERAL AGENCY NAME: Air Force Research Laboratory (AFRL) Directed Energy (RD)
Directorates; Kirtland AFB, NM
Announcement Type and Key Dates:
Announcement Type Key Dates and Times
FOA Issue Date JULY 18, 2024, 4:00 PM Eastern Standard Time
Final Submission Deadline for Letters of JULY 18, 2029, 4:00 PM Eastern Standard Time
Intent
INTRODUCTION: This is a five-year open Funding Opportunity Announcement (FOA)
accepting Letters of Intent from the date of publication for award of grants and cooperative
agreement assistance instruments, with a ceiling of $49M. Once the announcement has reached
the end of the 5-year period, or ceiling has been met prior to the 5-year period, the announcement
will be closed.
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application if letter of intent is selected. Only invited applicants will be eligible to
submit a full application. Letters of intent may be submitted at any time during this 5-year period
and are evaluated as they are received. Prior to submitting a full application, Recipients are
required to submit a Letter of Intent to the Contracting Points of Contact (POCs) listed in Section
V - Federal Awarding Agency Contact(s). Should a full application be requested, they must be
submitted electronically through the Valid Eval portal
at https://usg.valideval.com/teams/afrl_rad/signup. No hard copy submissions will be accepted.
This FOA will be evaluated on an annual basis. It is the applicant’s responsibility to periodically
check this FOA for any amendments that may modify the announcement, as amendments can
happen at any time. Amendments to the original funding opportunity announcement (FOA) will
be posted to the Grants.gov Webpage: https://www.grants.gov/.
RDK-RAD-FOA-2024
Page 1 of 21

---

BACKGROUND: The Air Force Research Laboratory Directed Energy Directorate (RD) is the
Department of the Air Force's Center of Expertise for directed energy and optical technologies.
The Directorate develops and transitions technologies in four core technical competencies: Laser
Systems, Directed Energy and Electro-Optics for Space Superiority, High Power
Electromagnetics, and Weapons Modeling, Simulation, and Analysis. This five-year, open FOA
is for soliciting research applications for Basic, Applied, and Advanced Research in the Core
Technical Competencies (CTCs) described above. Multiple awards of assistance instruments are
anticipated with periods of performance ranging from one to five years. All funding is subject to
change due to Government discretion and availability. Potential offerors should be aware that,
due to unanticipated budget fluctuations, funding may change with little or no notice. There are
no limits to the number of Letters of Intent an applicant may submit for this FOA. The
Government reserves the right to make multiple awards or no awards pursuant to this
announcement.
RDK-RAD-FOA-2024
Page 2 of 21

---

TABLE OF CONTENTS:
Section I- Funding Opportunity Description
A. Program DescriptionError! Bookmark not defined.
B. Directed Energy CTC Topics
Section II- Federal Award Information
A. Submission Due Date and Time
B. Criteria
C. Type of Award Instrument
D. Review and Selection Process
Section III- Eligibility Information
A. Eligible Applicants
B. Cost Sharing or Matching
C. Classification
Section IV- Application and Submission Information
A. Pre Application Letter of Intent (Mandatory)
B. Address to Request Application Package
C. Content and Form of Application Submission
D. Unique entity identifier and System for Award Management (SAM)
E. Funding Restrictions
F. Other Submission Requirements
Section V - Application Review Information
A. Federal Award Notices
B. Other Information
C. Reporting
D. Federal Awarding Agency Contact(s)
RDK-RAD-FOA-2024
Page 3 of 21

---

SECTION I: FUNDING OPPORTUNITY DESCRIPTION
A. Program Description
AFRL RD is seeking unclassified applications that do not contain proprietary information.
Proprietary information is defined as information that is not public knowledge and that is
viewed as the property of the holder. Proposed research should be fundamental research. As
defined in the National Security Decision Directive 89, “Fundamental Research means basic
and applied research in science and engineering, the results of which ordinarily are published
and shared broadly within the scientific community, as distinguished from proprietary
research and from industrial development, design, production, and product utilization, the
results of which ordinarily are restricted for proprietary or national security reasons.”
Applications shall be in accordance with Department of Defense (DoD) Directive 5230.24
and DoD Instruction 5230.27 and 32 CFR § 22.105 that further defines Basic, Applied and
Advance Research as follows:
a) Basic Research. Efforts directed toward increasing knowledge and understanding in
science and engineering, rather than the practical application of that knowledge and
understanding. It is funded within Basic Research (Budget Activity 1 and Research
Category 6.1) programs within Research, Development, Test and Evaluation
(RDT&E). For the purposes of this part, basic research includes:
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
b) Applied Research. Efforts that attempt to determine and exploit the potential of
scientific discoveries or improvements in technology such as new materials, devices,
methods, and processes. It is funded in Applied Research (Budget Activity 2 and
Research Category 6.2) programs within Research, Development, Test and
Evaluations (RDT&E). Applied research normally follows basic research but may not
be fully distinguishable from the related basic research. The term does not include
efforts whose principal aim is the design, development, or testing of specific
products, systems, or processes to be considered for sale or acquisition; these efforts
are within the definition of “development.”
32 CFR § 22.105 further defines fundamental research regarding 6.1 and 6.2 funding
in a comparison to Basic and Applied Research as follows:
c) Advanced Research. Advanced technology development that creates new
technology or demonstrates the viability of applying existing technology to new
products and processes in a general way. Advanced research is most closely
analogous to precompetitive technology development in the commercial sector (i.e.,
early phases of research and development on which commercial competitors are
RDK-RAD-FOA-2024
Page 4 of 21

---

willing to collaborate, because the work is not so coupled to specific products and
processes that the results of the work must be proprietary). It does not include
development of military systems and hardware where specific requirements have
been defined. It is typically funded in Advanced Technology Development (Budget
Activity 3 and Research Category 6.3) programs within Research, Development, Test
and Evaluation (RDT&E).
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
B. Directed Energy CTCs:
The AFRL Directed Energy Directorate is interested in receiving applications under this
announcement to establish assistance agreements with U.S. /U.S. territories’ colleges and
universities for directed energy-related basic, applied, and advanced research projects that
provide a public purpose and are of interest to the Department of Defense mission. The scope
of the research will include the entire spectrum of directed energy technology applicable to the
Air Force, including all tangentially related directed energy. The research shall include, but
not be limited to the following Core Technical Competencies (CTCs): Laser Systems, Directed
Energy and Electro-Optics for Space Superiority, High Power Electromagnetics, and Weapons
Modeling, Simulation, and Analysis. The research activities managed within each CTC are
summarized below.
1. Laser Systems: This includes solid-state, fiber, and hybrid laser sources for scalable, high
energy laser devices. This also includes advanced beam control, laser effects, and predictive
modeling for laser subsystems, systems, propagation, and target vulnerability.
2. Directed Energy and Electro-Optics for Space Superiority: This includes advanced optical
and imaging technologies such as optical components, optical coatings, advanced beam control,
atmospheric compensation, adaptive optics, and pointing and tracking specifically for tracking
and imaging space objects from ground-based telescopes, as well as free space quantum
communication and networking.
3. High Power Electromagnetics: This includes generation and transmission of high-power
microwaves (HPM), identification of the susceptibility and vulnerability of electronic systems to
HPM, and applications of HPM to meet national defense needs. Technologies include HPM
sources, pulsed power, high energy beam and plasma physics, and full system, High
Performance Computing-enabled numerical simulation.
4. Weapons Modeling, Simulation, and Analysis: This includes computer simulation/analysis
of directed energy and kinetic weapons concepts at the mission level and development of
coupled computation models for Directed Energy concept analysis.
RDK-RAD-FOA-2024
Page 5 of 21

---

SECTION II: Federal Award Information
A. Submission Dates and Times:
Letter of Intent may be submitted any time from the FOA issue date, until the final submission
deadline for letters of intent. Prior to submitting an application, Applicants are required to submit
a Letter of Intent to the Points of Contact (POCs) listed in Section V (D.) – Federal Awarding
Agency Contact(s), which will then be reviewed for potential selection, to submit a full
application.
Final Submission Deadline for Letters of Intent 18 July 2029, no later than 4:00 PM EST.
Letters of Intent and/or Applications received after the Final Submission Deadline will be
deemed late and will not be accepted for review. Applicants are encouraged to transmit Letters of
Intent well before the deadline. Subsequent applications must be submitted electronically
through the Valid Eval at https://usg.valideval.com/teams/afrl_rad/signup.
B. Criteria:
Applications submitted under this FOA are evaluated through merit-based competitive
procedures in accordance with 32 CFR § 22.315. Applications may be evaluated by the
appropriate AFRL Technology Departments, and other military services. The evaluation criteria
are listed in descending order of importance. No further evaluation criteria will be used to
evaluate applications. The technical and budget proposals will be evaluated at the same time.
The Government reserves the right to award all, part, or none of the technical/C-SOW
applications received. The Agreements Officer is the only official authorized to make award,
which will be made IAW 2 CFR.
The evaluation criteria are listed in descending order of importance:
1. Technical merits of the application research and development such as creativity,
innovation, feasibility, and efficacy to achieve the CTC Topic Area objectives under this
FOA.
• The quality of the program’s plan to execute proposed activity and assess
effectiveness of the program and participant outcomes;
• The Applicant’s capabilities, related experience, facilities, techniques or unique
combinations of these which are integral factors for achieving the application
objectives;
• The qualifications, capabilities and experience of the proposed Project Director /
Principal Investigator, team leader and key personnel who are critical to achieving the
application objectives.
2. Potential relevance and alignment of the proposed research and development to the
Department of Defense missions.
RDK-RAD-FOA-2024
Page 6 of 21

---

3. Cost - Applications shall be complete, reasonable, and realistic. The availability of funds
to support the effort and long-term sustainability of the project will be considered.
C. Type of Award Instrument:
Awards made under this announcement will fall under the purview of 2 CFR Part 200 Grants
and Agreements and 32 CFR Part 21 Department of Defense Grants and Agreements
Regulations (DoDGAR). The Government (AFRL) reserves the right to award all, part, or none
of the applications in response to this announcement. The Government provides no funding for
reimbursement of application development costs. This FOA is intended for applications that
provide strategic solutions that meet the evaluation criteria specified in this FOA. Awards will
take the form of grants and cooperative agreements. Cooperative Agreements allow for
“substantial involvement” between the Federal awarding agency or pass-through entity and the
non-Federal entity in carrying out the activity contemplated by the Federal award. Any
assistance instrument awarded under this announcement will be governed by the award terms
and conditions that conform to guidance in 2 C.F.R. 200, Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards.
The Government reserves the right to cancel this announcement, either before or after the closing
date. In the event the Government cancels this solicitation, or a Recipient is not selected for an
award, the Government is under no obligation to pay for any costs associated with preparing or
applying to this FOA.
The Government will not issue paper copies of this announcement. A formal Request for
Applications, solicitation, and/or additional information regarding this announcement will not be
issued.
In accordance with 31 U.S.C 6302, 6304 and 31 U.S.C. 6305:
• Grant is a legal instrument which, consistent with 31 USC 6302, and 6304, is used to
enter a relationship:
a. Of which the principal purpose is to transfer a thing of value to the recipient to carry
out a public purpose of support or stimulation authorized by a law of the United
States, rather than to acquire property or services for the DoD’s direct benefit or use.
b. In which substantial involvement is not expected between DoD and the recipient
when carrying out the activity contemplated by the award.
• Cooperative agreement is a legal instrument which, consistent with 31 USC 6302-6305,
is used to enter the same kind of relationship as a grant (see definition of “grant” in this
part above), except that substantial involvement is expected between the DoD and the
recipient when carrying out the activity contemplated by the cooperative agreement. The
term does not include “cooperative research and development agreements” as defined in
15 U.S.C. 3710a.
The Air Force reserves the right to award the instrument best suited to the nature of the
research proposed. It is anticipated the awards will be made in the form of cost-reimbursement
(no fee) grant and cooperative agreement awards, which require the successful offerors to have
an approved accounting system considered adequate for tracking costs applicable to the award.
RDK-RAD-FOA-2024
Page 7 of 21

---

The Government reserves the right to award all, part, or none of the applications in response to
this announcement.
It is anticipated that awards under this FOA will be administered in accordance with the non-
Federal entity’s preexisting internal accounting policies and practices. However, the accounting
practices of the non-Federal entity must be consistent with Cost Accounting Standards and must
provide adequate documentation to support costs charged to the Federal Government.
D. Review and Selection Process
The Selection Process will be conducted in two steps: First reviewing the Mandatory Letter of
Intent that shall be submitted prior to a full application. The Letter of Intent will be reviewed in
coordination with the Grants and Agreements Officer and designated Program Manager(s). After
review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer in writing to proceed and submit a Full Application through Valid Eval.
AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient. In the
case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer to NOT submit a Full Application through Valid Eval. If your Letter of
Intent is selected, you will then be instructed in writing by the Grants and Agreements Officer to
proceed to the second step of submitting a full application through Valid Eval. Only invited
applicants will be eligible to submit a full application.
SECTION III- Eligibility
A. Eligible Applicants
This competition is open to accredited U.S. institutions of higher education with degree granting
programs in science, mathematics, and/or engineering except for-profit educational institutions.
All proposed grants or cooperative agreements must meet criteria for public purpose in
accordance with 32 CFR 22.205. U.S and U.S. territory educational institutions are reminded that
any applications submitted in response to this announcement must stimulate or support a public
purpose (i.e. to aid), rather than acquisition (i.e. to acquire goods or services for direct benefit of
the United States Government).
Applications must substantially comply with the application submission instructions identified in
(Section IV - Submitting the Application) or they will be rejected. Any application pages more
than the allowable 20-page limitation will not be reviewed.
To assess risk posed by applicants, we review your application and Office of Management and
Budget (OMB) designated repositories of government-wide public and non-public data,
including comments you have made, as required by 31 U.S.C. 3321 and 41
U.S.C. 2313 and described in 2 CFR 200.205 and 32 CFR 22.410 to confirm you are qualified,
responsible, and eligible to receive an award.
B. Cost Sharing or Matching
Cost sharing is not required under this FOA. You are not prohibited from including voluntary
RDK-RAD-FOA-2024
Page 8 of 21

---

committed cost sharing or matching in your application. Cost sharing or matching is not an
evaluation factor.
C. Classification.
The only applications that will be accepted will be those that are unclassified and that do not
contain proprietary information. Proprietary information is defined as information that is not
public knowledge and that is viewed as the property of the holder. Proposed research should be
fundamental research. Fundamental Research means basic and applied research in science and
engineering, the results of which ordinarily are published and shared broadly within the
scientific community, as distinguished from proprietary research and from industrial
development, design, production, and product utilization, the results of which ordinarily are
restricted for proprietary or national security reasons.
SECTION IV - Submitting the Application
A. Pre-application Requirement: Letter of Intent (Mandatory)
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application. Only invited applicants will be eligible to submit a full application. All
applicants should be aware of the following:
Prior to submitting your application through Valid Eval, applicants are required to submit via e-
mail a Letter of Intent to the designated Grants and Agreements Officer and Contracting
Specialist listed in Section V - Federal Awarding Agency Contact(s). The letters should not
contain any proprietary or sensitive business information. Applicants are responsible for ensuring
receipt of the Letter of Intent by the Grants and Agreements Officer or Contracts Specialist.
The Letter of Intent shall not exceed two (2) pages and at a minimum provide the following
details:
1. CTC Topic
2. ROM Estimate
3. Short Description of the Technical Effort
4. Period of Performance
5. Public Purpose
6. Contacts for University
7. Cage Code
NOTE: Applications submitted without prior submission of a Letter of Intent, will NOT be
considered for the proposed effort. Submission of a Letter of Intent does not warrant or guarantee
for a successful application or Award. If a Letter of Intent is not to be considered for request of a
full application, the applicant will be notified of non-select by the Grants and Agreements
Specialist or Grants and Agreements Officer.
Letter of Intent Review and Notification
The Letter of Intent will be evaluated in coordination with the Grants and Agreements Officer
RDK-RAD-FOA-2024
Page 9 of 21

---

and designated Program Manager(s). This procedure is intended to minimize unnecessary efforts
in application preparation and inform Recipients of availability of funds. The Letter of Intent will
be reviewed within ten (10) working days of receipt. Applicants may be contacted by the Grants
and Agreements Officer, as well as the Program Manager(s) to discuss the proposed effort in the
Letter of Intent.
After review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer in writing to proceed and submit a Full Application through Grants.gov
NOTE: AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient.
In the case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer to NOT submit a Full Application through Grants.gov.
B. Address to Request Application Package
Electronic Submission – After being notified of selection on a Letter of Intent by the Grants
Officer, full applications shall be submitted through Valid Eval at
https://usg.valideval.com/teams/afrl_rad/signup. Any full application not submitted through
Valid Eval will result in being disqualified for potential award. Forms are available at
Grants.gov. In the Grants.gov search function, enter the funding opportunity number for this
announcement (RDK-RAD-FOA-2024). The forms will also be available within the
attachments of the solicitation.
SF 424 Research and Related (R&R) - The SF 424 (R&R) must be used as the cover page
for all applications. Complete all required fields in accordance with form instructions for the
specified Mandatory fields, which will have an asterisk marking the field and will appear
yellow on most computers. In Grants.gov, some fields will self- populate based on the
FOA selected. Complete the SF 424 (R&R) first, as some fields on the SF 424 are used
to auto populate fields in other forms. The completion of most fields is self-explanatory
except for the following special instructions:
• Certification/Unique Agency Attachments: All awards require certifications of
compliance with national policy requirements and unique agency requirements or
assistance awards, i.e., grants, proposers using the SF 424 (R&R) are providing the
certification required by 32 CFR § 28 regarding lobbying.
Research and Related (R&R) Other Forms: The following other forms must be used for
applications:
DoD Women in Science, Technology, Engineering, and Mathematics Data Collection
Implementation:
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. A§
1681 Et. Seq.), the Department of Defense is collecting certain demographic and career
information to be able to assess the success rates of women who are proposed for key roles in
applications in STEM disciplines. To enable this assessment, each application must include the
following forms completed as indicated.
RDK-RAD-FOA-2024
Page 10 of 21

---

Research and Related Senior/Key Person Profile (Expanded) form:
The Degree Type and Degree Year fields on the Research and Related Senior/Key Personnel
Profile (Expanded) form will be used by DoD as the source for career information. In addition
to the required fields on the form, applicants must complete these two fields for all individuals
that are identified as having the project role of PD/PI or CO-PD/PI on the form. Additional
senior/key persons can be added by selecting the “Next Person” button.
Research and Related Personal Data Form:
This form will be used by DoD as the source of demographic information, such as gender, race,
ethnicity, and disability information for the Project Director/Principal Investigator and all other
persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must
include this form with the name fields of the Project Director/Principal Investigator and any
Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the
demographic information in the form is voluntary. If completing the form for multiple
individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the
“Next Person” button. The demographic information, if provided, will be used for statistical
purposes only and will not be made available to merit reviewers. Applicants who do not wish
to provide some or all the information should check or select the “Do not wish to provide”
option.
The R&R Sub award Budget Attachment Form:
Is required when sub awardees are involved in the effort. Prime recipients shall ensure sub
recipients’ cost information reflects the same level of detail as the primes’ cost information.
The format shall follow the Prime’s submission as well. See section IV. 3. (j.) R&R Budget
Form for detail on submission of the Prime’s budget information.
The SF-LLL form:
Is required when applicants have lobbying activities to disclose. PDF forms may be
obtained at the Grants.gov website. Standard Form – LLL, ‘Disclosure of Lobbying
Activities’ is in the down-loaded forms package.
R&R Project/Performance Site Locations Form:
Complete all information as requested.
R&R Other Project Information Form:
Human Subject/Animal Use and Environmental Compliance.
(a) Human Subject Use- Each application must address human subject involvement in the
research by addressing the appropriate fields shown on the R&R Other Project Information Form.
If selected for award, additional documentation in accordance with U.S. Air Force standards
will be required.
(b) Animal Use- Each application must address animal use protocols by addressing the
appropriate fields shown on the R&R Other Project Information Form. If selected for award,
RDK-RAD-FOA-2024
Page 11 of 21

---

additional documentation in accordance with U.S. Air Force standards will be required.
(c) Environmental Compliance- Federal agencies making assistance awards and recipients of
such awards must comply with various environmental requirements. The National
Environmental Policy Act of 1969 (NEPA), 42 U.S.C. Sections 4321- 4370 (a), requires that
agencies consider the environmental impact of “major Federal actions” prior to any final
agency decision. With respect to those awards which constitute “major Federal actions,” as
defined in 40 CFR § 1508.18, federal agencies may be required to comply with NEPA and
prepare an environmental impact statement (EIS) even if the agency does no more than aid
funds to the recipient. Questions regarding NEPA compliance should be referred to the
applicable AFRL Program Manager. Most research efforts funded by AFRL will, however,
qualify for a categorical exclusion from the need to prepare an EIS. U.S. Air Force
instructions/regulations provide for a categorical exclusion for basic and applied scientific
research usually confined to the laboratory, if the research complies with all other applicable
safety, environmental and natural resource conservation laws. Each application shall address
environmental impact by addressing the appropriate fields shown on the R&R Other Project
Information Form. This information will be used by AFRL to decide if the proposed research
effort qualifies for categorical exclusion.
Abstract:
Include a concise (not to exceed 300 words) (publicly releasable) abstract describing the
research objective, technical approaches, anticipated outcome and impact of the specific
research, and public purpose in accordance with 32 CFR §22.205. In the header of the
abstract include the CTC POC’s name. Attach the Abstract to the R&R Other Project
Information form in the appropriate field.
R&R Other Project Information Form - Project Narrative Instructions:
(a) Project Narrative – Clearly describe the research, objective, and approach to be
performed. Discuss the nature of the expected results. Additionally, state knowledge in the
field and include a bibliography and a list of literature citations. Identify and describe how
the effort will aid assistance that will stimulate or support a public purpose. The adequacy
of this information will influence the overall evaluation. Refer to the evaluation criteria
listed in Section II (B.) Criteria of this announcement. Also briefly indicate whether the
intended research will result in environmental impacts outside the laboratory, and how the
proposer will ensure compliance with environmental statutes and regulations. Attach the
application narrative to the R&R Other Project Information form in the appropriate field.
(b) Project Narrative - Statement of Work:
Offeror/applicant must submit a document entitled “Contractor Statement of Work” (C-
SOW) describing the actual technical tasks/subtasks to be completed, including goals and
objectives, and a detailed description of the approach for each. This C-SOW will be
incorporated into the award instead of incorporating the entire technical proposal. Active
verbs should be used in this statement of work (i.e., “conduct” research into a topic,
“investigate” a problem, “determine” to test a hypothesis). The C-SOW should not
contain proprietary information.
RDK-RAD-FOA-2024
Page 12 of 21

