Proposer Instructions: Grants/Cooperative Agreements

DARPA’s success depends on the vibrant ecosystem of innovation within which the Agency operates, and is fueled by partners in multiple sectors. In the assistance arena, potential instruments that are available to fund your proposed solution include a grant or cooperative agreement. DARPA’s primary assistance instrument is cooperative agreements vice grants. Grants are awarded under the Young Faculty Awards program.

The information contained on this page is considered incorporated into any published DARPA Broad Agency Announcement (BAA). Proposers must review each section thoroughly and follow the guidance therein. Guidance regarding BAAs provided herein also applies to Research Announcements (RAs) unless specifically designated otherwise.

Last updated: Jan. 25, 2024

Responsibility/Qualification

Per 41 U.S.C. 2313, as implemented by 2 CFR § 200.205, prior to making an award above the simplified acquisition threshold, DARPA is required to review and consider any information available through the designated integrity and performance system (currently sam.gov). Responsibility/qualification information, also sometimes referred to as an integrity record, was available in the legacy system FAPIIS.gov, or Federal Awardee Performance and Integrity Information System. Awardees have the opportunity to comment on any information about themselves entered in the database, and DARPA will consider any comments, along with other information in sam.gov or other systems prior to making an award.

Terms and Conditions Specific to Grants and/or Cooperative Agreements

See the DoD General Research Terms and Conditions (latest version) at www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions and the supplemental DARPA-specific terms and conditions.

DARPA Fundamental Research Risk-Based Security Review Process

This process was formerly known as the Countering Foreign Influence Program (CFIP). Senior/Key Personnel proposed under all grants and cooperative agreements are subject to the DARPA Fundamental Research Risk-Based Security Review Process. This new risk-based security review process provides consistency in policy and procedures across all DoD Components. DARPA will conduct risk-based security reviews of all covered individuals (i.e., Senior/Key Personnel) submitted with fundamental research proposals that a DARPA Program Manager (PM) identifies as “selectable and recommended for funding.” The risk-based security reviews will be conducted by reviewing the Standard Form (SF) 424, “Senior/Key Person Profile (Expanded),” its accompanying or referenced documents, and the Research Performance Progress Reports (when applicable), in concert with the OUSD (R&E) Countering Unwanted Influence in Department Funded Research at Institutions of Higher Education.

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

‘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.

As of the date of publication of this solicitation, the Government expects that program goals as described herein may be met by proposers intending to perform fundamental research and does not anticipate applying publication restrictions of any kind to individual awards for fundamental research that may result from this solicitation. Notwithstanding this statement of expectation, the Government is not prohibited from considering and selecting research proposals that, while perhaps not qualifying as fundamental research under the foregoing definition, still meet the solicitation criteria for submissions. If proposals are selected for award that offer other than a fundamental research solution, the Government will either work with the proposer to modify the proposed statement of work to bring the research back into line with fundamental research or else the proposer will agree to restrictions in order to receive an award.

University or non-profit research institution performance under this solicitation will include effort categorized as fundamental research. In addition to Government support for free and open scientific exchanges and dissemination of research results in a broad and unrestricted manner, the academic or non-profit research performer or recipient, regardless of tier, acknowledges that such research may have implications that are important to U.S. national interests and must be protected against foreign influence and exploitation. As such, the academic or non-profit research performer or recipient agrees to comply with the following requirements:

1. On June 8, 2023, the Undersecretary of Defense for Research and Engineering (OUSD (R&E)) released a memorandum, “Policy on Risk-Based Security Reviews on Fundamental Research,” directing Components to establish a risk-based security review program to identify and mitigate undue foreign influence in fundamental research consistent the requirements mandated by NSPM-33. In accordance with these requirements, DARPA will assess all Covered Individuals proposed to support DARPA under all fundamental research proposals, selected for award, for potential undue foreign influence risk factors relating to professional and financial activities. This will be done by evaluating information provided via the SF-424 and any accompanying or referenced documents in order to identify and assess any associations or affiliations the Covered Individuals may have with foreign countries of concern (FCOC) (i.e., The Peoples Republic of China, the Russian Federation, the Islamic Republic of Iran, and the Democratic People’s Republic of North Korea) or FCOC connected entities.
2. The University or non-profit research institution performer or recipient must establish and maintain an internal process or procedure to address malign foreign talent programs, conflicts of commitment, conflicts of interest, and research integrity consistent with USD(R&E) direction. The academic or non-profit research performer or recipient must also utilize due diligence to identify Foreign Components or participation by Covered Individuals in Foreign Government Talent Recruitment Programs and agree to share such information with the Government upon request.
   1. The above-described information will be provided to the Government as part of the proposal response to the solicitation and will be reviewed and assessed utilizing a risk-based security review process prior to award. Generally, this information will be included in the Research and Related Senior/Key Personnel Profile (Expanded) form (SF-424) required as part of the proposer’s submission through Grants.gov.
      1. Instructions regarding how to fill out the SF-424 and its biographical sketch can be found through Grants.gov.
   2. DARPA’s risk-based security review process takes into consideration the entirety of the Covered Individual’s SF-424, current and pending support, and biographical sketch. These potential risk factors, along with any publicly available validation information, are then compared to the “DoD Risk Decision Matrix” to determine the level of mitigation that may be required to proceed, if possible.
   3. The risk-based security review process will leverage publicly available lists or reports published by the U.S. federal government. Those lists and reports include, but are not limited to:
      1. FY22 Lists Published in Response to Section 1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Public Law 115-232), as amended.
      2. Executive Order 13959 “Addressing the Threat From Securities Investments That Finance Communist Chinese Military Companies”: www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25459.pdf
      3. The U.S. Department of Commerce, Bureau of Industry and Security, List of Parties of Concern: www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern
      4. Director of National Intelligence (DNI) “World Wide Threat Assessment of the US Intelligence Community”: www.dni.gov/files/ODNI/documents/assessments/ATA-2023-Unclassified-Report.pdf
      5. Various Defense Counterintelligence and Security Agency (DCSA) products regarding targeting of US technologies, adversary targeting of academia, and the exploitation of academic experts: www.dcsa.mil

   4. The DoD has explicitly stated in policy that there are foreign influence risks that are not able to be mitigated and thus would require denial of award. They are:

      1. BEGINNING IN FISCAL YEAR (FY) 2024 (1 OCTOBER 2023) PROSPECTIVE, NO U.S. INSTITUTION OF HIGHER LEARNING THAT HOSTS A CONFUCIUS INSTITUTE* MAY RECEIVE DOD FUNDING UNLESS THE INSTITUTION OF HIGHER EDUCATION HAS BEEN ISSUED A WAIVER BY THE SECRETARY OF DEFENSE PURSUANT TO SECTION 1062 OF THE WILLIAM M. (MAC) THORNBERRY NATIONAL DEFENSE AUTHORIZATION ACT FOR FY 2021. INSTITUTIONS HOSTING A CONFUCIUS INSTITUTE ARE AUTOMATICALLY CLASSIFIED AS “PROHIBITED” UNDER OUSD(R&E) “POLICY ON RISK-BASED SECURITY REVIEWS ON FUNDAMENTAL RESEARCH”
      2. AS OF 9 AUGUST 2024, THE DOD IS PROHIBITED FROM FUNDING OR MAKING AN AWARD OF A FUNDAMENTAL RESEARCH PROJECT PROPOSAL IN WHICH A COVERED INDIVIDUAL IS PARTICIPATING IN A MALIGN FOREIGN TALENT RECRUITMENT PROGRAM (MFTRP) OR TO A PROPOSING INSTITUTION THAT DOES NOT HAVE A POLICY ADDRESSING MFTRP PURSUANT TO SECTION 10632 OF THE CHIPS AND SCIENCE ACT OF 2022. INDIVIDUALS PARTICIPATING IN A MFTRP, AND INSTITUTIONS WITOUT A POLICY ADDRESSING MFTRP, ARE AUTOMATICALLY CLASSIFIED AS “PROHIBITED” UNDER OUSD(R&E) “POLICY ON RISK-BASED SECURITY REVIEWS ON FUNDAMENTAL RESEARCH”

      * The term “Confucius Institute” means a cultural institute directly or indirectly funded by the Government of the People's Republic of China.

   5. Any changes to covered individuals will require submission of an SF 424 and its attachments, a security-based risk assessment, and approval by the contracting officer and program manager.
   6. Security-based risk assessments will also be