---

(c) Project Narrative - Research Effort:
Describe in detail the research to be performed. State the objectives and approach and
their relationship and comparable objectives in progress elsewhere. Additionally, state
knowledge in the field and include a bibliography and a list of literature citations. Discuss
the nature of the expected results. The adequacy of this information will influence the
overall evaluation. Applications for renewal of existing support must include a
description of progress if the proposed objectives are related.
(d) Project Narrative - Principal Investigator (PI) Time:
List the estimated time the PI and other senior professional personnel will devote to the
research. This shall include information pertaining to other commitments of time, such as
sabbatical or extended leave; and proportion of time to be devoted to this research
and to any other research. Awards may be terminated when the principal investigator
severs connections with the organization or is unable to continue active participation in
the research. State the number of graduate students for whom each senior staff member
is responsible. If the principal investigator or other key personnel are currently engaged
in research under other patronages, or expect to receive support from other agencies for
research during the time proposed for AFRL support, state the title of the other research,
the proportion of time to be devoted to it, the amount of support, name of agency, dates,
etc. Send any changes in this information as soon as they are known. Submit a short
abstract (including title, objectives, and approach) of that research and a copy of the
budget for both present and pending research projects.
(e) Project Narrative – Facilities:
Describe facilities available for performing the proposed research and any additional
facilities or equipment the organization proposes to acquire at its own expense. Indicate
government-owned facilities or equipment already possessed that will be used. Reference
the facilities contract number or, in the absence of a facilities contract, the specific
facilities or equipment and the number of the award under which they are accountable.
(f) Project Narrative – Special Test Equipment:
List special test equipment or other property required to perform the proposed research.
The Government will not provide special test equipment. When possible and practicable,
give a description or title and estimated cost of each item. When information on
individual items is unknown or not available, group the items by class and estimate the
values. In addition, state why it is necessary to acquire the property with award funds.
(g) Project Narrative – Equipment:
Justify the need for each equipment item. Additional facilities and equipment will not be
provided unless the research cannot be completed by any other practical means. Include
the proposed life expectancy of the equipment and whether it will be integrated with a
larger assemblage or apparatus. If so, state who owns the existing apparatus.
R&R Budget Form:
Estimate the total research project cost. Budget detail should clearly identify costs, which are
internal to the offeror and those that are used in pursuit of the objectives such as
RDK-RAD-FOA-2024
Page 13 of 21

---

scholarships, training, course preparation, etc. Categorize funds by year and provide separate
annual budgets for projects lasting more than one year. In addition to the Research and Related
Budget forms available on Grants.gov, the budget proposal should include a budget
justification for each year, clearly explaining the need for each item. Applicants who enter a
fee on Part J of the budget will not be eligible to receive a grant or cooperative agreement.
Attach the budget justification to Section K of the R&R Budget form.
C. Content and Form of Application Submission
Full Applications and Submission Information:
Applications must be submitted through Valid Eval to be considered for award.
Submit electronic applications through Valid Eval at:
https://usg.valideval.com/teams/afrl_rad/signup. The electronic submission of the application
must be made by an official representative of the institution who is registered with Grants.gov
and is authorized to sign applications for federal assistance.
Problems completing the registration process call Grants.gov at 1-800-518-4726 or send an email
to support@grants.gov.
Problems completing the application submittal process, email Valid Eval at
support@valideval.com.
The Government seeks only Full Applications that:
(1) Have submitted a Letter of Intent to the Grants and Agreements Officer and Contracting
Specialist,
(2) Have received in writing a notification from the Grants and Agreements Officer to proceed
with a Full Application through Valid Eval, and
(3) Meet the eligibility requirements of Section III - Eligibility.
Full applications must conform to the following form and content requirements, including
maximum page lengths (described below) and must be submitted via Valid Eval. AFRL will not
extend deadlines for Recipients who fail to submit required information and documents due to
technological issues.
For more detailed instructions on creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/registration/add- profile.html.
The application must conform to the following requirements:
• Full Application Format (PDF);
• Paper Size – 8.5 x 11-inch paper
• Margins – 1 inch
• Spacing – single or double spaced
• Font – Times New Roman 12 point
• Page Limitation –Technical proposals shall not exceed twenty (20) pages. This includes
cover page, charts, graphs, maps, and photographs when printed using the formatting
RDK-RAD-FOA-2024
Page 14 of 21

---

requirements set forth above and single spaced. Page numbers must be included in the
footer of every page. References must be included as footnotes or endnotes in a font size
of 10. Footnotes and endnotes are counted toward the maximum page requirement.
• Unnecessarily elaborate applications are not desirable.
• Attachments – submit in PDF format (Adobe Portable Document Format)
• Cover Page should include AFRL Address, but not limited to the following: AFRL
RDKP (Attn: Ms. Mariah Salazar); RDK-RAD-FOA-2024
• Main Topic Area (Reference CTC Topic you will be submitting to)
The recipient shall apply describing the proposed research project’s:
(1) objective,
(2) general approach,
(3) public purpose in accordance with 32 CFR § 22.205, and 22.215 and
(4) impact on Department of Defense (DoD) mission. The application shall also contain any
unique capabilities or experience you may have (e.g., U.S. Air Force, DoD, or other Federal
laboratory).
Conferences and Workshops:
The Government understands that it is essential for the scientific community to maintain clear
lines of communication for thorough and well- reasoned research to be accomplished. One
conference or workshop may be allowed for each proposed assistance agreement. Conferences
and workshops have proven to be extremely valuable tools for AFRL. They allow our technical
managers the opportunity to receive current information in their respective disciplines. They
also allow AFRL the opportunity to inform the research community of the current thrust of
AFRL's programs. Conferences and workshops constitute key forums for research and
technology interchange. AFRL’s financial support through appropriate financing vehicles for
conferences and workshops is dependent on the availability of funds, Program Officer’s
discretion, and certain other restrictions including:
AFRL/RD support for a workshop or conference is not to be considered as an endorsement of
any organization, profit or non-profit. The subject matter of the conference or workshop is
scientific, technical, or involves professional issues that are relevant to the purpose of the
technical description of the grant or cooperative agreement.
Applications should include the following for all proposed conferences and workshops:
Conference/Workshop Information:
• Summary indicating the objective(s) of the conference/workshop
• Title, location, and date(s) of the conference/workshop
• Explanation of how the conference/workshop will relate to the research interests of
AFRL identified in Section III of the Funding Opportunity Announcement (FOA)
• List of proposed participants and method (or copies) of announcement or invitation
RDK-RAD-FOA-2024
Page 15 of 21

---

• Include cost information for the proposed conference/workshop (in addition to
information required on SF 424 (R&R) Budget forms)
Applications shall provide cost information in accordance with Attachment 1, Budget
Application Instructions-Assistance Instruments.
If selected for negotiation of an award, the Government reserves the right to request additional or
clarify information for any reason deemed necessary, including, but not limited to:
● Indirect cost information
● Other budget information or financial breakdown information
● Project Narrative details or technical proposal information
● Key Personnel
● Data Management Plan
D. Unique entity identifier and System for Award Management (SAM)
Registering for SAM.GOV
Read the instructions below about registering to apply for administering agency’s funds.
Applicants should read the registration carefully and prepare the information requested before
beginning the registration process. Reviewing and assembling the required information before
beginning the registration process will alleviate last minute searches for required information.
Creating a Grants.gov account can be completed online in minutes, but SAM registrations may
take several weeks to complete. Therefore, registration should be done in sufficient time to
ensure it does not impact your ability to meet required application submission deadlines.
Register with SAM:
Registrations in SAM now include the acceptance of Certifications and Assurances. Entities
creating new registrations and existing entities completing their annual registration renewals will
be required to review financial assistance representations and certification before their
registration can be activated.
Unique Entity Identifier (UEI) Number will also be given upon SAM registration.
Registration must be renewed annually. Unless exempted by 2 CFR § 25.110 all applicants must
(1) Be registered in the System for Award Management (SAM) prior to award;
(2) Maintain an active SAM registration with current information at all times during which it has
an active Federal award or an application under consideration by an agency.
Federal Awardee Performance and Integrity Information System (FAPIIS)
Per 41 U.S.C. 2313, as implemented 2 CFR § 200.205, prior to making an award above the
simplified acquisition threshold, this office is required to review and consider any information
available through the designated integrity and performance system (currently FAPIIS). Awardees
can comment on any information about themselves entered in the database, and this office will
consider any comments, along with other information in FAPIIS or other systems prior to
making an award. Government-wide policy on the use of the Federal Awardee Performance and
Integrity Information System (FAPIIS) within SAM facilitate the agencies’ processes for
judging proposed applicants to be qualified to receive an assistance award. AFRL may not
RDK-RAD-FOA-2024
Page 16 of 21

---

award to an applicant until the applicant has complied with all applicable unique entity identifier
and SAM requirements. If an applicant has not fully complied with the requirements by the time
the Federal awarding agency is ready to make a Federal award, the Federal agency may
determine that the applicant is disqualified.
E. Funding Restrictions:
Funds are not presently available for this effort. No award will be made under this
announcement until funds are available. The Government reserves the right to cancel the
announcement, either before or after the closing date. In the event the Government cancels the
announcement, the Government has no obligation to reimburse an offeror for any costs.
The U.S. Government does not guarantee an award in each topic area. Further, be advised that as
funds are limited, otherwise meritorious applications may not be funded. Therefore, it is
important that applications show strength in as many of the evaluation area as practicable for
maximum competitiveness.
Availability of Funds.
Funding for all awards and future budget periods are contingent upon the availability of funds
appropriation for the purpose of this effort and the availability of future-year budget authority.
Resultant awards will not allow reimbursement of pre-federal award costs.
Cost Principles.
Costs must be allowable, allocable, and reasonable in accordance with the applicable Federal
cost principles referenced in 2 CFR part 200 and FAR Part 31.
Pre-Award Costs.
Pre-award costs are incurred at the applicant’s risk. The Government is under no obligation to
reimburse such costs if for any reason the applicant does not receive an award, or if the award is
made for an amount less than the applicant’s expectation. Requests for Pre-Award Costs will be
submitted to the Grants Officer for review and consideration of approval.
Performance of Work in the United States.
All work performed under this FOA must be performed in the United States. If the prime
applicant fails to comply with the Performance of Work in the United States requirement, AFRL
may deny reimbursement for the work conducted outside the United States and such costs may
not be recognized as allowable.
Foreign Travel.
Foreign travel costs are not allowable under this FOA unless approval has been granted by the
Grants and Agreements Officer.
DoD Directive 5230.24 and DoD Instruction 5230.27 define contracted fundamental
research in a DoD context as follows:
“Contracted Fundamental Research. Includes [research performed under] grants and contracts
that are (a) funded by budget Category 6.1 ("Research"), whether performed by universities or
industry or (b) funded by budget Category 6.2 ("Exploratory Development") and performed on-
RDK-RAD-FOA-2024
Page 17 of 21

---

campus at a university. The research shall not be considered fundamental in those rare and
exceptional circumstances where the 6.2-funded 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 contract
or grant."
F. Other Submission Requirements
Science & Technology (S&T) Program Protection: Interested Recipients shall include a
requirement for submission of:
1.) A completed Standard Form (SF 424), Research and Related Senior/Key Person Profile
(Expanded) Form (This form can be found under Forms Tab on Grants.gov site) for all
Senior/Key Personnel proposed; and
2.) A Completed Security Program Questionnaire (See Attachments). Offerors may be asked to
provide a mitigation plan for any identified S&T Protection risks. The Government reserves the
right to determine a potential recipient un-awardable on the grounds of unacceptable S&T
Protection risk based on its review of the SF 424 and Security Program Questionnaire.
By applying, the Offeror certifies that it follows Section 223(a) of the William M. (Mac)
Thornberry National Defense Authorization Act for Fiscal Year 2021 which requires that:
(A) the Principal Investigator (PI) and other key personnel certify that the current and pending
support provided on the application is current, accurate and complete;
(B) agree to update such disclosure at the request of the agency prior to the award of support and
at any subsequent time the agency determines appropriate during the term of the award; and
(C) the PI and other key personnel have been made aware of the requirements under Section
223(a)(1) of this Act. 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 218, Section 1001).
Joint Certification Program (JCP):
Was established in 1985 to allow United States (U.S.)/Canadian contractors to apply for access
to Department of Defense/Department of National Defense (DOD/DND) unclassified export
controlled technical data/critical technology on an equally favorable basis in accordance with
DODD 5320.25 “Withholding of Unclassified Technical Data and Technology from Public
Disclosure”, and Canadian Technical Data Control Regulations.
Electronic Document Access (EDA) and Wide Area Workflow (WAWF):
Electronic Document Access System (EDA) is a Web-based system that provides secure online
access, storage and retrieval of awards and modifications to DoD employees and vendors.
Wide Area Workflow (WAWF) application is designated as the Department of Defense standard
for electronic invoicing and payment. All parties doing business with ONR are strongly
encouraged to register to participate in the WAWF program. For additional information on
registration and the electronic payment process as with (EDA) complete a self-registration
request as a “Vendor” through https://wawf.eb.mil/
RDK-RAD-FOA-2024
Page 18 of 21

---

Employees of commercial firms under contract to the Government may be used to
administratively process applications and may gain access to proprietary information contained
in applications and/or post award documentation. These support contracts include
nondisclosure agreements prohibiting their contractor employees from disclosing any
information submitted by other contractors.
DoD Required Elements:
In accordance with 2 CFR 200.205 DoD will conduct a risk assessment of all potential
recipients. In addition to the elements listed in 2 CFR 200.205, DoD components may include
other criteria to determine various types of risk, such as protocols for the protection of
intellectual property, controlled information, key personnel, and information about critical
technologies relevant to national security, human subjects, and Personally Identifiable
Information (PII), as listed in the notice of funding opportunity.
Section V - Application Review Information
A. Federal Award Notices
The applicant’s approved account holder for Valid Eval will receive confirmation upon
completing the submission to https://usg.valideval.com/teams/afrl_rad/signup. After an
institution applies, Valid Eval generates a submission receipt via email and sets the
application status to “Received”. This receipt verifies the application has been successfully
delivered to the Valid Eval system.
It is expected that applicants will be notified in writing of funding decisions via email.
Notification of selection does not indicate that the applicant can start work on the project. Project
initiation is dependent upon award of the actual Grant or Cooperative Agreement by a warranted
Grants and Agreements Officer.
All awards require final technical reports, financial reports, and final patent reports. Copies of
publications and presentations shall be submitted in accordance with the terms and conditions
of the assistance award.
B. Other Information
Modifications and No Cost Extensions (NCE): AFRL grants NCEs only in situations which
the extension is truly warranted and properly documented. In no event will the period of
performance be extended merely for the purpose of using unobligated balances. Institutions
should make every effort to ensure work is completed on time. If an institution deems an NCE
is truly warranted, it shall submit its request for an extension and supporting reasons to the
relevant Grants Officer. (Reference 32 CFR § 32.25, Revision of Budget and Program Plans
for further guidance)
Data Rights
The Government reserves the right to assert intangible property rights in accordance with 32 CFR
§ 32.36 for any assistance instrument awarded because of this announcement.
RDK-RAD-FOA-2024
Page 19 of 21

---

C. Reporting
Interested recipients are required to abide by 2 CFR 180.335 and 180.350 if an award is made.
D. Federal Awarding Agency Contact(s)
For technical issues regarding this FOA or administrative issues regarding this FOA, contact the
grants specialist at the email address identified in Section V. All questions must be received in
writing via email with the reference line referring to this notice (RDK-RAD-FOA-2024).
Important Notice Regarding Questions of a Business Nature All questions shall be
submitted in writing by electronic mail. Questions presented by telephone call, fax message, or
other means will not be responded to.
CONTRACTING POCs:
Primary: Grants Officer: Ms. Mariah Salazar; mariah.salazar@us.af.mil
Alternate: Grants Officer: Ms. Jennifer Jaramillo; jennifer.jaramillo@us.af.mil
Grants Specialist: Ms. Monique Esquibel-Sena; monique.esquibel_sena@us.af.mil
Ombudsman:
a) An ombudsman has been appointed to hear and facilitate the resolution of concerns from
recipients, potential recipients, and others for this requirement. When requested, the
ombudsman will maintain strict confidentiality as to the source of the concern. The existence
of the ombudsman does not affect the authority of the Program Manager, Agreements Officer,
or Approving Official. Further, the ombudsman does not participate in the evaluation of
applications, the award process, or the adjudication of protests or formal disputes. The
ombudsman may refer the party to another official who can resolve the concern.
b) Before consulting with an ombudsman, interested parties must first address their concerns,
issues, disagreements, and/or recommendations to the Agreements Officer for resolution.
Consulting an ombudsman does not alter or postpone the timelines for any other processes
(e.g., agency level protests, GAO protests, requests for debriefings, employee-employer
actions, contests of OMB Circular A-76 competition performance decisions).
c) If a resolution cannot be made by the Agreements Officer, concerned parties may contact
the AFRL ombudsmen:
Ombudsman: AFRL Director of Contracts, AFRL/PK, 1864 4th Street, Bldg 15, Room 225,
Wright Patterson AFB OH 45433-7130, 937-255-5235, E-mail: afrl.pk.workflow@us.af.mil
d) The ombudsman has no authority to render a decision that binds the agency.
e) Do not contact the ombudsman to request copies of the announcement, verify offer due
date, or clarify technical requirements. Such inquiries shall be directed to the Agreements
RDK-RAD-FOA-2024
Page 20 of 21

---

Officer.
Section VI – Appendix, Attachments, and References:
Attachments:
1. Attachment I, Budget Proposal Instructions
2. Attachment II, DoD Research General Terms and Conditions – September 2023
3. Attachment III, Data Management Plan
4. Attachment IV, SF424
5. Attachment V, Security Program Questionnaire Form
RDK-RAD-FOA-2024
Page 21 of 21

---

RDK-RAD-FOA-2024_AMEND 1

DEPARTMENT OF THE AIR FORCE
AIR FORCE RESEARCH LABORATORY
KIRTLAND AIR FORCE BASE NEW MEXICO
AFRL RV/RD University Assistance Instrument Program
Funding Opportunity Announcement (FOA)
FUNDING OPPORTUNITY NUMBER: RDK-RAD-FOA-2024
FUNDING OPPORTUNITY ANNOUNCEMENT TITLE: Research and Development (RAD)
Directed Energy (RD) University Assistance Instruments
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER(S): 12.800 Air
Force Defense Research Sciences Program
FEDERAL AGENCY NAME: Air Force Research Laboratory (AFRL) Directed Energy (RD)
Directorates; Kirtland AFB, NM
Announcement Type and Key Dates:
Announcement Type Key Dates and Times
FOA Issue Date JULY 18, 2024, 4:00 PM Eastern Standard Time
FOA AMEND 1 Issue Date JULY 19, 2024 12:00 PM Eastern Standard Time
Final Submission Deadline for Letters of JULY 18, 2029, 4:00 PM Eastern Standard Time
Intent
INTRODUCTION: This is a five-year open Funding Opportunity Announcement (FOA)
accepting Letters of Intent from the date of publication for award of grants and cooperative
agreement assistance instruments, with a ceiling of $49M. Once the announcement has reached
the end of the 5-year period, or ceiling has been met prior to the 5-year period, the announcement
will be closed.
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application if letter of intent is selected. Only invited applicants will be eligible to
submit a full application. Letters of intent may be submitted at any time during this 5-year period
and are evaluated as they are received. Prior to submitting a full application, Recipients are
required to submit a Letter of Intent through the Valid Eval Portal at
https://usg.valideval.com/teams/afrl_rad/signup. DO NOT submit a full application at the same
time of submitting the mandatory Letter of Intent, prematurely submitting applications before
being notified that your letter of intent was selected will result in the application not being
evaluated. Should a full application be requested, the interested party must submit electronically
through the Valid Eval portal at https://usg.valideval.com/teams/afrl_rad/signup. No hard copy
submissions will be accepted.
This FOA will be evaluated on an annual basis. It is the applicant’s responsibility to periodically
check this FOA for any amendments that may modify the announcement, as amendments can
RDK-RAD-FOA-2024
Page 1 of 21

---

happen at any time. Amendments to the original funding opportunity announcement (FOA) will
be posted to the Grants.gov Webpage: https://www.grants.gov/.
BACKGROUND: The Air Force Research Laboratory Directed Energy Directorate (RD) is the
Department of the Air Force's Center of Expertise for directed energy and optical technologies.
The Directorate develops and transitions technologies in four core technical competencies: Laser
Systems, Directed Energy and Electro-Optics for Space Superiority, High Power
Electromagnetics, and Weapons Modeling, Simulation, and Analysis. This five-year, open FOA
is for soliciting research applications for Basic, Applied, and Advanced Research in the Core
Technical Competencies (CTCs) described above. Multiple awards of assistance instruments are
anticipated with periods of performance ranging from one to five years. All funding is subject to
change due to Government discretion and availability. Potential offerors should be aware that,
due to unanticipated budget fluctuations, funding may change with little or no notice. There are
no limits to the number of Letters of Intent an applicant may submit for this FOA. The
Government reserves the right to make multiple awards or no awards pursuant to this
announcement.
RDK-RAD-FOA-2024
Page 2 of 21

---

TABLE OF CONTENTS:
Section I- Funding Opportunity Description
A. Program DescriptionError! Bookmark not defined.
B. Directed Energy CTC Topics
Section II- Federal Award Information
A. Submission Due Date and Time
B. Criteria
C. Type of Award Instrument
D. Review and Selection Process
Section III- Eligibility Information
A. Eligible Applicants
B. Cost Sharing or Matching
C. Classification
Section IV- Application and Submission Information
A. Pre Application Letter of Intent (Mandatory)
B. Address to Request Application Package
C. Content and Form of Application Submission
D. Unique entity identifier and System for Award Management (SAM)
E. Funding Restrictions
F. Other Submission Requirements
Section V - Application Review Information
A. Federal Award Notices
B. Other Information
C. Reporting
D. Federal Awarding Agency Contact(s)
RDK-RAD-FOA-2024
Page 3 of 21

---

SECTION I: FUNDING OPPORTUNITY DESCRIPTION
A. Program Description
AFRL RD is seeking unclassified applications that do not contain proprietary information.
Proprietary information is defined as information that is not public knowledge and that is
viewed as the property of the holder. Proposed research should be fundamental research. As
defined in the National Security Decision Directive 89, “Fundamental Research means basic
and applied research in science and engineering, the results of which ordinarily are published
and shared broadly within the scientific community, as distinguished from proprietary
research and from industrial development, design, production, and product utilization, the
results of which ordinarily are restricted for proprietary or national security reasons.”
Applications shall be in accordance with Department of Defense (DoD) Directive 5230.24
and DoD Instruction 5230.27 and 32 CFR § 22.105 that further defines Basic, Applied and
Advance Research as follows:
a) Basic Research. Efforts directed toward increasing knowledge and understanding in
science and engineering, rather than the practical application of that knowledge and
understanding. It is funded within Basic Research (Budget Activity 1 and Research
Category 6.1) programs within Research, Development, Test and Evaluation
(RDT&E). For the purposes of this part, basic research includes:
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
b) Applied Research. Efforts that attempt to determine and exploit the potential of
scientific discoveries or improvements in technology such as new materials, devices,
methods, and processes. It is funded in Applied Research (Budget Activity 2 and
Research Category 6.2) programs within Research, Development, Test and
Evaluations (RDT&E). Applied research normally follows basic research but may not
be fully distinguishable from the related basic research. The term does not include
efforts whose principal aim is the design, development, or testing of specific
products, systems, or processes to be considered for sale or acquisition; these efforts
are within the definition of “development.”
32 CFR § 22.105 further defines fundamental research regarding 6.1 and 6.2 funding
in a comparison to Basic and Applied Research as follows:
c) Advanced Research. Advanced technology development that creates new
technology or demonstrates the viability of applying existing technology to new
products and processes in a general way. Advanced research is most closely
analogous to precompetitive technology development in the commercial sector (i.e.,
early phases of research and development on which commercial competitors are
willing to collaborate, because the work is not so coupled to specific products and
RDK-RAD-FOA-2024
Page 4 of 21

---

processes that the results of the work must be proprietary). It does not include
development of military systems and hardware where specific requirements have
been defined. It is typically funded in Advanced Technology Development (Budget
Activity 3 and Research Category 6.3) programs within Research, Development, Test
and Evaluation (RDT&E).
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
B. Directed Energy CTCs:
The AFRL Directed Energy Directorate is interested in receiving applications under this
announcement to establish assistance agreements with U.S. /U.S. territories’ colleges and
universities for directed energy-related basic, applied, and advanced research projects that
provide a public purpose and are of interest to the Department of Defense mission. The scope
of the research will include the entire spectrum of directed energy technology applicable to the
Air Force, including all tangentially related directed energy. The research shall include, but
not be limited to the following Core Technical Competencies (CTCs): Laser Systems, Directed
Energy and Electro-Optics for Space Superiority, High Power Electromagnetics, and Weapons
Modeling, Simulation, and Analysis. The research activities managed within each CTC are
summarized below.
1. Laser Systems: This includes solid-state, fiber, and hybrid laser sources for scalable, high
energy laser devices. This also includes advanced beam control, laser effects, and predictive
modeling for laser subsystems, systems, propagation, and target vulnerability.
2. Directed Energy and Electro-Optics for Space Superiority: This includes advanced optical
and imaging technologies such as optical components, optical coatings, advanced beam control,
atmospheric compensation, adaptive optics, and pointing and tracking specifically for tracking
and imaging space objects from ground-based telescopes, as well as free space quantum
communication and networking.
3. High Power Electromagnetics: This includes generation and transmission of high-power
microwaves (HPM), identification of the susceptibility and vulnerability of electronic systems to
HPM, and applications of HPM to meet national defense needs. Technologies include HPM
sources, pulsed power, high energy beam and plasma physics, and full system, High
Performance Computing-enabled numerical simulation.
4. Weapons Modeling, Simulation, and Analysis: This includes computer simulation/analysis
of directed energy and kinetic weapons concepts at the mission level and development of
coupled computation models for Directed Energy concept analysis.
RDK-RAD-FOA-2024
Page 5 of 21

---

SECTION II: Federal Award Information
A. Submission Dates and Times:
Letter of Intent may be submitted any time from the FOA issue date, until the final submission
deadline for letters of intent. Prior to submitting an application, Applicants are required to submit
a Letter of Intent. Applicants are required to submit a Letter of Intent through the Valid Eval
Portal at https://usg.valideval.com/teams/afrl_rad/signup, which will then be reviewed for
potential selection, to submit a full application.
Final Submission Deadline for Letters of Intent 18 July 2029, no later than 4:00 PM EST.
Letters of Intent and/or Applications received after the Final Submission Deadline will be
deemed late and will not be accepted for review. Applicants are encouraged to transmit Letters of
Intent well before the deadline. Subsequent applications must be submitted electronically
through the Valid Eval at https://usg.valideval.com/teams/afrl_rad/signup.
B. Criteria:
Applications submitted under this FOA are evaluated through merit-based competitive
procedures in accordance with 32 CFR § 22.315. Applications may be evaluated by the
appropriate AFRL Technology Departments, and other military services. The evaluation criteria
are listed in descending order of importance. No further evaluation criteria will be used to
evaluate applications. The technical and budget proposals will be evaluated at the same time.
The Government reserves the right to award all, part, or none of the technical/C-SOW
applications received. The Agreements Officer is the only official authorized to make award,
which will be made IAW 2 CFR.
The evaluation criteria are listed in descending order of importance:
1. Technical merits of the application research and development such as creativity,
innovation, feasibility, and efficacy to achieve the CTC Topic Area objectives under this
FOA.
• The quality of the program’s plan to execute proposed activity and assess
effectiveness of the program and participant outcomes;
• The Applicant’s capabilities, related experience, facilities, techniques or unique
combinations of these which are integral factors for achieving the application
objectives;
• The qualifications, capabilities and experience of the proposed Project Director /
Principal Investigator, team leader and key personnel who are critical to achieving the
application objectives.
2. Potential relevance and alignment of the proposed research and development to the
Department of Defense missions.
RDK-RAD-FOA-2024
Page 6 of 21

---

3. Cost - Applications shall be complete, reasonable, and realistic. The availability of funds
to support the effort and long-term sustainability of the project will be considered.
C. Type of Award Instrument:
Awards made under this announcement will fall under the purview of 2 CFR Part 200 Grants
and Agreements and 32 CFR Part 21 Department of Defense Grants and Agreements
Regulations (DoDGAR). The Government (AFRL) reserves the right to award all, part, or none
of the applications in response to this announcement. The Government provides no funding for
reimbursement of application development costs. This FOA is intended for applications that
provide strategic solutions that meet the evaluation criteria specified in this FOA. Awards will
take the form of grants and cooperative agreements. Cooperative Agreements allow for
“substantial involvement” between the Federal awarding agency or pass-through entity and the
non-Federal entity in carrying out the activity contemplated by the Federal award. Any
assistance instrument awarded under this announcement will be governed by the award terms
and conditions that conform to guidance in 2 C.F.R. 200, Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards.
The Government reserves the right to cancel this announcement, either before or after the closing
date. In the event the Government cancels this solicitation, or a Recipient is not selected for an
award, the Government is under no obligation to pay for any costs associated with preparing or
applying to this FOA.
The Government will not issue paper copies of this announcement. A formal Request for
Applications, solicitation, and/or additional information regarding this announcement will not be
issued.
In accordance with 31 U.S.C 6302, 6304 and 31 U.S.C. 6305:
• Grant is a legal instrument which, consistent with 31 USC 6302, and 6304, is used to
enter a relationship:
a. Of which the principal purpose is to transfer a thing of value to the recipient to carry
out a public purpose of support or stimulation authorized by a law of the United
States, rather than to acquire property or services for the DoD’s direct benefit or use.
b. In which substantial involvement is not expected between DoD and the recipient
when carrying out the activity contemplated by the award.
• Cooperative agreement is a legal instrument which, consistent with 31 USC 6302-6305,
is used to enter the same kind of relationship as a grant (see definition of “grant” in this
part above), except that substantial involvement is expected between the DoD and the
recipient when carrying out the activity contemplated by the cooperative agreement. The
term does not include “cooperative research and development agreements” as defined in
15 U.S.C. 3710a.
The Air Force reserves the right to award the instrument best suited to the nature of the
research proposed. It is anticipated the awards will be made in the form of cost-reimbursement
(no fee) grant and cooperative agreement awards, which require the successful offerors to have
an approved accounting system considered adequate for tracking costs applicable to the award.
RDK-RAD-FOA-2024
Page 7 of 21

---

The Government reserves the right to award all, part, or none of the applications in response to
this announcement.
It is anticipated that awards under this FOA will be administered in accordance with the non-
Federal entity’s preexisting internal accounting policies and practices. However, the accounting
practices of the non-Federal entity must be consistent with Cost Accounting Standards and must
provide adequate documentation to support costs charged to the Federal Government.
D. Review and Selection Process
The Selection Process will be conducted in two steps: First reviewing the Mandatory Letter of
Intent that shall be submitted prior to a full application. The Letter of Intent will be reviewed in
coordination with the Grants and Agreements Officer and designated Program Manager(s). After
review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer in writing to proceed and submit a Full Application through Valid Eval.
AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient. In the
case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer to NOT submit a Full Application through Valid Eval. If your Letter of
Intent is selected, you will then be instructed in writing by the Grants and Agreements Officer to
proceed to the second step of submitting a full application through Valid Eval. Only invited
applicants will be eligible to submit a full application.
SECTION III- Eligibility
A. Eligible Applicants
This competition is open to accredited U.S. institutions of higher education with degree granting
programs in science, mathematics, and/or engineering except for-profit educational institutions.
All proposed grants or cooperative agreements must meet criteria for public purpose in
accordance with 32 CFR 22.205. U.S and U.S. territory educational institutions are reminded that
any applications submitted in response to this announcement must stimulate or support a public
purpose (i.e. to aid), rather than acquisition (i.e. to acquire goods or services for direct benefit of
the United States Government).
Applications must substantially comply with the application submission instructions identified in
(Section IV - Submitting the Application) or they will be rejected. Any application pages more
than the allowable 20-page limitation will not be reviewed.
To assess risk posed by applicants, we review your application and Office of Management and
Budget (OMB) designated repositories of government-wide public and non-public data,
including comments you have made, as required by 31 U.S.C. 3321 and 41
U.S.C. 2313 and described in 2 CFR 200.205 and 32 CFR 22.410 to confirm you are qualified,
responsible, and eligible to receive an award.
B. Cost Sharing or Matching
Cost sharing is not required under this FOA. You are not prohibited from including voluntary
RDK-RAD-FOA-2024
Page 8 of 21

---

committed cost sharing or matching in your application. Cost sharing or matching is not an
evaluation factor.
C. Classification.
The only applications that will be accepted will be those that are unclassified and that do not
contain proprietary information. Proprietary information is defined as information that is not
public knowledge and that is viewed as the property of the holder. Proposed research should be
fundamental research. Fundamental Research means basic and applied research in science and
engineering, the results of which ordinarily are published and shared broadly within the
scientific community, as distinguished from proprietary research and from industrial
development, design, production, and product utilization, the results of which ordinarily are
restricted for proprietary or national security reasons.
SECTION IV - Submitting the Application
A. Pre-application Requirement: Letter of Intent (Mandatory)
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application. Only invited applicants will be eligible to submit a full application. All
applicants should be aware of the following:
Prior to submitting your application through Valid Eval, applicants are required to submit a
Letter of Intent through the Valid Eval Portal at
https://usg.valideval.com/teams/afrl_rad/signup, which will then be reviewed for potential
selection, to submit a full application. The letters should not contain any proprietary or sensitive
business information. Applicants are responsible for ensuring receipt of the Letter of Intent by
the Valid Eval system.
The Letter of Intent shall not exceed two (2) pages and at a minimum provide the following
details:
1. CTC Topic
2. ROM Estimate
3. Short Description of the Technical Effort
4. Period of Performance
5. Public Purpose
6. Contacts for University
7. Cage Code
NOTE: Applications submitted without prior submission of a Letter of Intent, will NOT be
considered for the proposed effort. Submission of a Letter of Intent does not warrant or guarantee
for a successful application or Award. If a Letter of Intent is not to be considered for request of a
full application, the applicant will be notified of non-select by the Grants and Agreements
Specialist or Grants and Agreements Officer through the Valid Eval system.
RDK-RAD-FOA-2024
Page 9 of 21

---

Letter of Intent Review and Notification
The Letter of Intent will be evaluated in coordination with the Grants and Agreements Officer
and designated Program Manager(s). This procedure is intended to minimize unnecessary efforts
in application preparation and inform Recipients of availability of funds. The Letter of Intent will
be reviewed within ten (10) working days of receipt. Applicants may be contacted by the Grants
and Agreements Officer, as well as the Program Manager(s) to discuss the proposed effort in the
Letter of Intent.
After review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer through Valid Eval to proceed and submit a Full Application at
https://usg.valideval.com/teams/afrl_rad/signup.
NOTE: AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient.
In the case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer through Valid Eval to NOT submit a Full Application.
B. Address to Request Application Package
Electronic Submission – After being notified of selection on a Letter of Intent by the Grants
Officer, full applications shall be submitted through Valid Eval at
https://usg.valideval.com/teams/afrl_rad/signup. Any full application not submitted through
Valid Eval will result in being disqualified for potential award. Forms are available at
Grants.gov. In the Grants.gov search function, enter the funding opportunity number for this
announcement (RDK-RAD-FOA-2024). The forms will also be available within the
attachments of the solicitation.
SF 424 Research and Related (R&R) - The SF 424 (R&R) must be used as the cover page
for all applications. Complete all required fields in accordance with form instructions for the
specified Mandatory fields, which will have an asterisk marking the field and will appear
yellow on most computers. In Grants.gov, some fields will self- populate based on the
FOA selected. Complete the SF 424 (R&R) first, as some fields on the SF 424 are used
to auto populate fields in other forms. The completion of most fields is self-explanatory
except for the following special instructions:
• Certification/Unique Agency Attachments: All awards require certifications of
compliance with national policy requirements and unique agency requirements or
assistance awards, i.e., grants, proposers using the SF 424 (R&R) are providing the
certification required by 32 CFR § 28 regarding lobbying.
Research and Related (R&R) Other Forms: The following other forms must be used for
applications:
DoD Women in Science, Technology, Engineering, and Mathematics Data Collection
Implementation:
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. A§
1681 Et. Seq.), the Department of Defense is collecting certain demographic and career
RDK-RAD-FOA-2024
Page 10 of 21

---

information to be able to assess the success rates of women who are proposed for key roles in
applications in STEM disciplines. To enable this assessment, each application must include the
following forms completed as indicated.
Research and Related Senior/Key Person Profile (Expanded) form:
The Degree Type and Degree Year fields on the Research and Related Senior/Key Personnel
Profile (Expanded) form will be used by DoD as the source for career information. In addition
to the required fields on the form, applicants must complete these two fields for all individuals
that are identified as having the project role of PD/PI or CO-PD/PI on the form. Additional
senior/key persons can be added by selecting the “Next Person” button.
Research and Related Personal Data Form:
This form will be used by DoD as the source of demographic information, such as gender, race,
ethnicity, and disability information for the Project Director/Principal Investigator and all other
persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must
include this form with the name fields of the Project Director/Principal Investigator and any
Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the
demographic information in the form is voluntary. If completing the form for multiple
individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the
“Next Person” button. The demographic information, if provided, will be used for statistical
purposes only and will not be made available to merit reviewers. Applicants who do not wish
to provide some or all the information should check or select the “Do not wish to provide”
option.
The R&R Sub award Budget Attachment Form:
Is required when sub awardees are involved in the effort. Prime recipients shall ensure sub
recipients’ cost information reflects the same level of detail as the primes’ cost information.
The format shall follow the Prime’s submission as well. See section IV. 3. (j.) R&R Budget
Form for detail on submission of the Prime’s budget information.
The SF-LLL form:
Is required when applicants have lobbying activities to disclose. PDF forms may be
obtained at the Grants.gov website. Standard Form – LLL, ‘Disclosure of Lobbying
Activities’ is in the down-loaded forms package.
R&R Project/Performance Site Locations Form:
Complete all information as requested.
R&R Other Project Information Form:
Human Subject/Animal Use and Environmental Compliance.
(a) Human Subject Use- Each application must address human subject involvement in the
research by addressing the appropriate fields shown on the R&R Other Project Information Form.
If selected for award, additional documentation in accordance with U.S. Air Force standards
will be required.
RDK-RAD-FOA-2024
Page 11 of 21

---

(b) Animal Use- Each application must address animal use protocols by addressing the
appropriate fields shown on the R&R Other Project Information Form. If selected for award,
additional documentation in accordance with U.S. Air Force standards will be required.
(c) Environmental Compliance- Federal agencies making assistance awards and recipients of
such awards must comply with various environmental requirements. The National
Environmental Policy Act of 1969 (NEPA), 42 U.S.C. Sections 4321- 4370 (a), requires that
agencies consider the environmental impact of “major Federal actions” prior to any final
agency decision. With respect to those awards which constitute “major Federal actions,” as
defined in 40 CFR § 1508.18, federal agencies may be required to comply with NEPA and
prepare an environmental impact statement (EIS) even if the agency does no more than aid
funds to the recipient. Questions regarding NEPA compliance should be referred to the
applicable AFRL Program Manager. Most research efforts funded by AFRL will, however,
qualify for a categorical exclusion from the need to prepare an EIS. U.S. Air Force
instructions/regulations provide for a categorical exclusion for basic and applied scientific
research usually confined to the laboratory, if the research complies with all other applicable
safety, environmental and natural resource conservation laws. Each application shall address
environmental impact by addressing the appropriate fields shown on the R&R Other Project
Information Form. This information will be used by AFRL to decide if the proposed research
effort qualifies for categorical exclusion.
Abstract:
Include a concise (not to exceed 300 words) (publicly releasable) abstract describing the
research objective, technical approaches, anticipated outcome and impact of the specific
research, and public purpose in accordance with 32 CFR §22.205. In the header of the
abstract include the CTC POC’s name. Attach the Abstract to the R&R Other Project
Information form in the appropriate field.
R&R Other Project Information Form - Project Narrative Instructions:
(a) Project Narrative – Clearly describe the research, objective, and approach to be
performed. Discuss the nature of the expected results. Additionally, state knowledge in the
field and include a bibliography and a list of literature citations. Identify and describe how
the effort will aid assistance that will stimulate or support a public purpose. The adequacy
of this information will influence the overall evaluation. Refer to the evaluation criteria
listed in Section II (B.) Criteria of this announcement. Also briefly indicate whether the
intended research will result in environmental impacts outside the laboratory, and how the
proposer will ensure compliance with environmental statutes and regulations. Attach the
application narrative to the R&R Other Project Information form in the appropriate field.
(b) Project Narrative - Statement of Work:
Offeror/applicant must submit a document entitled “Contractor Statement of Work” (C-
SOW) describing the actual technical tasks/subtasks to be completed, including goals and
objectives, and a detailed description of the approach for each. This C-SOW will be
incorporated into the award instead of incorporating the entire technical proposal. Active
verbs should be used in this statement of work (i.e., “conduct” research into a topic,
RDK-RAD-FOA-2024
Page 12 of 21

---

“investigate” a problem, “determine” to test a hypothesis). The C-SOW should not
contain proprietary information.
(c) Project Narrative - Research Effort:
Describe in detail the research to be performed. State the objectives and approach and
their relationship and comparable objectives in progress elsewhere. Additionally, state
knowledge in the field and include a bibliography and a list of literature citations. Discuss
the nature of the expected results. The adequacy of this information will influence the
overall evaluation. Applications for renewal of existing support must include a
description of progress if the proposed objectives are related.
(d) Project Narrative - Principal Investigator (PI) Time:
List the estimated time the PI and other senior professional personnel will devote to the
research. This shall include information pertaining to other commitments of time, such as
sabbatical or extended leave; and proportion of time to be devoted to this research
and to any other research. Awards may be terminated when the principal investigator
severs connections with the organization or is unable to continue active participation in
the research. State the number of graduate students for whom each senior staff member
is responsible. If the principal investigator or other key personnel are currently engaged
in research under other patronages, or expect to receive support from other agencies for
research during the time proposed for AFRL support, state the title of the other research,
the proportion of time to be devoted to it, the amount of support, name of agency, dates,
etc. Send any changes in this information as soon as they are known. Submit a short
abstract (including title, objectives, and approach) of that research and a copy of the
budget for both present and pending research projects.
(e) Project Narrative – Facilities:
Describe facilities available for performing the proposed research and any additional
facilities or equipment the organization proposes to acquire at its own expense. Indicate
government-owned facilities or equipment already possessed that will be used. Reference
the facilities contract number or, in the absence of a facilities contract, the specific
facilities or equipment and the number of the award under which they are accountable.
(f) Project Narrative – Special Test Equipment:
List special test equipment or other property required to perform the proposed research.
The Government will not provide special test equipment. When possible and practicable,
give a description or title and estimated cost of each item. When information on
individual items is unknown or not available, group the items by class and estimate the
values. In addition, state why it is necessary to acquire the property with award funds.
(g) Project Narrative – Equipment:
Justify the need for each equipment item. Additional facilities and equipment will not be
provided unless the research cannot be completed by any other practical means. Include
the proposed life expectancy of the equipment and whether it will be integrated with a
larger assemblage or apparatus. If so, state who owns the existing apparatus.
RDK-RAD-FOA-2024
Page 13 of 21

---

R&R Budget Form:
Estimate the total research project cost. Budget detail should clearly identify costs, which are
internal to the offeror and those that are used in pursuit of the objectives such as
scholarships, training, course preparation, etc. Categorize funds by year and provide separate
annual budgets for projects lasting more than one year. In addition to the Research and Related
Budget forms available on Grants.gov, the budget proposal should include a budget
justification for each year, clearly explaining the need for each item. Applicants who enter a
fee on Part J of the budget will not be eligible to receive a grant or cooperative agreement.
Attach the budget justification to Section K of the R&R Budget form.
C. Content and Form of Application Submission
Full Applications and Submission Information:
Applications must be submitted through Valid Eval to be considered for award.
Submit electronic applications through Valid Eval at:
https://usg.valideval.com/teams/afrl_rad/signup. The electronic submission of the application
must be made by an official representative of the institution who is registered with Grants.gov
and is authorized to sign applications for federal assistance.
Problems completing the registration process call Grants.gov at 1-800-518-4726 or send an email
to support@grants.gov.
Problems completing either the mandatory letter of intent or application submittal process, email
Valid Eval at support@valideval.com.
The Government seeks only Full Applications that:
(1) Have submitted a Letter of Intent to the Grants and Agreements Officer and Contracting
Specialist through Valid Eval,
(2) Have received in writing a notification from the Grants and Agreements Officer through
Valid Eval to proceed with a Full Application submitted through Valid Eval at
https://usg.valideval.com/teams/afrl_rad/signup, and
(3) Meet the eligibility requirements of Section III - Eligibility.
Full applications must conform to the following form and content requirements, including
maximum page lengths (described below) and must be submitted via Valid Eval. AFRL will not
extend deadlines for Recipients who fail to submit required information and documents due to
technological issues.
For more detailed instructions on creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/registration/add- profile.html.
The application must conform to the following requirements:
• Full Application Format (PDF);
• Paper Size – 8.5 x 11-inch paper
• Margins – 1 inch
RDK-RAD-FOA-2024
Page 14 of 21

---

• Spacing – single or double spaced
• Font – Times New Roman 12 point
• Page Limitation –Technical proposals shall not exceed twenty (20) pages. This includes
cover page, charts, graphs, maps, and photographs when printed using the formatting
requirements set forth above and single spaced. Page numbers must be included in the
footer of every page. References must be included as footnotes or endnotes in a font size
of 10. Footnotes and endnotes are counted toward the maximum page requirement.
• Unnecessarily elaborate applications are not desirable.
• Attachments – submit in PDF format (Adobe Portable Document Format)
• Cover Page should include AFRL Address, but not limited to the following: AFRL
RDKP (Attn: Ms. Mariah Salazar); RDK-RAD-FOA-2024
• Main Topic Area (Reference CTC Topic you will be submitting to)
The recipient shall apply describing the proposed research project’s:
(1) objective,
(2) general approach,
(3) public purpose in accordance with 32 CFR § 22.205, and 22.215 and
(4) impact on Department of Defense (DoD) mission. The application shall also contain any
unique capabilities or experience you may have (e.g., U.S. Air Force, DoD, or other Federal
laboratory).
Conferences and Workshops:
The Government understands that it is essential for the scientific community to maintain clear
lines of communication for thorough and well- reasoned research to be accomplished. One
conference or workshop may be allowed for each proposed assistance agreement. Conferences
and workshops have proven to be extremely valuable tools for AFRL. They allow our technical
managers the opportunity to receive current information in their respective disciplines. They
also allow AFRL the opportunity to inform the research community of the current thrust of
AFRL's programs. Conferences and workshops constitute key forums for research and
technology interchange. AFRL’s financial support through appropriate financing vehicles for
conferences and workshops is dependent on the availability of funds, Program Officer’s
discretion, and certain other restrictions including:
AFRL/RD support for a workshop or conference is not to be considered as an endorsement of
any organization, profit or non-profit. The subject matter of the conference or workshop is
scientific, technical, or involves professional issues that are relevant to the purpose of the
technical description of the grant or cooperative agreement.
Applications should include the following for all proposed conferences and workshops:
Conference/Workshop Information:
• Summary indicating the objective(s) of the conference/workshop
• Title, location, and date(s) of the conference/workshop
• Explanation of how the conference/workshop will relate to the research interests of
AFRL identified in Section III of the Funding Opportunity Announcement (FOA)
RDK-RAD-FOA-2024
Page 15 of 21

---

• List of proposed participants and method (or copies) of announcement or invitation
• Include cost information for the proposed conference/workshop (in addition to
information required on SF 424 (R&R) Budget forms)
Applications shall provide cost information in accordance with Attachment 1, Budget
Application Instructions-Assistance Instruments.
If selected for negotiation of an award, the Government reserves the right to request additional or
clarify information for any reason deemed necessary, including, but not limited to:
● Indirect cost information
● Other budget information or financial breakdown information
● Project Narrative details or technical proposal information
● Key Personnel
● Data Management Plan
D. Unique entity identifier and System for Award Management (SAM)
Registering for SAM.GOV
Read the instructions below about registering to apply for administering agency’s funds.
Applicants should read the registration carefully and prepare the information requested before
beginning the registration process. Reviewing and assembling the required information before
beginning the registration process will alleviate last minute searches for required information.
Creating a Grants.gov account can be completed online in minutes, but SAM registrations may
take several weeks to complete. Therefore, registration should be done in sufficient time to
ensure it does not impact your ability to meet required application submission deadlines.
Register with SAM:
Registrations in SAM now include the acceptance of Certifications and Assurances. Entities
creating new registrations and existing entities completing their annual registration renewals will
be required to review financial assistance representations and certification before their
registration can be activated.
Unique Entity Identifier (UEI) Number will also be given upon SAM registration.
Registration must be renewed annually. Unless exempted by 2 CFR § 25.110 all applicants must
(1) Be registered in the System for Award Management (SAM) prior to award;
(2) Maintain an active SAM registration with current information at all times during which it has
an active Federal award or an application under consideration by an agency.
Federal Awardee Performance and Integrity Information System (FAPIIS)
Per 41 U.S.C. 2313, as implemented 2 CFR § 200.205, prior to making an award above the
simplified acquisition threshold, this office is required to review and consider any information
available through the designated integrity and performance system (currently FAPIIS). Awardees
can comment on any information about themselves entered in the database, and this office will
consider any comments, along with other information in FAPIIS or other systems prior to
making an award. Government-wide policy on the use of the Federal Awardee Performance and
RDK-RAD-FOA-2024
Page 16 of 21

---

Integrity Information System (FAPIIS) within SAM facilitate the agencies’ processes for
judging proposed applicants to be qualified to receive an assistance award. AFRL may not
award to an applicant until the applicant has complied with all applicable unique entity identifier
and SAM requirements. If an applicant has not fully complied with the requirements by the time
the Federal awarding agency is ready to make a Federal award, the Federal agency may
determine that the applicant is disqualified.
E. Funding Restrictions:
Funds are not presently available for this effort. No award will be made under this
announcement until funds are available. The Government reserves the right to cancel the
announcement, either before or after the closing date. In the event the Government cancels the
announcement, the Government has no obligation to reimburse an offeror for any costs.
The U.S. Government does not guarantee an award in each topic area. Further, be advised that as
funds are limited, otherwise meritorious applications may not be funded. Therefore, it is
important that applications show strength in as many of the evaluation area as practicable for
maximum competitiveness.
Availability of Funds.
Funding for all awards and future budget periods are contingent upon the availability of funds
appropriation for the purpose of this effort and the availability of future-year budget authority.
Resultant awards will not allow reimbursement of pre-federal award costs.
Cost Principles.
Costs must be allowable, allocable, and reasonable in accordance with the applicable Federal
cost principles referenced in 2 CFR part 200 and FAR Part 31.
Pre-Award Costs.
Pre-award costs are incurred at the applicant’s risk. The Government is under no obligation to
reimburse such costs if for any reason the applicant does not receive an award, or if the award is
made for an amount less than the applicant’s expectation. Requests for Pre-Award Costs will be
submitted to the Grants Officer for review and consideration of approval.
Performance of Work in the United States.
All work performed under this FOA must be performed in the United States. If the prime
applicant fails to comply with the Performance of Work in the United States requirement, AFRL
may deny reimbursement for the work conducted outside the United States and such costs may
not be recognized as allowable.
Foreign Travel.
Foreign travel costs are not allowable under this FOA unless approval has been granted by the
Grants and Agreements Officer.
DoD Directive 5230.24 and DoD Instruction 5230.27 define contracted fundamental
research in a DoD context as follows:
“Contracted Fundamental Research. Includes [research performed under] grants and contracts
RDK-RAD-FOA-2024
Page 17 of 21

---

that are (a) funded by budget Category 6.1 ("Research"), whether performed by universities or
industry or (b) funded by budget Category 6.2 ("Exploratory Development") and performed on-
campus at a university. The research shall not be considered fundamental in those rare and
exceptional circumstances where the 6.2-funded 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 contract
or grant."
F. Other Submission Requirements
Science & Technology (S&T) Program Protection: Interested Recipients shall include a
requirement for submission of:
1.) A completed Standard Form (SF 424), Research and Related Senior/Key Person Profile
(Expanded) Form (This form can be found under Forms Tab on Grants.gov site) for all
Senior/Key Personnel proposed; and
2.) A Completed Security Program Questionnaire (See Attachments). Offerors may be asked to
provide a mitigation plan for any identified S&T Protection risks. The Government reserves the
right to determine a potential recipient un-awardable on the grounds of unacceptable S&T
Protection risk based on its review of the SF 424 and Security Program Questionnaire.
By applying, the Offeror certifies that it follows Section 223(a) of the William M. (Mac)
Thornberry National Defense Authorization Act for Fiscal Year 2021 which requires that:
(A) the Principal Investigator (PI) and other key personnel certify that the current and pending
support provided on the application is current, accurate and complete;
(B) agree to update such disclosure at the request of the agency prior to the award of support and
at any subsequent time the agency determines appropriate during the term of the award; and
(C) the PI and other key personnel have been made aware of the requirements under Section
223(a)(1) of this Act. 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 218, Section 1001).
Joint Certification Program (JCP):
Was established in 1985 to allow United States (U.S.)/Canadian contractors to apply for access
to Department of Defense/Department of National Defense (DOD/DND) unclassified export
controlled technical data/critical technology on an equally favorable basis in accordance with
DODD 5320.25 “Withholding of Unclassified Technical Data and Technology from Public
Disclosure”, and Canadian Technical Data Control Regulations.
Electronic Document Access (EDA) and Wide Area Workflow (WAWF):
Electronic Document Access System (EDA) is a Web-based system that provides secure online
access, storage and retrieval of awards and modifications to DoD employees and vendors.
Wide Area Workflow (WAWF) application is designated as the Department of Defense standard
for electronic invoicing and payment. All parties doing business with ONR are strongly
encouraged to register to participate in the WAWF program. For additional information on
registration and the electronic payment process as with (EDA) complete a self-registration
RDK-RAD-FOA-2024
Page 18 of 21

---

request as a “Vendor” through https://wawf.eb.mil/
Employees of commercial firms under contract to the Government may be used to
administratively process applications and may gain access to proprietary information contained
in applications and/or post award documentation. These support contracts include
nondisclosure agreements prohibiting their contractor employees from disclosing any
information submitted by other contractors.
DoD Required Elements:
In accordance with 2 CFR 200.205 DoD will conduct a risk assessment of all potential
recipients. In addition to the elements listed in 2 CFR 200.205, DoD components may include
other criteria to determine various types of risk, such as protocols for the protection of
intellectual property, controlled information, key personnel, and information about critical
technologies relevant to national security, human subjects, and Personally Identifiable
Information (PII), as listed in the notice of funding opportunity.
Section V - Application Review Information
A. Federal Award Notices
The applicant’s approved account holder for Valid Eval will receive confirmation upon
completing the submission to https://usg.valideval.com/teams/afrl_rad/signup. After an
institution applies, Valid Eval generates a submission receipt via email and sets the
application status to “Received”. This receipt verifies the application has been successfully
delivered to the Valid Eval system.
It is expected that applicants will be notified in writing of funding decisions via email.
Notification of selection does not indicate that the applicant can start work on the project. Project
initiation is dependent upon award of the actual Grant or Cooperative Agreement by a warranted
Grants and Agreements Officer.
All awards require final technical reports, financial reports, and final patent reports. Copies of
publications and presentations shall be submitted in accordance with the terms and conditions
of the assistance award.
B. Other Information
Modifications and No Cost Extensions (NCE): AFRL grants NCEs only in situations which
the extension is truly warranted and properly documented. In no event will the period of
performance be extended merely for the purpose of using unobligated balances. Institutions
should make every effort to ensure work is completed on time. If an institution deems an NCE
is truly warranted, it shall submit its request for an extension and supporting reasons to the
relevant Grants Officer. (Reference 32 CFR § 32.25, Revision of Budget and Program Plans
for further guidance)
Data Rights
The Government reserves the right to assert intangible property rights in accordance with 32 CFR
RDK-RAD-FOA-2024
Page 19 of 21

---

§ 32.36 for any assistance instrument awarded because of this announcement.
C. Reporting
Interested recipients are required to abide by 2 CFR 180.335 and 180.350 if an award is made.
D. Federal Awarding Agency Contact(s)
For technical issues regarding this FOA or administrative issues regarding this FOA, contact the
grants specialist at the email address identified in Section V. All questions must be received in
writing via email with the reference line referring to this notice (RDK-RAD-FOA-2024).
Important Notice Regarding Questions of a Business Nature All questions shall be
submitted in writing by electronic email. Questions presented by telephone call, fax message, or
other means will not be responded to.
CONTRACTING POCs:
Primary: Grants Officer: Ms. Mariah Salazar; mariah.salazar@us.af.mil
Alternate: Grants Officer: Ms. Jennifer Jaramillo; jennifer.jaramillo@us.af.mil
Grants Specialist: Ms. Monique Esquibel-Sena; monique.esquibel_sena@us.af.mil
Ombudsman:
a) An ombudsman has been appointed to hear and facilitate the resolution of concerns from
recipients, potential recipients, and others for this requirement. When requested, the
ombudsman will maintain strict confidentiality as to the source of the concern. The existence
of the ombudsman does not affect the authority of the Program Manager, Agreements Officer,
or Approving Official. Further, the ombudsman does not participate in the evaluation of
applications, the award process, or the adjudication of protests or formal disputes. The
ombudsman may refer the party to another official who can resolve the concern.
b) Before consulting with an ombudsman, interested parties must first address their concerns,
issues, disagreements, and/or recommendations to the Agreements Officer for resolution.
Consulting an ombudsman does not alter or postpone the timelines for any other processes
(e.g., agency level protests, GAO protests, requests for debriefings, employee-employer
actions, contests of OMB Circular A-76 competition performance decisions).
c) If a resolution cannot be made by the Agreements Officer, concerned parties may contact
the AFRL ombudsmen:
Ombudsman: AFRL Director of Contracts, AFRL/PK, 1864 4th Street, Bldg 15, Room 225,
Wright Patterson AFB OH 45433-7130, 937-255-5235, E-mail: afrl.pk.workflow@us.af.mil
d) The ombudsman has no authority to render a decision that binds the agency.
RDK-RAD-FOA-2024
Page 20 of 21

---

e) Do not contact the ombudsman to request copies of the announcement, verify offer due
date, or clarify technical requirements. Such inquiries shall be directed to the Agreements
Officer.
Section VI – Appendix, Attachments, and References:
Attachments:
1. Attachment I, Budget Proposal Instructions
2. Attachment II, DoD Research General Terms and Conditions – September 2023
3. Attachment III, Data Management Plan
4. Attachment IV, SF424
5. Attachment V, Security Program Questionnaire Form
RDK-RAD-FOA-2024
Page 21 of 21

---

RDK-RAD-FOA-2024_AMEND2

DEPARTMENT OF THE AIR FORCE
AIR FORCE RESEARCH LABORATORY
KIRTLAND AIR FORCE BASE NEW MEXICO
AFRL RV/RD University Assistance Instrument Program
Funding Opportunity Announcement (FOA)
FUNDING OPPORTUNITY NUMBER: RDK-RAD-FOA-2024
FUNDING OPPORTUNITY ANNOUNCEMENT TITLE: Research and Development (RAD)
Directed Energy (RD) University Assistance Instruments
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER(S): 12.800 Air
Force Defense Research Sciences Program
FEDERAL AGENCY NAME: Air Force Research Laboratory (AFRL) Directed Energy (RD)
Directorates; Kirtland AFB, NM
Announcement Type and Key Dates:
Announcement Type Key Dates and Times
FOA Issue Date JULY 18, 2024, 4:00 PM Eastern Standard Time
FOA AMEND I Issue Date JULY 19, 2024, 12:00 PM Eastern Standard Time
FOA AMEND II Issue Date JULY 29, 2024, 2:00 PM Eastern Standard Time
Final Submission Deadline for Letters of JULY 18, 2029, 4:00 PM Eastern Standard Time
Intent
INTRODUCTION: This is a five-year open Funding Opportunity Announcement (FOA)
accepting Letters of Intent from the date of publication for award of grants and cooperative
agreement assistance instruments, with a ceiling of $49M. Once the announcement has reached
the end of the 5-year period, or ceiling has been met prior to the 5-year period, the announcement
will be closed.
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application if letter of intent is selected. Only invited applicants will be eligible to
submit a full application. Letters of intent may be submitted at any time during this 5-year period
and are evaluated as they are received. Prior to submitting a full application, Recipients are
required to submit a Letter of Intent through the Valid Eval Portal at
https://usg.valideval.com/teams/afrl_rad/signup. DO NOT submit a full application at the same
time of submitting the mandatory Letter of Intent, prematurely submitting applications before
being notified that your letter of intent was selected will result in the application not being
evaluated. Should a full application be requested, the interested party must submit electronically
through the Valid Eval portal at https://usg.valideval.com/teams/afrl_rad/signup. No hard copy
submissions will be accepted.
RDK-RAD-FOA-2024
Page 1 of 21

---

This FOA will be evaluated on an annual basis. It is the applicant’s responsibility to periodically
check this FOA for any amendments that may modify the announcement, as amendments can
happen at any time. Amendments to the original funding opportunity announcement (FOA) will
be posted to the Grants.gov Webpage: https://www.grants.gov/.
BACKGROUND: The Air Force Research Laboratory Directed Energy Directorate (RD) is the
Department of the Air Force's Center of Expertise for directed energy and optical technologies.
The Directorate develops and transitions technologies in four core technical competencies: Laser
Systems, Directed Energy and Electro-Optics for Space Superiority, High Power
Electromagnetics, and Weapons Modeling, Simulation, and Analysis. This five-year, open FOA
is for soliciting research applications for Basic, Applied, and Advanced Research in the Core
Technical Competencies (CTCs) described above. Multiple awards of assistance instruments are
anticipated with periods of performance ranging from one to five years. All funding is subject to
change due to Government discretion and availability. Potential offerors should be aware that,
due to unanticipated budget fluctuations, funding may change with little or no notice. There are
no limits to the number of Letters of Intent an applicant may submit for this FOA. The
Government reserves the right to make multiple awards or no awards pursuant to this
announcement.
RDK-RAD-FOA-2024
Page 2 of 21

---

TABLE OF CONTENTS:
Section I- Funding Opportunity Description
A. Program DescriptionError! Bookmark not defined.
B. Directed Energy CTC Topics
Section II- Federal Award Information
A. Submission Due Date and Time
B. Criteria
C. Type of Award Instrument
D. Review and Selection Process
Section III- Eligibility Information
A. Eligible Applicants
B. Cost Sharing or Matching
C. Classification
Section IV- Application and Submission Information
A. Pre Application Letter of Intent (Mandatory)
B. Address to Request Application Package
C. Content and Form of Application Submission
D. Unique entity identifier and System for Award Management (SAM)
E. Funding Restrictions
F. Other Submission Requirements
Section V - Application Review Information
A. Federal Award Notices
B. Other Information
C. Reporting
D. Federal Awarding Agency Contact(s)
RDK-RAD-FOA-2024
Page 3 of 21

---

SECTION I: FUNDING OPPORTUNITY DESCRIPTION
A. Program Description
AFRL RD is seeking unclassified applications that do not contain proprietary information.
Proprietary information is defined as information that is not public knowledge and that is
viewed as the property of the holder. Proposed research should be fundamental research. As
defined in the National Security Decision Directive 89, “Fundamental Research means basic
and applied research in science and engineering, the results of which ordinarily are published
and shared broadly within the scientific community, as distinguished from proprietary
research and from industrial development, design, production, and product utilization, the
results of which ordinarily are restricted for proprietary or national security reasons.”
Applications shall be in accordance with Department of Defense (DoD) Directive 5230.24
and DoD Instruction 5230.27 and 32 CFR § 22.105 that further defines Basic, Applied and
Advance Research as follows:
a) Basic Research. Efforts directed toward increasing knowledge and understanding in
science and engineering, rather than the practical application of that knowledge and
understanding. It is funded within Basic Research (Budget Activity 1 and Research
Category 6.1) programs within Research, Development, Test and Evaluation
(RDT&E). For the purposes of this part, basic research includes:
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
b) Applied Research. Efforts that attempt to determine and exploit the potential of
scientific discoveries or improvements in technology such as new materials, devices,
methods, and processes. It is funded in Applied Research (Budget Activity 2 and
Research Category 6.2) programs within Research, Development, Test and
Evaluations (RDT&E). Applied research normally follows basic research but may not
be fully distinguishable from the related basic research. The term does not include
efforts whose principal aim is the design, development, or testing of specific
products, systems, or processes to be considered for sale or acquisition; these efforts
are within the definition of “development.”
32 CFR § 22.105 further defines fundamental research regarding 6.1 and 6.2 funding
in a comparison to Basic and Applied Research as follows:
c) Advanced Research. Advanced technology development that creates new
technology or demonstrates the viability of applying existing technology to new
products and processes in a general way. Advanced research is most closely
analogous to precompetitive technology development in the commercial sector (i.e.,
RDK-RAD-FOA-2024
Page 4 of 21

---

early phases of research and development on which commercial competitors are
willing to collaborate, because the work is not so coupled to specific products and
processes that the results of the work must be proprietary). It does not include
development of military systems and hardware where specific requirements have
been defined. It is typically funded in Advanced Technology Development (Budget
Activity 3 and Research Category 6.3) programs within Research, Development, Test
and Evaluation (RDT&E).
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
B. Directed Energy CTCs:
The AFRL Directed Energy Directorate is interested in receiving applications under this
announcement to establish assistance agreements with U.S. /U.S. territories’ colleges and
universities for directed energy-related basic, applied, and advanced research projects that
provide a public purpose and are of interest to the Department of Defense mission. The scope
of the research will include the entire spectrum of directed energy technology applicable to the
Air Force, including all tangentially related directed energy. The research shall include, but
not be limited to the following Core Technical Competencies (CTCs): Laser Systems, Directed
Energy and Electro-Optics for Space Superiority, High Power Electromagnetics, and Weapons
Modeling, Simulation, and Analysis. The research activities managed within each CTC are
summarized below.
1. Laser Systems: This includes solid-state, fiber, and hybrid laser sources for scalable, high
energy laser devices. This also includes advanced beam control, laser effects, and predictive
modeling for laser subsystems, systems, propagation, and target vulnerability.
2. Directed Energy and Electro-Optics for Space Superiority: This includes advanced optical
and imaging technologies such as optical components, optical coatings, advanced beam control,
atmospheric compensation, adaptive optics, and pointing and tracking specifically for tracking
and imaging space objects from ground-based telescopes, as well as free space quantum
communication and networking.
3. High Power Electromagnetics: This includes generation and transmission of high-power
microwaves (HPM), identification of the susceptibility and vulnerability of electronic systems to
HPM, and applications of HPM to meet national defense needs. Technologies include HPM
sources, pulsed power, high energy beam and plasma physics, and full system, High
Performance Computing-enabled numerical simulation.
4. Weapons Modeling, Simulation, and Analysis: This includes computer simulation/analysis
of directed energy and kinetic weapons concepts at the mission level and development of
RDK-RAD-FOA-2024
Page 5 of 21

---

coupled computation models for Directed Energy concept analysis.
SECTION II: Federal Award Information
A. Submission Dates and Times:
Letter of Intent may be submitted any time from the FOA issue date, until the final submission
deadline for letters of intent. Prior to submitting an application, Applicants are required to submit
a Letter of Intent. Applicants are required to submit a Letter of Intent through the Valid Eval
Portal at https://usg.valideval.com/teams/afrl_rad/signup, which will then be reviewed for
potential selection, to submit a full application.
Final Submission Deadline for Letters of Intent 18 July 2029, no later than 4:00 PM EST.
Letters of Intent and/or Applications received after the Final Submission Deadline will be
deemed late and will not be accepted for review. Applicants are encouraged to transmit Letters of
Intent well before the deadline. Subsequent applications must be submitted electronically
through the Valid Eval at https://usg.valideval.com/teams/afrl_rad/signup.
B. Criteria:
Applications submitted under this FOA are evaluated through merit-based competitive
procedures in accordance with 32 CFR § 22.315. Applications may be evaluated by the
appropriate AFRL Technology Departments, and other military services. The evaluation criteria
are listed in descending order of importance. No further evaluation criteria will be used to
evaluate letters of intent and applications. The technical and budget proposals will be evaluated
at the same time. The Government reserves the right to award all, part, or none of the
technical/C-SOW applications received. The Agreements Officer is the only official authorized
to make award, which will be made IAW 2 CFR.
The evaluation criteria for MANDATORY letters of intent are listed in descending order of
importance:
1. Relevancy to AFRL RD CTC Topic
2. Funds Available
3. Is the interested party a University or College
The evaluation criteria are listed in descending order of importance:
1. Technical merits of the application research and development such as creativity,
innovation, feasibility, and efficacy to achieve the CTC Topic Area objectives under this
FOA.
• The quality of the program’s plan to execute proposed activity and assess
effectiveness of the program and participant outcomes;
RDK-RAD-FOA-2024
Page 6 of 21

---

• The Applicant’s capabilities, related experience, facilities, techniques or unique
combinations of these which are integral factors for achieving the application
objectives;
• The qualifications, capabilities and experience of the proposed Project Director /
Principal Investigator, team leader and key personnel who are critical to achieving the
application objectives.
2. Potential relevance and alignment of the proposed research and development to the
Department of Defense missions.
3. Cost - Applications shall be complete, reasonable, and realistic. The availability of funds
to support the effort and long-term sustainability of the project will be considered.
C. Type of Award Instrument:
Awards made under this announcement will fall under the purview of 2 CFR Part 200 Grants
and Agreements and 32 CFR Part 21 Department of Defense Grants and Agreements
Regulations (DoDGAR). The Government (AFRL) reserves the right to award all, part, or none
of the applications in response to this announcement. The Government provides no funding for
reimbursement of application development costs. This FOA is intended for applications that
provide strategic solutions that meet the evaluation criteria specified in this FOA. Awards will
take the form of grants and cooperative agreements. Cooperative Agreements allow for
“substantial involvement” between the Federal awarding agency or pass-through entity and the
non-Federal entity in carrying out the activity contemplated by the Federal award. Any
assistance instrument awarded under this announcement will be governed by the award terms
and conditions that conform to guidance in 2 C.F.R. 200, Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards.
The Government reserves the right to cancel this announcement, either before or after the closing
date. In the event the Government cancels this solicitation, or a Recipient is not selected for an
award, the Government is under no obligation to pay for any costs associated with preparing or
applying to this FOA.
The Government will not issue paper copies of this announcement. A formal Request for
Applications, solicitation, and/or additional information regarding this announcement will not be
issued.
In accordance with 31 U.S.C 6302, 6304 and 31 U.S.C. 6305:
• Grant is a legal instrument which, consistent with 31 USC 6302, and 6304, is used to
enter a relationship:
a. Of which the principal purpose is to transfer a thing of value to the recipient to carry
out a public purpose of support or stimulation authorized by a law of the United
States, rather than to acquire property or services for the DoD’s direct benefit or use.
b. In which substantial involvement is not expected between DoD and the recipient
when carrying out the activity contemplated by the award.
• Cooperative agreement is a legal instrument which, consistent with 31 USC 6302-6305,
is used to enter the same kind of relationship as a grant (see definition of “grant” in this
RDK-RAD-FOA-2024
Page 7 of 21

---

part above), except that substantial involvement is expected between the DoD and the
recipient when carrying out the activity contemplated by the cooperative agreement. The
term does not include “cooperative research and development agreements” as defined in
15 U.S.C. 3710a.
The Air Force reserves the right to award the instrument best suited to the nature of the
research proposed. It is anticipated the awards will be made in the form of cost-reimbursement
(no fee) grant and cooperative agreement awards, which require the successful offerors to have
an approved accounting system considered adequate for tracking costs applicable to the award.
The Government reserves the right to award all, part, or none of the applications in response to
this announcement.
It is anticipated that awards under this FOA will be administered in accordance with the non-
Federal entity’s preexisting internal accounting policies and practices. However, the accounting
practices of the non-Federal entity must be consistent with Cost Accounting Standards and must
provide adequate documentation to support costs charged to the Federal Government.
D. Review and Selection Process
The Selection Process will be conducted in two steps: First reviewing the Mandatory Letter of
Intent that shall be submitted prior to a full application. The Letter of Intent will be reviewed in
coordination with the Grants and Agreements Officer and designated Program Manager(s). After
review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer in writing to proceed and submit a Full Application through Valid Eval.
AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient. In the
case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer to NOT submit a Full Application through Valid Eval. If your Letter of
Intent is selected, you will then be instructed in writing by the Grants and Agreements Officer to
proceed to the second step of submitting a full application through Valid Eval. Only invited
applicants will be eligible to submit a full application.
SECTION III- Eligibility
A. Eligible Applicants
This competition is open to accredited U.S. institutions of higher education with degree granting
programs in science, mathematics, and/or engineering except for-profit educational institutions.
All proposed grants or cooperative agreements must meet criteria for public purpose in
accordance with 32 CFR 22.205. U.S and U.S. territory educational institutions are reminded that
any applications submitted in response to this announcement must stimulate or support a public
purpose (i.e. to aid), rather than acquisition (i.e. to acquire goods or services for direct benefit of
the United States Government).
Applications must substantially comply with the application submission instructions identified in
(Section IV - Submitting the Application) or they will be rejected. Any application pages more
than the allowable 20-page limitation will not be reviewed.
RDK-RAD-FOA-2024
Page 8 of 21

---

To assess risk posed by applicants, we review your application and Office of Management and
Budget (OMB) designated repositories of government-wide public and non-public data,
including comments you have made, as required by 31 U.S.C. 3321 and 41
U.S.C. 2313 and described in 2 CFR 200.205 and 32 CFR 22.410 to confirm you are qualified,
responsible, and eligible to receive an award.
B. Cost Sharing or Matching
Cost sharing is not required under this FOA. You are not prohibited from including voluntary
committed cost sharing or matching in your application. Cost sharing or matching is not an
evaluation factor.
C. Classification.
The only applications that will be accepted will be those that are unclassified and that do not
contain proprietary information. Proprietary information is defined as information that is not
public knowledge and that is viewed as the property of the holder. Proposed research should be
fundamental research. Fundamental Research means basic and applied research in science and
engineering, the results of which ordinarily are published and shared broadly within the
scientific community, as distinguished from proprietary research and from industrial
development, design, production, and product utilization, the results of which ordinarily are
restricted for proprietary or national security reasons.
SECTION IV - Submitting the Application
A. Pre-application Requirement: Letter of Intent (Mandatory)
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application. Only invited applicants will be eligible to submit a full application. All
applicants should be aware of the following:
Prior to submitting your application through Valid Eval, applicants are required to submit a
Letter of Intent through the Valid Eval Portal at
https://usg.valideval.com/teams/afrl_rad/signup, which will then be reviewed for potential
selection, to submit a full application. The letters should not contain any proprietary or sensitive
business information. Applicants are responsible for ensuring receipt of the Letter of Intent by
the Valid Eval system.
The Letter of Intent shall not exceed two (2) pages and at a minimum provide the following
details:
1. CTC Topic
2. ROM Estimate
3. Short Description of the Technical Effort
4. Period of Performance
5. Public Purpose
6. Contacts for University
RDK-RAD-FOA-2024
Page 9 of 21

---

7. Cage Code
NOTE: Applications submitted without prior submission of a Letter of Intent, will NOT be
considered for the proposed effort. Submission of a Letter of Intent does not warrant or guarantee
for a successful application or Award. If a Letter of Intent is not to be considered for request of a
full application, the applicant will be notified of non-select by the Grants and Agreements
Specialist or Grants and Agreements Officer through the Valid Eval system.
Letter of Intent Review and Notification
The Letter of Intent will be evaluated in coordination with the Grants and Agreements Officer
and designated Program Manager(s). This procedure is intended to minimize unnecessary efforts
in application preparation and inform Recipients of availability of funds. The Letter of Intent will
be reviewed within ten (10) working days of receipt. Applicants may be contacted by the Grants
and Agreements Officer, as well as the Program Manager(s) to discuss the proposed effort in the
Letter of Intent.
After review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer through Valid Eval to proceed and submit a Full Application at
https://usg.valideval.com/teams/afrl_rad/signup.
NOTE: AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient.
In the case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer through Valid Eval to NOT submit a Full Application.
B. Address to Request Application Package
Electronic Submission – After being notified of selection on a Letter of Intent by the Grants
Officer, full applications shall be submitted through Valid Eval at
https://usg.valideval.com/teams/afrl_rad/signup. Any full application not submitted through
Valid Eval will result in being disqualified for potential award. Forms are available at
Grants.gov. In the Grants.gov search function, enter the funding opportunity number for this
announcement (RDK-RAD-FOA-2024). The forms will also be available within the
attachments of the solicitation.
SF 424 Research and Related (R&R) - The SF 424 (R&R) must be used as the cover page
for all applications. Complete all required fields in accordance with form instructions for the
specified Mandatory fields, which will have an asterisk marking the field and will appear
yellow on most computers. In Grants.gov, some fields will self- populate based on the
FOA selected. Complete the SF 424 (R&R) first, as some fields on the SF 424 are used
to auto populate fields in other forms. The completion of most fields is self-explanatory
except for the following special instructions:
• Certification/Unique Agency Attachments: All awards require certifications of
compliance with national policy requirements and unique agency requirements or
assistance awards, i.e., grants, proposers using the SF 424 (R&R) are providing the
RDK-RAD-FOA-2024
Page 10 of 21

---

certification required by 32 CFR § 28 regarding lobbying.
Research and Related (R&R) Other Forms: The following other forms must be used for
applications:
DoD Women in Science, Technology, Engineering, and Mathematics Data Collection
Implementation:
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. A§
1681 Et. Seq.), the Department of Defense is collecting certain demographic and career
information to be able to assess the success rates of women who are proposed for key roles in
applications in STEM disciplines. To enable this assessment, each application must include the
following forms completed as indicated.
Research and Related Senior/Key Person Profile (Expanded) form:
The Degree Type and Degree Year fields on the Research and Related Senior/Key Personnel
Profile (Expanded) form will be used by DoD as the source for career information. In addition
to the required fields on the form, applicants must complete these two fields for all individuals
that are identified as having the project role of PD/PI or CO-PD/PI on the form. Additional
senior/key persons can be added by selecting the “Next Person” button.
Research and Related Personal Data Form:
This form will be used by DoD as the source of demographic information, such as gender, race,
ethnicity, and disability information for the Project Director/Principal Investigator and all other
persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must
include this form with the name fields of the Project Director/Principal Investigator and any
Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the
demographic information in the form is voluntary. If completing the form for multiple
individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the
“Next Person” button. The demographic information, if provided, will be used for statistical
purposes only and will not be made available to merit reviewers. Applicants who do not wish
to provide some or all the information should check or select the “Do not wish to provide”
option.
The R&R Sub award Budget Attachment Form:
Is required when sub awardees are involved in the effort. Prime recipients shall ensure sub
recipients’ cost information reflects the same level of detail as the primes’ cost information.
The format shall follow the Prime’s submission as well. See section IV. 3. (j.) R&R Budget
Form for detail on submission of the Prime’s budget information.
The SF-LLL form:
Is required when applicants have lobbying activities to disclose. PDF forms may be
obtained at the Grants.gov website. Standard Form – LLL, ‘Disclosure of Lobbying
Activities’ is in the down-loaded forms package.
R&R Project/Performance Site Locations Form:
Complete all information as requested.
RDK-RAD-FOA-2024
Page 11 of 21

---

R&R Other Project Information Form:
Human Subject/Animal Use and Environmental Compliance.
(a) Human Subject Use- Each application must address human subject involvement in the
research by addressing the appropriate fields shown on the R&R Other Project Information Form.
If selected for award, additional documentation in accordance with U.S. Air Force standards
will be required.
(b) Animal Use- Each application must address animal use protocols by addressing the
appropriate fields shown on the R&R Other Project Information Form. If selected for award,
additional documentation in accordance with U.S. Air Force standards will be required.
(c) Environmental Compliance- Federal agencies making assistance awards and recipients of
such awards must comply with various environmental requirements. The National
Environmental Policy Act of 1969 (NEPA), 42 U.S.C. Sections 4321- 4370 (a), requires that
agencies consider the environmental impact of “major Federal actions” prior to any final
agency decision. With respect to those awards which constitute “major Federal actions,” as
defined in 40 CFR § 1508.18, federal agencies may be required to comply with NEPA and
prepare an environmental impact statement (EIS) even if the agency does no more than aid
funds to the recipient. Questions regarding NEPA compliance should be referred to the
applicable AFRL Program Manager. Most research efforts funded by AFRL will, however,
qualify for a categorical exclusion from the need to prepare an EIS. U.S. Air Force
instructions/regulations provide for a categorical exclusion for basic and applied scientific
research usually confined to the laboratory, if the research complies with all other applicable
safety, environmental and natural resource conservation laws. Each application shall address
environmental impact by addressing the appropriate fields shown on the R&R Other Project
Information Form. This information will be used by AFRL to decide if the proposed research
effort qualifies for categorical exclusion.
Abstract:
Include a concise (not to exceed 300 words) (publicly releasable) abstract describing the
research objective, technical approaches, anticipated outcome and impact of the specific
research, and public purpose in accordance with 32 CFR §22.205. In the header of the
abstract include the CTC POC’s name. Attach the Abstract to the R&R Other Project
Information form in the appropriate field.
R&R Other Project Information Form - Project Narrative Instructions:
(a) Project Narrative – Clearly describe the research, objective, and approach to be
performed. Discuss the nature of the expected results. Additionally, state knowledge in the
field and include a bibliography and a list of literature citations. Identify and describe how
the effort will aid assistance that will stimulate or support a public purpose. The adequacy
of this information will influence the overall evaluation. Refer to the evaluation criteria
listed in Section II (B.) Criteria of this announcement. Also briefly indicate whether the
intended research will result in environmental impacts outside the laboratory, and how the
RDK-RAD-FOA-2024
Page 12 of 21

---

proposer will ensure compliance with environmental statutes and regulations. Attach the
application narrative to the R&R Other Project Information form in the appropriate field.
(b) Project Narrative - Statement of Work:
Offeror/applicant must submit a document entitled “Contractor Statement of Work” (C-
SOW) describing the actual technical tasks/subtasks to be completed, including goals and
objectives, and a detailed description of the approach for each. This C-SOW will be
incorporated into the award instead of incorporating the entire technical proposal. Active
verbs should be used in this statement of work (i.e., “conduct” research into a topic,
“investigate” a problem, “determine” to test a hypothesis). The C-SOW should not
contain proprietary information.
(c) Project Narrative - Research Effort:
Describe in detail the research to be performed. State the objectives and approach and
their relationship and comparable objectives in progress elsewhere. Additionally, state
knowledge in the field and include a bibliography and a list of literature citations. Discuss
the nature of the expected results. The adequacy of this information will influence the
overall evaluation. Applications for renewal of existing support must include a
description of progress if the proposed objectives are related.
(d) Project Narrative - Principal Investigator (PI) Time:
List the estimated time the PI and other senior professional personnel will devote to the
research. This shall include information pertaining to other commitments of time, such as
sabbatical or extended leave; and proportion of time to be devoted to this research
and to any other research. Awards may be terminated when the principal investigator
severs connections with the organization or is unable to continue active participation in
the research. State the number of graduate students for whom each senior staff member
is responsible. If the principal investigator or other key personnel are currently engaged
in research under other patronages, or expect to receive support from other agencies for
research during the time proposed for AFRL support, state the title of the other research,
the proportion of time to be devoted to it, the amount of support, name of agency, dates,
etc. Send any changes in this information as soon as they are known. Submit a short
abstract (including title, objectives, and approach) of that research and a copy of the
budget for both present and pending research projects.
(e) Project Narrative – Facilities:
Describe facilities available for performing the proposed research and any additional
facilities or equipment the organization proposes to acquire at its own expense. Indicate
government-owned facilities or equipment already possessed that will be used. Reference
the facilities contract number or, in the absence of a facilities contract, the specific
facilities or equipment and the number of the award under which they are accountable.
(f) Project Narrative – Special Test Equipment:
List special test equipment or other property required to perform the proposed research.
The Government will not provide special test equipment. When possible and practicable,
give a description or title and estimated cost of each item. When information on
RDK-RAD-FOA-2024
Page 13 of 21

---

individual items is unknown or not available, group the items by class and estimate the
values. In addition, state why it is necessary to acquire the property with award funds.
(g) Project Narrative – Equipment:
Justify the need for each equipment item. Additional facilities and equipment will not be
provided unless the research cannot be completed by any other practical means. Include
the proposed life expectancy of the equipment and whether it will be integrated with a
larger assemblage or apparatus. If so, state who owns the existing apparatus.
R&R Budget Form:
Estimate the total research project cost. Budget detail should clearly identify costs, which are
internal to the offeror and those that are used in pursuit of the objectives such as
scholarships, training, course preparation, etc. Categorize funds by year and provide separate
annual budgets for projects lasting more than one year. In addition to the Research and Related
Budget forms available on Grants.gov, the budget proposal should include a budget
justification for each year, clearly explaining the need for each item. Applicants who enter a
fee on Part J of the budget will not be eligible to receive a grant or cooperative agreement.
Attach the budget justification to Section K of the R&R Budget form.
C. Content and Form of Application Submission
Full Applications and Submission Information:
Applications must be submitted through Valid Eval to be considered for award.
Submit electronic applications through Valid Eval at:
https://usg.valideval.com/teams/afrl_rad/signup. The electronic submission of the application
must be made by an official representative of the institution who is registered with Grants.gov
and is authorized to sign applications for federal assistance.
Problems completing the registration process call Grants.gov at 1-800-518-4726 or send an email
to support@grants.gov.
Problems completing either the mandatory letter of intent or application submittal process, email
Valid Eval at support@valideval.com.
The Government seeks only Full Applications that:
(1) Have submitted a Letter of Intent to the Grants and Agreements Officer and Contracting
Specialist through Valid Eval,
(2) Have received in writing a notification from the Grants and Agreements Officer through
Valid Eval to proceed with a Full Application submitted through Valid Eval at
https://usg.valideval.com/teams/afrl_rad/signup, and
(3) Meet the eligibility requirements of Section III - Eligibility.
Full applications must conform to the following form and content requirements, including
maximum page lengths (described below) and must be submitted via Valid Eval. AFRL will not
extend deadlines for Recipients who fail to submit required information and documents due to
technological issues.
RDK-RAD-FOA-2024
Page 14 of 21

---

For more detailed instructions on creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/registration/add- profile.html.
The application must conform to the following requirements:
• Full Application Format (PDF);
• Paper Size – 8.5 x 11-inch paper
• Margins – 1 inch
• Spacing – single or double spaced
• Font – Times New Roman 12 point
• Page Limitation –Technical proposals shall not exceed twenty (20) pages. This includes
cover page, charts, graphs, maps, and photographs when printed using the formatting
requirements set forth above and single spaced. Page numbers must be included in the
footer of every page. References must be included as footnotes or endnotes in a font size
of 10. Footnotes and endnotes are counted toward the maximum page requirement.
• Unnecessarily elaborate applications are not desirable.
• Attachments – submit in PDF format (Adobe Portable Document Format)
• Cover Page should include AFRL Address, but not limited to the following: AFRL
RDKP (Attn: Ms. Mariah Salazar); RDK-RAD-FOA-2024
• Main Topic Area (Reference CTC Topic you will be submitting to)
The recipient shall apply describing the proposed research project’s:
(1) objective,
(2) general approach,
(3) public purpose in accordance with 32 CFR § 22.205, and 22.215 and
(4) impact on Department of Defense (DoD) mission. The application shall also contain any
unique capabilities or experience you may have (e.g., U.S. Air Force, DoD, or other Federal
laboratory).
Conferences and Workshops:
The Government understands that it is essential for the scientific community to maintain clear
lines of communication for thorough and well- reasoned research to be accomplished. One
conference or workshop may be allowed for each proposed assistance agreement. Conferences
and workshops have proven to be extremely valuable tools for AFRL. They allow our technical
managers the opportunity to receive current information in their respective disciplines. They
also allow AFRL the opportunity to inform the research community of the current thrust of
AFRL's programs. Conferences and workshops constitute key forums for research and
technology interchange. AFRL’s financial support through appropriate financing vehicles for
conferences and workshops is dependent on the availability of funds, Program Officer’s
discretion, and certain other restrictions including:
AFRL/RD support for a workshop or conference is not to be considered as an endorsement of
any organization, profit or non-profit. The subject matter of the conference or workshop is
scientific, technical, or involves professional issues that are relevant to the purpose of the
RDK-RAD-FOA-2024
Page 15 of 21

---

technical description of the grant or cooperative agreement.
Applications should include the following for all proposed conferences and workshops:
Conference/Workshop Information:
• Summary indicating the objective(s) of the conference/workshop
• Title, location, and date(s) of the conference/workshop
• Explanation of how the conference/workshop will relate to the research interests of
AFRL identified in Section III of the Funding Opportunity Announcement (FOA)
• List of proposed participants and method (or copies) of announcement or invitation
• Include cost information for the proposed conference/workshop (in addition to
information required on SF 424 (R&R) Budget forms)
Applications shall provide cost information in accordance with Attachment 1, Budget
Application Instructions-Assistance Instruments.
If selected for negotiation of an award, the Government reserves the right to request additional or
clarify information for any reason deemed necessary, including, but not limited to:
● Indirect cost information
● Other budget information or financial breakdown information
● Project Narrative details or technical proposal information
● Key Personnel
● Data Management Plan
D. Unique entity identifier and System for Award Management (SAM)
Registering for SAM.GOV
Read the instructions below about registering to apply for administering agency’s funds.
Applicants should read the registration carefully and prepare the information requested before
beginning the registration process. Reviewing and assembling the required information before
beginning the registration process will alleviate last minute searches for required information.
Creating a Grants.gov account can be completed online in minutes, but SAM registrations may
take several weeks to complete. Therefore, registration should be done in sufficient time to
ensure it does not impact your ability to meet required application submission deadlines.
Register with SAM:
Registrations in SAM now include the acceptance of Certifications and Assurances. Entities
creating new registrations and existing entities completing their annual registration renewals will
be required to review financial assistance representations and certification before their
registration can be activated.
Unique Entity Identifier (UEI) Number will also be given upon SAM registration.
Registration must be renewed annually. Unless exempted by 2 CFR § 25.110 all applicants must
(1) Be registered in the System for Award Management (SAM) prior to award;
(2) Maintain an active SAM registration with current information at all times during which it has
RDK-RAD-FOA-2024
Page 16 of 21

---

an active Federal award or an application under consideration by an agency.
Federal Awardee Performance and Integrity Information System (FAPIIS)
Per 41 U.S.C. 2313, as implemented 2 CFR § 200.205, prior to making an award above the
simplified acquisition threshold, this office is required to review and consider any information
available through the designated integrity and performance system (currently FAPIIS). Awardees
can comment on any information about themselves entered in the database, and this office will
consider any comments, along with other information in FAPIIS or other systems prior to
making an award. Government-wide policy on the use of the Federal Awardee Performance and
Integrity Information System (FAPIIS) within SAM facilitate the agencies’ processes for
judging proposed applicants to be qualified to receive an assistance award. AFRL may not
award to an applicant until the applicant has complied with all applicable unique entity identifier
and SAM requirements. If an applicant has not fully complied with the requirements by the time
the Federal awarding agency is ready to make a Federal award, the Federal agency may
determine that the applicant is disqualified.
E. Funding Restrictions:
Funds are not presently available for this effort. No award will be made under this
announcement until funds are available. The Government reserves the right to cancel the
announcement, either before or after the closing date. In the event the Government cancels the
announcement, the Government has no obligation to reimburse an offeror for any costs.
The U.S. Government does not guarantee an award in each topic area. Further, be advised that as
funds are limited, otherwise meritorious applications may not be funded. Therefore, it is
important that applications show strength in as many of the evaluation area as practicable for
maximum competitiveness.
Availability of Funds.
Funding for all awards and future budget periods are contingent upon the availability of funds
appropriation for the purpose of this effort and the availability of future-year budget authority.
Resultant awards will not allow reimbursement of pre-federal award costs.
Cost Principles.
Costs must be allowable, allocable, and reasonable in accordance with the applicable Federal
cost principles referenced in 2 CFR part 200 and FAR Part 31.
Pre-Award Costs.
Pre-award costs are incurred at the applicant’s risk. The Government is under no obligation to
reimburse such costs if for any reason the applicant does not receive an award, or if the award is
made for an amount less than the applicant’s expectation. Requests for Pre-Award Costs will be
submitted to the Grants Officer for review and consideration of approval.
Performance of Work in the United States.
All work performed under this FOA must be performed in the United States. If the prime
applicant fails to comply with the Performance of Work in the United States requirement, AFRL
may deny reimbursement for the work conducted outside the United States and such costs may
RDK-RAD-FOA-2024
Page 17 of 21

---

not be recognized as allowable.
Foreign Travel.
Foreign travel costs are not allowable under this FOA unless approval has been granted by the
Grants and Agreements Officer.
DoD Directive 5230.24 and DoD Instruction 5230.27 define contracted fundamental
research in a DoD context as follows:
“Contracted Fundamental Research. Includes [research performed under] grants and contracts
that are (a) funded by budget Category 6.1 ("Research"), whether performed by universities or
industry or (b) funded by budget Category 6.2 ("Exploratory Development") and performed on-
campus at a university. The research shall not be considered fundamental in those rare and
exceptional circumstances where the 6.2-funded 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 contract
or grant."
F. Other Submission Requirements
Science & Technology (S&T) Program Protection: Interested Recipients shall include a
requirement for submission of:
1.) A completed Standard Form (SF 424), Research and Related Senior/Key Person Profile
(Expanded) Form (This form can be found under Forms Tab on Grants.gov site) for all
Senior/Key Personnel proposed; and
2.) A Completed Security Program Questionnaire (See Attachments). Offerors may be asked to
provide a mitigation plan for any identified S&T Protection risks. The Government reserves the
right to determine a potential recipient un-awardable on the grounds of unacceptable S&T
Protection risk based on its review of the SF 424 and Security Program Questionnaire.
By applying, the Offeror certifies that it follows Section 223(a) of the William M. (Mac)
Thornberry National Defense Authorization Act for Fiscal Year 2021 which requires that:
(A) the Principal Investigator (PI) and other key personnel certify that the current and pending
support provided on the application is current, accurate and complete;
(B) agree to update such disclosure at the request of the agency prior to the award of support and
at any subsequent time the agency determines appropriate during the term of the award; and
(C) the PI and other key personnel have been made aware of the requirements under Section
223(a)(1) of this Act. 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 218, Section 1001).
Joint Certification Program (JCP):
Was established in 1985 to allow United States (U.S.)/Canadian contractors to apply for access
to Department of Defense/Department of National Defense (DOD/DND) unclassified export
controlled technical data/critical technology on an equally favorable basis in accordance with
DODD 5320.25 “Withholding of Unclassified Technical Data and Technology from Public
RDK-RAD-FOA-2024
Page 18 of 21

---

Disclosure”, and Canadian Technical Data Control Regulations.
Electronic Document Access (EDA) and Wide Area Workflow (WAWF):
Electronic Document Access System (EDA) is a Web-based system that provides secure online
access, storage and retrieval of awards and modifications to DoD employees and vendors.
Wide Area Workflow (WAWF) application is designated as the Department of Defense standard
for electronic invoicing and payment. All parties doing business with ONR are strongly
encouraged to register to participate in the WAWF program. For additional information on
registration and the electronic payment process as with (EDA) complete a self-registration
request as a “Vendor” through https://wawf.eb.mil/
Employees of commercial firms under contract to the Government may be used to
administratively process applications and may gain access to proprietary information contained
in applications and/or post award documentation. These support contracts include
nondisclosure agreements prohibiting their contractor employees from disclosing any
information submitted by other contractors.
DoD Required Elements:
In accordance with 2 CFR 200.205 DoD will conduct a risk assessment of all potential
recipients. In addition to the elements listed in 2 CFR 200.205, DoD components may include
other criteria to determine various types of risk, such as protocols for the protection of
intellectual property, controlled information, key personnel, and information about critical
technologies relevant to national security, human subjects, and Personally Identifiable
Information (PII), as listed in the notice of funding opportunity.
Section V - Application Review Information
A. Federal Award Notices
The applicant’s approved account holder for Valid Eval will receive confirmation upon
completing the submission to https://usg.valideval.com/teams/afrl_rad/signup. After an
institution applies, Valid Eval generates a submission receipt via email and sets the
application status to “Received”. This receipt verifies the application has been successfully
delivered to the Valid Eval system.
It is expected that applicants will be notified in writing of funding decisions via email.
Notification of selection does not indicate that the applicant can start work on the project. Project
initiation is dependent upon award of the actual Grant or Cooperative Agreement by a warranted
Grants and Agreements Officer.
All awards require final technical reports, financial reports, and final patent reports. Copies of
publications and presentations shall be submitted in accordance with the terms and conditions
of the assistance award.
B. Other Information
Modifications and No Cost Extensions (NCE): AFRL grants NCEs only in situations which
RDK-RAD-FOA-2024
Page 19 of 21

---

the extension is truly warranted and properly documented. In no event will the period of
performance be extended merely for the purpose of using unobligated balances. Institutions
should make every effort to ensure work is completed on time. If an institution deems an NCE
is truly warranted, it shall submit its request for an extension and supporting reasons to the
relevant Grants Officer. (Reference 32 CFR § 32.25, Revision of Budget and Program Plans
for further guidance)
Data Rights
The Government reserves the right to assert intangible property rights in accordance with 32 CFR
§ 32.36 for any assistance instrument awarded because of this announcement.
C. Reporting
Interested recipients are required to abide by 2 CFR 180.335 and 180.350 if an award is made.
D. Federal Awarding Agency Contact(s)
For technical issues regarding this FOA or administrative issues regarding this FOA, contact the
grants specialist at the email address identified in Section V. All questions must be received in
writing via email with the reference line referring to this notice (RDK-RAD-FOA-2024).
Important Notice Regarding Questions of a Business Nature All questions shall be
submitted in writing by electronic email. Questions presented by telephone call, fax message, or
other means will not be responded to.
CONTRACTING POCs:
Primary: Grants Officer: Ms. Mariah Salazar; mariah.salazar@us.af.mil
Alternate: Grants Officer: Ms. Jennifer Jaramillo; jennifer.jaramillo@us.af.mil
Grants Specialist: Ms. Monique Esquibel-Sena; monique.esquibel_sena@us.af.mil
Ombudsman:
a) An ombudsman has been appointed to hear and facilitate the resolution of concerns from
recipients, potential recipients, and others for this requirement. When requested, the
ombudsman will maintain strict confidentiality as to the source of the concern. The existence
of the ombudsman does not affect the authority of the Program Manager, Agreements Officer,
or Approving Official. Further, the ombudsman does not participate in the evaluation of
applications, the award process, or the adjudication of protests or formal disputes. The
ombudsman may refer the party to another official who can resolve the concern.
b) Before consulting with an ombudsman, interested parties must first address their concerns,
issues, disagreements, and/or recommendations to the Agreements Officer for resolution.
Consulting an ombudsman does not alter or postpone the timelines for any other processes
(e.g., agency level protests, GAO protests, requests for debriefings, employee-employer
actions, contests of OMB Circular A-76 competition performance decisions).
RDK-RAD-FOA-2024
Page 20 of 21

---

c) If a resolution cannot be made by the Agreements Officer, concerned parties may contact
the AFRL ombudsmen:
Ombudsman: AFRL Director of Contracts, AFRL/PK, 1864 4th Street, Bldg 15, Room 225,
Wright Patterson AFB OH 45433-7130, 937-255-5235, E-mail: afrl.pk.workflow@us.af.mil
d) The ombudsman has no authority to render a decision that binds the agency.
e) Do not contact the ombudsman to request copies of the announcement, verify offer due
date, or clarify technical requirements. Such inquiries shall be directed to the Agreements
Officer.
Section VI – Appendix, Attachments, and References:
Attachments:
1. Attachment I, Budget Proposal Instructions
2. Attachment II, DoD Research General Terms and Conditions – September 2023
3. Attachment III, Data Management Plan
4. Attachment IV, SF424
5. Attachment V, Security Program Questionnaire Form
RDK-RAD-FOA-2024
Page 21 of 21

---

RDK-RAD-FOA-2024_AMEND3

DEPARTMENT OF THE AIR FORCE
AIR FORCE RESEARCH LABORATORY
KIRTLAND AIR FORCE BASE NEW MEXICO
AFRL RV/RD University Assistance Instrument Program
Funding Opportunity Announcement (FOA)
FUNDING OPPORTUNITY NUMBER: RDK-RAD-FOA-2024
FUNDING OPPORTUNITY ANNOUNCEMENT TITLE: Research and Development (RAD)
Directed Energy (RD) University Assistance Instruments
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER(S): 12.800 Air
Force Defense Research Sciences Program
FEDERAL AGENCY NAME: Air Force Research Laboratory (AFRL) Directed Energy (RD)
Directorates; Kirtland AFB, NM
Announcement Type and Key Dates:
Announcement Type Key Dates and Times
FOA Issue Date JULY 18, 2024, 4:00 PM Eastern Standard Time
FOA AMEND I Issue Date JULY 19, 2024, 12:00 PM Eastern Standard Time
FOA AMEND II Issue Date JULY 29, 2024, 2:00 PM Eastern Standard Time
FOA AMEND III Issue Date DECEMBER 03 2024, 2:00PM Eastern Standard Time
Final Submission Deadline for Letters of JULY 18, 2029, 4:00 PM Eastern Standard Time
Intent
INTRODUCTION: This is a five-year open Funding Opportunity Announcement (FOA)
accepting Letters of Intent from the date of publication for award of grants and cooperative
agreement assistance instruments, with a ceiling of $49M. Once the announcement has reached
the end of the 5-year period, or ceiling has been met prior to the 5-year period, the announcement
will be closed.
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application if letter of intent is selected. Only invited applicants will be eligible to
submit a full application. Letters of intent may be submitted at any time during this 5-year period
and are evaluated as they are received. Prior to submitting a full application, Recipients are
required to submit a Letter of Intent through the Valid Eval Portal at
https://usg.valideval.com/teams/afrl_rad/signup. DO NOT submit a full application at the same
time of submitting the mandatory Letter of Intent, prematurely submitting applications before
being notified that your letter of intent was selected will result in the application not being
evaluated. Should a full application be requested, the interested party must submit electronically
through the Valid Eval portal at https://usg.valideval.com/teams/afrl_rad/signup. No hard copy
submissions will be accepted.
RDK-RAD-FOA-2024
Page 1 of 23

---

This FOA will be evaluated on an annual basis. It is the applicant’s responsibility to periodically
check this FOA for any amendments that may modify the announcement, as amendments can
happen at any time. Amendments to the original funding opportunity announcement (FOA) will
be posted to the Grants.gov Webpage: https://www.grants.gov/.
BACKGROUND: The Air Force Research Laboratory Directed Energy Directorate (RD) is the
Department of the Air Force's Center of Expertise for directed energy and optical technologies.
The Directorate develops and transitions technologies in four core technical competencies: Laser
Systems, Directed Energy and Electro-Optics for Space Superiority, High Power
Electromagnetics, and Weapons Modeling, Simulation, and Analysis. This five-year, open FOA
is for soliciting research applications for Basic, Applied, and Advanced Research in the Core
Technical Competencies (CTCs) described above. Multiple awards of assistance instruments are
anticipated with periods of performance ranging from one to five years. All funding is subject to
change due to Government discretion and availability. Potential offerors should be aware that,
due to unanticipated budget fluctuations, funding may change with little or no notice. There are
no limits to the number of Letters of Intent an applicant may submit for this FOA. The
Government reserves the right to make multiple awards or no awards pursuant to this
announcement.
RDK-RAD-FOA-2024
Page 2 of 23

---

TABLE OF CONTENTS:
Section I- Funding Opportunity Description
A. Program DescriptionError! Bookmark not defined.
B. Directed Energy CTC Topics
Section II- Federal Award Information
A. Submission Due Date and Time
B. Criteria
C. Type of Award Instrument
D. Review and Selection Process
Section III- Eligibility Information
A. Eligible Applicants
B. Cost Sharing or Matching
C. Classification
Section IV- Application and Submission Information
A. Pre Application Letter of Intent (Mandatory)
B. Address to Request Application Package
C. Content and Form of Application Submission
D. Unique entity identifier and System for Award Management (SAM)
E. Funding Restrictions
F. Other Submission Requirements
Section V - Application Review Information
A. Federal Award Notices
B. Other Information
C. Reporting
D. Federal Awarding Agency Contact(s)
RDK-RAD-FOA-2024
Page 3 of 23

---

SECTION I: FUNDING OPPORTUNITY DESCRIPTION
A. Program Description
AFRL RD is seeking unclassified applications that do not contain proprietary information.
Proprietary information is defined as information that is not public knowledge and that is
viewed as the property of the holder. Proposed research should be fundamental research. As
defined in the National Security Decision Directive 89, “Fundamental Research means basic
and applied research in science and engineering, the results of which ordinarily are published
and shared broadly within the scientific community, as distinguished from proprietary
research and from industrial development, design, production, and product utilization, the
results of which ordinarily are restricted for proprietary or national security reasons.”
Applications shall be in accordance with Department of Defense (DoD) Directive 5230.24
and DoD Instruction 5230.27 and 32 CFR § 22.105 that further defines Basic, Applied and
Advance Research as follows:
a) Basic Research. Efforts directed toward increasing knowledge and understanding in
science and engineering, rather than the practical application of that knowledge and
understanding. It is funded within Basic Research (Budget Activity 1 and Research
Category 6.1) programs within Research, Development, Test and Evaluation
(RDT&E). For the purposes of this part, basic research includes:
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
b) Applied Research. Efforts that attempt to determine and exploit the potential of
scientific discoveries or improvements in technology such as new materials, devices,
methods, and processes. It is funded in Applied Research (Budget Activity 2 and
Research Category 6.2) programs within Research, Development, Test and
Evaluations (RDT&E). Applied research normally follows basic research but may not
be fully distinguishable from the related basic research. The term does not include
efforts whose principal aim is the design, development, or testing of specific
products, systems, or processes to be considered for sale or acquisition; these efforts
are within the definition of “development.”
32 CFR § 22.105 further defines fundamental research regarding 6.1 and 6.2 funding
in a comparison to Basic and Applied Research as follows:
c) Advanced Research. Advanced technology development that creates new
technology or demonstrates the viability of applying existing technology to new
products and processes in a general way. Advanced research is most closely
analogous to precompetitive technology development in the commercial sector (i.e.,
RDK-RAD-FOA-2024
Page 4 of 23

---

early phases of research and development on which commercial competitors are
willing to collaborate, because the work is not so coupled to specific products and
processes that the results of the work must be proprietary). It does not include
development of military systems and hardware where specific requirements have
been defined. It is typically funded in Advanced Technology Development (Budget
Activity 3 and Research Category 6.3) programs within Research, Development, Test
and Evaluation (RDT&E).
Research-related, science and engineering education including graduate fellowships
and research traineeships. Research instrumentation and other activities designed to
enhance the infrastructure for science and engineering research.
B. Directed Energy CTCs:
The AFRL Directed Energy Directorate is interested in receiving applications under this
announcement to establish assistance agreements with U.S. /U.S. territories’ colleges and
universities for directed energy-related basic, applied, and advanced research projects that
provide a public purpose and are of interest to the Department of Defense mission. The scope
of the research will include the entire spectrum of directed energy technology applicable to the
Air Force, including all tangentially related directed energy. The research shall include, but
not be limited to the following Core Technical Competencies (CTCs): Laser Systems, Directed
Energy and Electro-Optics for Space Superiority, High Power Electromagnetics, and Weapons
Modeling, Simulation, and Analysis. The research activities managed within each CTC are
summarized below.
1. Laser Systems: This includes solid-state, fiber, and hybrid laser sources for scalable, high
energy laser devices. This also includes advanced beam control, laser effects, and predictive
modeling for laser subsystems, systems, propagation, and target vulnerability.
2. Directed Energy and Electro-Optics for Space Superiority: This includes advanced optical
and imaging technologies such as optical components, optical coatings, advanced beam control,
atmospheric compensation, adaptive optics, and pointing and tracking specifically for tracking
and imaging space objects from ground-based telescopes, as well as free space quantum
communication and networking.
3. High Power Electromagnetics: This includes generation and transmission of high-power
microwaves (HPM), identification of the susceptibility and vulnerability of electronic systems to
HPM, and applications of HPM to meet national defense needs. Technologies include HPM
sources, pulsed power, high energy beam and plasma physics, and full system, High
Performance Computing-enabled numerical simulation.
4. Weapons Modeling, Simulation, and Analysis: This includes computer simulation/analysis
of directed energy and kinetic weapons concepts at the mission level and development of
RDK-RAD-FOA-2024
Page 5 of 23

---

coupled computation models for Directed Energy concept analysis.
SECTION II: Federal Award Information
A. Submission Dates and Times:
Letter of Intent may be submitted any time from the FOA issue date, until the final submission
deadline for letters of intent. Prior to submitting an application, Applicants are required to submit
a Letter of Intent. Applicants are required to submit a Letter of Intent through the Valid Eval
Portal at https://usg.valideval.com/teams/afrl_rad/signup, which will then be reviewed for
potential selection, to submit a full application.
Final Submission Deadline for Letters of Intent 18 July 2029, no later than 4:00 PM EST.
Letters of Intent and/or Applications received after the Final Submission Deadline will be
deemed late and will not be accepted for review. Applicants are encouraged to transmit Letters of
Intent well before the deadline. Subsequent applications must be submitted electronically
through the Valid Eval at https://usg.valideval.com/teams/afrl_rad/signup.
B. Criteria:
Applications submitted under this FOA are evaluated through merit-based competitive
procedures in accordance with 32 CFR § 22.315. Applications may be evaluated by the
appropriate AFRL Technology Departments, and other military services. The evaluation criteria
are listed in descending order of importance. No further evaluation criteria will be used to
evaluate letters of intent and applications. The technical and budget proposals will be evaluated
at the same time. The Government reserves the right to award all, part, or none of the
technical/C-SOW applications received. The Agreements Officer is the only official authorized
to make award, which will be made IAW 2 CFR.
The evaluation criteria for MANDATORY letters of intent are listed in descending order of
importance:
1. Relevancy to AFRL RD CTC Topic
2. Funds Available
3. Is the interested party a University or College
The evaluation criteria are listed in descending order of importance:
1. Technical merits of the application research and development such as creativity,
innovation, feasibility, and efficacy to achieve the CTC Topic Area objectives under this
FOA.
• The quality of the program’s plan to execute proposed activity and assess
effectiveness of the program and participant outcomes;
RDK-RAD-FOA-2024
Page 6 of 23

---

• The Applicant’s capabilities, related experience, facilities, techniques or unique
combinations of these which are integral factors for achieving the application
objectives;
• The qualifications, capabilities and experience of the proposed Project Director /
Principal Investigator, team leader and key personnel who are critical to achieving the
application objectives.
2. Potential relevance and alignment of the proposed research and development to the
Department of Defense missions.
3. Cost - Applications shall be complete, reasonable, and realistic. The availability of funds
to support the effort and long-term sustainability of the project will be considered.
C. Type of Award Instrument:
Awards made under this announcement will fall under the purview of 2 CFR Part 200 Grants
and Agreements and 32 CFR Part 21 Department of Defense Grants and Agreements
Regulations (DoDGAR). The Government (AFRL) reserves the right to award all, part, or none
of the applications in response to this announcement. The Government provides no funding for
reimbursement of application development costs. This FOA is intended for applications that
provide strategic solutions that meet the evaluation criteria specified in this FOA. Awards will
take the form of grants and cooperative agreements. Cooperative Agreements allow for
“substantial involvement” between the Federal awarding agency or pass-through entity and the
non-Federal entity in carrying out the activity contemplated by the Federal award. Any
assistance instrument awarded under this announcement will be governed by the award terms
and conditions that conform to guidance in 2 C.F.R. 200, Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards.
The Government reserves the right to cancel this announcement, either before or after the closing
date. In the event the Government cancels this solicitation, or a Recipient is not selected for an
award, the Government is under no obligation to pay for any costs associated with preparing or
applying to this FOA.
The Government will not issue paper copies of this announcement. A formal Request for
Applications, solicitation, and/or additional information regarding this announcement will not be
issued.
In accordance with 31 U.S.C 6302, 6304 and 31 U.S.C. 6305:
• Grant is a legal instrument which, consistent with 31 USC 6302, and 6304, is used to
enter a relationship:
a. Of which the principal purpose is to transfer a thing of value to the recipient to carry
out a public purpose of support or stimulation authorized by a law of the United
States, rather than to acquire property or services for the DoD’s direct benefit or use.
b. In which substantial involvement is not expected between DoD and the recipient
when carrying out the activity contemplated by the award.
• Cooperative agreement is a legal instrument which, consistent with 31 USC 6302-6305,
is used to enter the same kind of relationship as a grant (see definition of “grant” in this
RDK-RAD-FOA-2024
Page 7 of 23

---

part above), except that substantial involvement is expected between the DoD and the
recipient when carrying out the activity contemplated by the cooperative agreement. The
term does not include “cooperative research and development agreements” as defined in
15 U.S.C. 3710a.
The Air Force reserves the right to award the instrument best suited to the nature of the
research proposed. It is anticipated the awards will be made in the form of cost-reimbursement
(no fee) grant and cooperative agreement awards, which require the successful offerors to have
an approved accounting system considered adequate for tracking costs applicable to the award.
The Government reserves the right to award all, part, or none of the applications in response to
this announcement.
It is anticipated that awards under this FOA will be administered in accordance with the non-
Federal entity’s preexisting internal accounting policies and practices. However, the accounting
practices of the non-Federal entity must be consistent with Cost Accounting Standards and must
provide adequate documentation to support costs charged to the Federal Government.
D. Review and Selection Process
The Selection Process will be conducted in two steps: First reviewing the Mandatory Letter of
Intent that shall be submitted prior to a full application. The Letter of Intent will be reviewed in
coordination with the Grants and Agreements Officer and designated Program Manager(s). After
review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer in writing to proceed and submit a Full Application through Valid Eval.
AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient. In the
case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer to NOT submit a Full Application through Valid Eval. If your Letter of
Intent is selected, you will then be instructed in writing by the Grants and Agreements Officer to
proceed to the second step of submitting a full application through Valid Eval. Only invited
applicants will be eligible to submit a full application.
Security Risk Review:
(a) Each letter of intent submission will be subject to a Security Risk Review prior to selection
for award. The Security Risk Review is applied to federally funded research designed to help
protect Department of the Air Force Science and Technology (S&T) by identifying possible
vectors of undue foreign influence. AFRL will follow all policy and procedures outlined in Air
Force Research Laboratory (AFRL) Instruction AFRLI 61-113, Science and Technology
Protection for the Air Force Research Laboratory and Department of the Air Force Instruction
DAFI 63-101/20-101, Integrated Lifecycle Management.
(b) Security risk review for these subject mandatory letters of intent will be developed for all
proposed Senior/Key personnel and “Covered Individuals”. These risk reviews will be based on
information disclosed in a Research and Related Senior and Key Person Profile and Security
Questionnaire. In addition, any accompanying or referenced documents, publicly available
information, and information contained in internal U.S. Government databases will be utilized in
risk reviews. Nationality or citizenship is not a factor in the security risk reviews.
RDK-RAD-FOA-2024
Page 8 of 23

---

(c) When considering all external engagements, AFRL incorporates a holistic decision-making
process that encompasses technical and security factors. The security review method
implemented by AFRL measures risk factors to identify the appropriate Risk Acceptance Level
(RAL) within the organization. The objective analysis of the security risk factors is conducted to
empower AFRL’s S&T leaders to make risk-informed decisions. The review process generally
looks at five factors, or risk areas, but with authority for expanded review as noted in OSD R&E
Memorandum dated 6 Jun 2023. The potential security risk factors are set forth below:
Potential security risk factors:
Actions Required by Applicants/Recipients at letter of intent submission.
(a) In accordance with AFRLI 61-113, S&T Protection, Applicants/Recipients are required to
submit the following documentation with their letter of intent:
(1) Grant or Cooperative Agreement (CA) letter of intent submittals (prior to full
application request provided by the Grant Officer):
(i) Standard Form 424, “Research and Related Senior and Key Person Profile
(Expanded) (See Appendix 1) AND;
(ii) Security Program Questionnaire (See Appendix 2) AND;
(iii) “Privacy Act Statement” consent form for each Covered Individual that is
also signed by the Applicants/Recipients as that Individual’s Sponsor. (See “Covered Individual”
section below, and Appendix 4)
(2) In the event a security risk is identified, and the Government has determined the
security risk exceeds the acceptable threshold, the Applicant/Recipient will be notified and
informed of the decline of award. The Government will only provide a general statement of the
reasoning due to Government OPSEC measures.
(3) By submission of the Research and Related Senior Key Person Profile and Security
Program Questionnaire, the Applicant/Recipient agrees to comply with the following:
(i) To certify that each covered individual who is listed on the application has
been made aware: 1) of all relevant disclosure requirements, including the requirements
of 42 U.S.C. § 6605; and 2) that false representations may be subject to prosecution and
liability pursuant to, but not limited to, 18 U.S.C. §§287, 1001, 1031 and 31 U.S.C. §§
3729-3733 and 3802. See National Science and Technology Council Guidance for
Implementing National Security Presidential Memorandum 33 (NSPM-33) on National
Security Strategy for United States Government-Supported Research and Development
(January 2022).
(ii) To establish and maintain an internal process or procedure to address foreign
talent programs, conflicts of commitment, conflicts of interest, and research integrity.
(iii) To exercise due diligence to identify Foreign Components or participation by
Senior/Key Personnel in Foreign Government Talent Recruitment Programs and agree to
share such information with the Government upon request.
Actions Required by Covered Individuals.
(a) Covered Individual. An individual who contributes to a substantive, meaningful way to the
scientific development or execution of a research and development project proposed to be carried
out with a research and development award from a federal research agency; and is designated as
a covered individual by the federal research agency concerned. See 42 U.S.C. § 6605,
Definitions. (Note: For purposes of a Broad Agency Announcement (BAA) solicitation,
RDK-RAD-FOA-2024
Page 9 of 23

---

“covered individuals” are all Senior/Key Personnel.)
(b) Federal law requires that all current and pending research support, as defined by 42 U.S.C.
§6605, must be disclosed at the time of proposal submission, for all covered individuals. The
Government may require an updated disclosure during the performance of any research project
selected for funding. The Government will require an updated disclosure whenever covered
individuals are added or identified as performing under the funded project.
(c) Covered Individuals are also required to sign the “Privacy Act Statement” and provide such
signed statement to the Applicant/Recipient for submission with the proposal. (See Appendix 4)
(d) Any decision to accept a proposal for funding under this announcement will include full
reliance on the individual’s statements. Failure to report fully and completely all sources of
project support and outside positions and affiliations may be considered a material statement
within the meaning of the False Claims Act, 31 U.S.C. 3729, and constitute a violation of
Federal law.
Actions required by Applicants/Recipients during period of performance:
(a) Applicant/Recipient will be required to re-submit the Research and Related Senior and Key
Person Profile as an annual requirement. In addition, whenever a new covered individual(s) is to
be added or identified as performing under the funded project, a new Research and Related
Senior and Key Person Profile will be required prior to continued performance.
(b) If, at any time, during performance of this award, the Applicant/Recipient learns that its
Senior/Key Research Personnel (including any sub awardee personnel who receive this
designation) are or are believed to be participants in a Foreign Government Talent Program or
have Foreign Components with a strategic competitor or country with a history of targeting U.S.
technology for unauthorized transfer, the Applicant/Recipient will notify the
Contracting/Grants/Agreements Officer within 5 business days of awareness.
(c) This disclosure must include specific information as to the personnel involved and the nature
of the situation and relationship. The Government will review this information and conduct any
necessary fact-finding or discussion with the Applicant/Recipient. The Government’s
determination on disclosure may include acceptance, mitigation, or termination of the award.
(d) Failure of the Applicant/Recipient to reasonably exercise due diligence to discover or ensure
that neither it nor any of its Senior/Key Research Personnel involved in the subject award are
participating in a Foreign Government Talent Program or have a Foreign Component with a
strategic competitor or country with a history of targeting U.S. technology for unauthorized
transfer may result in the Government exercising remedies in accordance with federal law and
regulation.
(e) The Applicant/Recipient will be required to flow down this provision to all sub awardees who
have personnel designated as Senior/Key Research Personnel because of their involvement in the
performance of the research.
RDK-RAD-FOA-2024
Page 10 of 23

---

SECTION III- Eligibility
A. Eligible Applicants
This competition is open to accredited U.S. institutions of higher education with degree granting
programs in science, mathematics, and/or engineering except for-profit educational institutions.
All proposed grants or cooperative agreements must meet criteria for public purpose in
accordance with 32 CFR 22.205. U.S and U.S. territory educational institutions are reminded that
any applications submitted in response to this announcement must stimulate or support a public
purpose (i.e. to aid), rather than acquisition (i.e. to acquire goods or services for direct benefit of
the United States Government).
Applications must substantially comply with the application submission instructions identified in
(Section IV - Submitting the Application) or they will be rejected. Any application pages more
than the allowable 20-page limitation will not be reviewed.
To assess risk posed by applicants, we review your application and Office of Management and
Budget (OMB) designated repositories of government-wide public and non-public data,
including comments you have made, as required by 31 U.S.C. 3321 and 41
U.S.C. 2313 and described in 2 CFR 200.205 and 32 CFR 22.410 to confirm you are qualified,
responsible, and eligible to receive an award.
B. Cost Sharing or Matching
Cost sharing is not required under this FOA. You are not prohibited from including voluntary
committed cost sharing or matching in your application. Cost sharing or matching is not an
evaluation factor.
C. Classification.
The only applications that will be accepted will be those that are unclassified and that do not
contain proprietary information. Proprietary information is defined as information that is not
public knowledge and that is viewed as the property of the holder. Proposed research should be
fundamental research. Fundamental Research means basic and applied research in science and
engineering, the results of which ordinarily are published and shared broadly within the
scientific community, as distinguished from proprietary research and from industrial
development, design, production, and product utilization, the results of which ordinarily are
restricted for proprietary or national security reasons.
SECTION IV - Submitting the Application
A. Pre-application Requirement: Letter of Intent (Mandatory)
This FOA has a two-part application process starting with a MANDATORY Letter of Intent, and
then a full application. Only invited applicants will be eligible to submit a full application. All
applicants should be aware of the following:
RDK-RAD-FOA-2024
Page 11 of 23

---

Prior to submitting your application through Valid Eval, applicants are required to submit a
Letter of Intent through the Valid Eval Portal at
https://usg.valideval.com/teams/afrl_rad/signup, which will then be reviewed for potential
selection, to submit a full application. The letters should not contain any proprietary or sensitive
business information. Applicants are responsible for ensuring receipt of the Letter of Intent by
the Valid Eval system.
The Letter of Intent shall not exceed two (2) pages and at a minimum provide the following
details:
1. CTC Topic
2. ROM Estimate
3. Short Description of the Technical Effort
4. Period of Performance
5. Public Purpose
6. Contacts for University
7. Cage Code
NOTE: Applications submitted without prior submission of a Letter of Intent, will NOT be
considered for the proposed effort. Submission of a Letter of Intent does not warrant or guarantee
for a successful application or Award. If a Letter of Intent is not to be considered for request of a
full application, the applicant will be notified of non-select by the Grants and Agreements
Specialist or Grants and Agreements Officer through the Valid Eval system.
Letter of Intent Review and Notification
The Letter of Intent will be evaluated in coordination with the Grants and Agreements Officer
and designated Program Manager(s). This procedure is intended to minimize unnecessary efforts
in application preparation and inform Recipients of availability of funds. The Letter of Intent will
be reviewed within thirty (30) working days of receipt. Applicants may be contacted by the
Grants and Agreements Officer, as well as the Program Manager(s) to discuss the proposed
effort in the Letter of Intent.
After review of the Letter of Intent, invited applicants will be instructed by the Grants and
Agreements Officer through Valid Eval to proceed and submit a Full Application at
https://usg.valideval.com/teams/afrl_rad/signup.
NOTE: AFRL reserves the right to reject a Letter of Intent provided by an interested Recipient.
In the case of rejection, the interested Recipient will be instructed in writing by the Grants and
Agreements Officer through Valid Eval to NOT submit a Full Application.
B. Address to Request Application Package
Electronic Submission – After being notified of selection on a Letter of Intent by the Grants
Officer, full applications shall be submitted through Valid Eval at
https://usg.valideval.com/teams/afrl_rad/signup. Any full application not submitted through
RDK-RAD-FOA-2024
Page 12 of 23

---

Valid Eval will result in being disqualified for potential award. Forms are available at
Grants.gov. In the Grants.gov search function, enter the funding opportunity number for this
announcement (RDK-RAD-FOA-2024). The forms will also be available within the
attachments of the solicitation.
SF 424 Research and Related (R&R) - The SF 424 (R&R) must be used as the cover page
for all applications. Complete all required fields in accordance with form instructions for the
specified Mandatory fields, which will have an asterisk marking the field and will appear
yellow on most computers. In Grants.gov, some fields will self- populate based on the
FOA selected. Complete the SF 424 (R&R) first, as some fields on the SF 424 are used
to auto populate fields in other forms. The completion of most fields is self-explanatory
except for the following special instructions:
• Certification/Unique Agency Attachments: All awards require certifications of
compliance with national policy requirements and unique agency requirements or
assistance awards, i.e., grants, proposers using the SF 424 (R&R) are providing the
certification required by 32 CFR § 28 regarding lobbying.
Research and Related (R&R) Other Forms: The following other forms must be used for
applications:
DoD Women in Science, Technology, Engineering, and Mathematics Data Collection
Implementation:
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. A§
1681 Et. Seq.), the Department of Defense is collecting certain demographic and career
information to be able to assess the success rates of women who are proposed for key roles in
applications in STEM disciplines. To enable this assessment, each application must include the
following forms completed as indicated.
Research and Related Senior/Key Person Profile (Expanded) form:
The Degree Type and Degree Year fields on the Research and Related Senior/Key Personnel
Profile (Expanded) form will be used by DoD as the source for career information. In addition
to the required fields on the form, applicants must complete these two fields for all individuals
that are identified as having the project role of PD/PI or CO-PD/PI on the form. Additional
senior/key persons can be added by selecting the “Next Person” button.
Research and Related Personal Data Form:
This form will be used by DoD as the source of demographic information, such as gender, race,
ethnicity, and disability information for the Project Director/Principal Investigator and all other
persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must
include this form with the name fields of the Project Director/Principal Investigator and any
Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the
demographic information in the form is voluntary. If completing the form for multiple
individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the
“Next Person” button. The demographic information, if provided, will be used for statistical
RDK-RAD-FOA-2024
Page 13 of 23

---

purposes only and will not be made available to merit reviewers. Applicants who do not wish
to provide some or all the information should check or select the “Do not wish to provide”
option.
The R&R Sub award Budget Attachment Form:
Is required when sub awardees are involved in the effort. Prime recipients shall ensure sub
recipients’ cost information reflects the same level of detail as the primes’ cost information.
The format shall follow the Prime’s submission as well. See section IV. 3. (j.) R&R Budget
Form for detail on submission of the Prime’s budget information.
The SF-LLL form:
Is required when applicants have lobbying activities to disclose. PDF forms may be
obtained at the Grants.gov website. Standard Form – LLL, ‘Disclosure of Lobbying
Activities’ is in the down-loaded forms package.
R&R Project/Performance Site Locations Form:
Complete all information as requested.
R&R Other Project Information Form:
Human Subject/Animal Use and Environmental Compliance.
(a) Human Subject Use- Each application must address human subject involvement in the
research by addressing the appropriate fields shown on the R&R Other Project Information Form.
If selected for award, additional documentation in accordance with U.S. Air Force standards
will be required.
(b) Animal Use- Each application must address animal use protocols by addressing the
appropriate fields shown on the R&R Other Project Information Form. If selected for award,
additional documentation in accordance with U.S. Air Force standards will be required.
(c) Environmental Compliance- Federal agencies making assistance awards and recipients of
such awards must comply with various environmental requirements. The National
Environmental Policy Act of 1969 (NEPA), 42 U.S.C. Sections 4321- 4370 (a), requires that
agencies consider the environmental impact of “major Federal actions” prior to any final
agency decision. With respect to those awards which constitute “major Federal actions,” as
defined in 40 CFR § 1508.18, federal agencies may be required to comply with NEPA and
prepare an environmental impact statement (EIS) even if the agency does no more than aid
funds to the recipient. Questions regarding NEPA compliance should be referred to the
applicable AFRL Program Manager. Most research efforts funded by AFRL will, however,
qualify for a categorical exclusion from the need to prepare an EIS. U.S. Air Force
instructions/regulations provide for a categorical exclusion for basic and applied scientific
research usually confined to the laboratory, if the research complies with all other applicable
safety, environmental and natural resource conservation laws. Each application shall address
environmental impact by addressing the appropriate fields shown on the R&R Other Project
Information Form. This information will be used by AFRL to decide if the proposed research
effort qualifies for categorical exclusion.
RDK-RAD-FOA-2024
Page 14 of 23

---

Abstract:
Include a concise (not to exceed 300 words) (publicly releasable) abstract describing the
research objective, technical approaches, anticipated outcome and impact of the specific
research, and public purpose in accordance with 32 CFR §22.205. In the header of the
abstract include the CTC POC’s name. Attach the Abstract to the R&R Other Project
Information form in the appropriate field.
R&R Other Project Information Form - Project Narrative Instructions:
(a) Project Narrative – Clearly describe the research, objective, and approach to be
performed. Discuss the nature of the expected results. Additionally, state knowledge in the
field and include a bibliography and a list of literature citations. Identify and describe how
the effort will aid assistance that will stimulate or support a public purpose. The adequacy
of this information will influence the overall evaluation. Refer to the evaluation criteria
listed in Section II (B.) Criteria of this announcement. Also briefly indicate whether the
intended research will result in environmental impacts outside the laboratory, and how the
proposer will ensure compliance with environmental statutes and regulations. Attach the
application narrative to the R&R Other Project Information form in the appropriate field.
(b) Project Narrative - Statement of Work:
Offeror/applicant must submit a document entitled “Contractor Statement of Work” (C-
SOW) describing the actual technical tasks/subtasks to be completed, including goals and
objectives, and a detailed description of the approach for each. This C-SOW will be
incorporated into the award instead of incorporating the entire technical proposal. Active
verbs should be used in this statement of work (i.e., “conduct” research into a topic,
“investigate” a problem, “determine” to test a hypothesis). The C-SOW should not
contain proprietary information.
(c) Project Narrative - Research Effort:
Describe in detail the research to be performed. State the objectives and approach and
their relationship and comparable objectives in progress elsewhere. Additionally, state
knowledge in the field and include a bibliography and a list of literature citations. Discuss
the nature of the expected results. The adequacy of this information will influence the
overall evaluation. Applications for renewal of existing support must include a
description of progress if the proposed objectives are related.
(d) Project Narrative - Principal Investigator (PI) Time:
List the estimated time the PI and other senior professional personnel will devote to the
research. This shall include information pertaining to other commitments of time, such as
sabbatical or extended leave; and proportion of time to be devoted to this research
and to any other research. Awards may be terminated when the principal investigator
severs connections with the organization or is unable to continue active participation in
the research. State the number of graduate students for whom each senior staff member
is responsible. If the principal investigator or other key personnel are currently engaged
in research under other patronages, or expect to receive support from other agencies for
research during the time proposed for AFRL support, state the title of the other research,
RDK-RAD-FOA-2024
Page 15 of 23

---

the proportion of time to be devoted to it, the amount of support, name of agency, dates,
etc. Send any changes in this information as soon as they are known. Submit a short
abstract (including title, objectives, and approach) of that research and a copy of the
budget for both present and pending research projects.
(e) Project Narrative – Facilities:
Describe facilities available for performing the proposed research and any additional
facilities or equipment the organization proposes to acquire at its own expense. Indicate
government-owned facilities or equipment already possessed that will be used. Reference
the facilities contract number or, in the absence of a facilities contract, the specific
facilities or equipment and the number of the award under which they are accountable.
(f) Project Narrative – Special Test Equipment:
List special test equipment or other property required to perform the proposed research.
The Government will not provide special test equipment. When possible and practicable,
give a description or title and estimated cost of each item. When information on
individual items is unknown or not available, group the items by class and estimate the
values. In addition, state why it is necessary to acquire the property with award funds.
(g) Project Narrative – Equipment:
Justify the need for each equipment item. Additional facilities and equipment will not be
provided unless the research cannot be completed by any other practical means. Include
the proposed life expectancy of the equipment and whether it will be integrated with a
larger assemblage or apparatus. If so, state who owns the existing apparatus.
R&R Budget Form:
Estimate the total research project cost. Budget detail should clearly identify costs, which are
internal to the offeror and those that are used in pursuit of the objectives such as
scholarships, training, course preparation, etc. Categorize funds by year and provide separate
annual budgets for projects lasting more than one year. In addition to the Research and Related
Budget forms available on Grants.gov, the budget proposal should include a budget
justification for each year, clearly explaining the need for each item. Applicants who enter a
fee on Part J of the budget will not be eligible to receive a grant or cooperative agreement.
Attach the budget justification to Section K of the R&R Budget form.
C. Content and Form of Application Submission
Full Applications and Submission Information:
Applications must be submitted through Valid Eval to be considered for award.
Submit electronic applications through Valid Eval at:
https://usg.valideval.com/teams/afrl_rad/signup. The electronic submission of the application
must be made by an official representative of the institution who is registered with Grants.gov
and is authorized to sign applications for federal assistance.
Problems completing the registration process call Grants.gov at 1-800-518-4726 or send an email
RDK-RAD-FOA-2024
Page 16 of 23

---

to support@grants.gov.
Problems completing either the mandatory letter of intent or application submittal process, email
Valid Eval at support@valideval.com.
The Government seeks only Full Applications that:
(1) Have submitted a Letter of Intent to the Grants and Agreements Officer and Contracting
Specialist through Valid Eval,
(2) Have received in writing a notification from the Grants and Agreements Officer through
Valid Eval to proceed with a Full Application submitted through Valid Eval at
https://usg.valideval.com/teams/afrl_rad/signup, and
(3) Meet the eligibility requirements of Section III - Eligibility.
Full applications must conform to the following form and content requirements, including
maximum page lengths (described below) and must be submitted via Valid Eval. AFRL will not
extend deadlines for Recipients who fail to submit required information and documents due to
technological issues.
For more detailed instructions on creating a profile on Grants.gov, refer to:
https://www.grants.gov/web/grants/applicants/registration/add- profile.html.
The application must conform to the following requirements:
• Full Application Format (PDF);
• Paper Size – 8.5 x 11-inch paper
• Margins – 1 inch
• Spacing – single or double spaced
• Font – Times New Roman 12 point
• Page Limitation –Technical proposals shall not exceed twenty (20) pages. This includes
cover page, charts, graphs, maps, and photographs when printed using the formatting
requirements set forth above and single spaced. Page numbers must be included in the
footer of every page. References must be included as footnotes or endnotes in a font size
of 10. Footnotes and endnotes are counted toward the maximum page requirement.
• Unnecessarily elaborate applications are not desirable.
• Attachments – submit in PDF format (Adobe Portable Document Format)
• Cover Page should include AFRL Address, but not limited to the following: AFRL
RDKP (Attn: Ms. Mariah Salazar); RDK-RAD-FOA-2024
• Main Topic Area (Reference CTC Topic you will be submitting to)
The recipient shall apply describing the proposed research project’s:
(1) objective,
(2) general approach,
(3) public purpose in accordance with 32 CFR § 22.205, and 22.215 and
(4) impact on Department of Defense (DoD) mission. The application shall also contain any
unique capabilities or experience you may have (e.g., U.S. Air Force, DoD, or other Federal
RDK-RAD-FOA-2024
Page 17 of 23

---

laboratory).
Conferences and Workshops:
The Government understands that it is essential for the scientific community to maintain clear
lines of communication for thorough and well- reasoned research to be accomplished. One
conference or workshop may be allowed for each proposed assistance agreement. Conferences
and workshops have proven to be extremely valuable tools for AFRL. They allow our technical
managers the opportunity to receive current information in their respective disciplines. They
also allow AFRL the opportunity to inform the research community of the current thrust of
AFRL's programs. Conferences and workshops constitute key forums for research and
technology interchange. AFRL’s financial support through appropriate financing vehicles for
conferences and workshops is dependent on the availability of funds, Program Officer’s
discretion, and certain other restrictions including:
AFRL/RD support for a workshop or conference is not to be considered as an endorsement of
any organization, profit or non-profit. The subject matter of the conference or workshop is
scientific, technical, or involves professional issues that are relevant to the purpose of the
technical description of the grant or cooperative agreement.
Applications should include the following for all proposed conferences and workshops:
Conference/Workshop Information:
• Summary indicating the objective(s) of the conference/workshop
• Title, location, and date(s) of the conference/workshop
• Explanation of how the conference/workshop will relate to the research interests of
AFRL identified in Section III of the Funding Opportunity Announcement (FOA)
• List of proposed participants and method (or copies) of announcement or invitation
• Include cost information for the proposed conference/workshop (in addition to
information required on SF 424 (R&R) Budget forms)
Applications shall provide cost information in accordance with Attachment 1, Budget
Application Instructions-Assistance Instruments.
If selected for negotiation of an award, the Government reserves the right to request additional or
clarify information for any reason deemed necessary, including, but not limited to:
● Indirect cost information
● Other budget information or financial breakdown information
● Project Narrative details or technical proposal information
● Key Personnel
● Data Management Plan
D. Unique entity identifier and System for Award Management (SAM)
Registering for SAM.GOV
Read the instructions below about registering to apply for administering agency’s funds.
Applicants should read the registration carefully and prepare the information requested before
RDK-RAD-FOA-2024
Page 18 of 23

---

beginning the registration process. Reviewing and assembling the required information before
beginning the registration process will alleviate last minute searches for required information.
Creating a Grants.gov account can be completed online in minutes, but SAM registrations may
take several weeks to complete. Therefore, registration should be done in sufficient time to
ensure it does not impact your ability to meet required application submission deadlines.
Register with SAM:
Registrations in SAM now include the acceptance of Certifications and Assurances. Entities
creating new registrations and existing entities completing their annual registration renewals will
be required to review financial assistance representations and certification before their
registration can be activated.
Unique Entity Identifier (UEI) Number will also be given upon SAM registration.
Registration must be renewed annually. Unless exempted by 2 CFR § 25.110 all applicants must
(1) Be registered in the System for Award Management (SAM) prior to award;
(2) Maintain an active SAM registration with current information at all times during which it has
an active Federal award or an application under consideration by an agency.
Federal Awardee Performance and Integrity Information System (FAPIIS)
Per 41 U.S.C. 2313, as implemented 2 CFR § 200.205, prior to making an award above the
simplified acquisition threshold, this office is required to review and consider any information
available through the designated integrity and performance system (currently FAPIIS). Awardees
can comment on any information about themselves entered in the database, and this office will
consider any comments, along with other information in FAPIIS or other systems prior to
making an award. Government-wide policy on the use of the Federal Awardee Performance and
Integrity Information System (FAPIIS) within SAM facilitate the agencies’ processes for
judging proposed applicants to be qualified to receive an assistance award. AFRL may not
award to an applicant until the applicant has complied with all applicable unique entity identifier
and SAM requirements. If an applicant has not fully complied with the requirements by the time
the Federal awarding agency is ready to make a Federal award, the Federal agency may
determine that the applicant is disqualified.
E. Funding Restrictions:
Funds are not presently available for this effort. No award will be made under this
announcement until funds are available. The Government reserves the right to cancel the
announcement, either before or after the closing date. In the event the Government cancels the
announcement, the Government has no obligation to reimburse an offeror for any costs.
The U.S. Government does not guarantee an award in each topic area. Further, be advised that as
funds are limited, otherwise meritorious applications may not be funded. Therefore, it is
important that applications show strength in as many of the evaluation area as practicable for
maximum competitiveness.
Availability of Funds.
Funding for all awards and future budget periods are contingent upon the availability of funds
RDK-RAD-FOA-2024
Page 19 of 23

---

appropriation for the purpose of this effort and the availability of future-year budget authority.
Resultant awards will not allow reimbursement of pre-federal award costs.
Cost Principles.
Costs must be allowable, allocable, and reasonable in accordance with the applicable Federal
cost principles referenced in 2 CFR part 200 and FAR Part 31.
Pre-Award Costs.
Pre-award costs are incurred at the applicant’s risk. The Government is under no obligation to
reimburse such costs if for any reason the applicant does not receive an award, or if the award is
made for an amount less than the applicant’s expectation. Requests for Pre-Award Costs will be
submitted to the Grants Officer for review and consideration of approval.
Performance of Work in the United States.
All work performed under this FOA must be performed in the United States. If the prime
applicant fails to comply with the Performance of Work in the United States requirement, AFRL
may deny reimbursement for the work conducted outside the United States and such costs may
not be recognized as allowable.
Foreign Travel.
Foreign travel costs are not allowable under this FOA unless approval has been granted by the
Grants and Agreements Officer.
DoD Directive 5230.24 and DoD Instruction 5230.27 define contracted fundamental
research in a DoD context as follows:
“Contracted Fundamental Research. Includes [research performed under] grants and contracts
that are (a) funded by budget Category 6.1 ("Research"), whether performed by universities or
industry or (b) funded by budget Category 6.2 ("Exploratory Development") and performed on-
campus at a university. The research shall not be considered fundamental in those rare and
exceptional circumstances where the 6.2-funded 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 contract
or grant."
F. Other Submission Requirements
Science & Technology (S&T) Program Protection: Interested Recipients shall include a
requirement for submission of:
1.) A completed Standard Form (SF 424), Research and Related Senior/Key Person Profile
(Expanded) Form (This form can be found under Forms Tab on Grants.gov site) for all
Senior/Key Personnel proposed; and
2.) A Completed Security Program Questionnaire (See Attachments). Offerors may be asked to
provide a mitigation plan for any identified S&T Protection risks. The Government reserves the
right to determine a potential recipient un-awardable on the grounds of unacceptable S&T
Protection risk based on its review of the SF 424 and Security Program Questionnaire.
RDK-RAD-FOA-2024
Page 20 of 23

---

By applying, the Offeror certifies that it follows Section 223(a) of the William M. (Mac)
Thornberry National Defense Authorization Act for Fiscal Year 2021 which requires that:
(A) the Principal Investigator (PI) and other key personnel certify that the current and pending
support provided on the application is current, accurate and complete;
(B) agree to update such disclosure at the request of the agency prior to the award of support and
at any subsequent time the agency determines appropriate during the term of the award; and
(C) the PI and other key personnel have been made aware of the requirements under Section
223(a)(1) of this Act. 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 218, Section 1001).
Joint Certification Program (JCP):
Was established in 1985 to allow United States (U.S.)/Canadian contractors to apply for access
to Department of Defense/Department of National Defense (DOD/DND) unclassified export
controlled technical data/critical technology on an equally favorable basis in accordance with
DODD 5320.25 “Withholding of Unclassified Technical Data and Technology from Public
Disclosure”, and Canadian Technical Data Control Regulations.
Electronic Document Access (EDA) and Wide Area Workflow (WAWF):
Electronic Document Access System (EDA) is a Web-based system that provides secure online
access, storage and retrieval of awards and modifications to DoD employees and vendors.
Wide Area Workflow (WAWF) application is designated as the Department of Defense standard
for electronic invoicing and payment. All parties doing business with ONR are strongly
encouraged to register to participate in the WAWF program. For additional information on
registration and the electronic payment process as with (EDA) complete a self-registration
request as a “Vendor” through https://wawf.eb.mil/
Employees of commercial firms under contract to the Government may be used to
administratively process applications and may gain access to proprietary information contained
in applications and/or post award documentation. These support contracts include
nondisclosure agreements prohibiting their contractor employees from disclosing any
information submitted by other contractors.
DoD Required Elements:
In accordance with 2 CFR 200.205 DoD will conduct a risk assessment of all potential
recipients. In addition to the elements listed in 2 CFR 200.205, DoD components may include
other criteria to determine various types of risk, such as protocols for the protection of
intellectual property, controlled information, key personnel, and information about critical
technologies relevant to national security, human subjects, and Personally Identifiable
Information (PII), as listed in the notice of funding opportunity.
Section V - Application Review Information
RDK-RAD-FOA-2024
Page 21 of 23

---

A. Federal Award Notices
The applicant’s approved account holder for Valid Eval will receive confirmation upon
completing the submission to https://usg.valideval.com/teams/afrl_rad/signup. After an
institution applies, Valid Eval generates a submission receipt via email and sets the
application status to “Received”. This receipt verifies the application has been successfully
delivered to the Valid Eval system.
It is expected that applicants will be notified in writing of funding decisions via email.
Notification of selection does not indicate that the applicant can start work on the project. Project
initiation is dependent upon award of the actual Grant or Cooperative Agreement by a warranted
Grants and Agreements Officer.
All awards require final technical reports, financial reports, and final patent reports. Copies of
publications and presentations shall be submitted in accordance with the terms and conditions
of the assistance award.
B. Other Information
Modifications and No Cost Extensions (NCE): AFRL grants NCEs only in situations which
the extension is truly warranted and properly documented. In no event will the period of
performance be extended merely for the purpose of using unobligated balances. Institutions
should make every effort to ensure work is completed on time. If an institution deems an NCE
is truly warranted, it shall submit its request for an extension and supporting reasons to the
relevant Grants Officer. (Reference 32 CFR § 32.25, Revision of Budget and Program Plans
for further guidance)
Data Rights
The Government reserves the right to assert intangible property rights in accordance with 32 CFR
§ 32.36 for any assistance instrument awarded because of this announcement.
C. Reporting
Interested recipients are required to abide by 2 CFR 180.335 and 180.350 if an award is made.
D. Federal Awarding Agency Contact(s)
For technical issues regarding this FOA or administrative issues regarding this FOA, contact the
grants specialist at the email address identified in Section V. All questions must be received in
writing via email with the reference line referring to this notice (RDK-RAD-FOA-2024).
Important Notice Regarding Questions of a Business Nature All questions shall be
submitted in writing by electronic email. Questions presented by telephone call, fax message, or
other means will not be responded to.
CONTRACTING POCs:
Primary: Grants Officer: Ms. Mariah Salazar; mariah.salazar@us.af.mil
RDK-RAD-FOA-2024
Page 22 of 23

---

Alternate: Grants Officer: Ms. Jennifer Jaramillo; jennifer.jaramillo@us.af.mil
Grants Specialist: Ms. Monique Esquibel-Sena; monique.esquibel_sena@us.af.mil
Grants Specialist: Brendan Merritt; brendan.merritt@us.af.mil
Ombudsman:
a) An ombudsman has been appointed to hear and facilitate the resolution of concerns from
recipients, potential recipients, and others for this requirement. When requested, the
ombudsman will maintain strict confidentiality as to the source of the concern. The existence
of the ombudsman does not affect the authority of the Program Manager, Agreements Officer,
or Approving Official. Further, the ombudsman does not participate in the evaluation of
applications, the award process, or the adjudication of protests or formal disputes. The
ombudsman may refer the party to another official who can resolve the concern.
b) Before consulting with an ombudsman, interested parties must first address their concerns,
issues, disagreements, and/or recommendations to the Agreements Officer for resolution.
Consulting an ombudsman does not alter or postpone the timelines for any other processes
(e.g., agency level protests, GAO protests, requests for debriefings, employee-employer
actions, contests of OMB Circular A-76 competition performance decisions).
c) If a resolution cannot be made by the Agreements Officer, concerned parties may contact
the AFRL ombudsmen:
Ombudsman: AFRL Director of Contracts, AFRL/PK, 1864 4th Street, Bldg 15, Room 225,
Wright Patterson AFB OH 45433-7130, 937-255-5235, E-mail: afrl.pk.workflow@us.af.mil
d) The ombudsman has no authority to render a decision that binds the agency.
e) Do not contact the ombudsman to request copies of the announcement, verify offer due
date, or clarify technical requirements. Such inquiries shall be directed to the Agreements
Officer.
Section VI – Appendix, Attachments, and References:
Attachments:
1. Attachment I, Budget Proposal Instructions
2. Attachment II, DoD Research General Terms and Conditions – September 2023
3. Attachment III, Data Management Plan
4. Attachment IV, SF424
5. Attachment V, Security Program Questionnaire Form
RDK-RAD-FOA-2024
Page 23 of 23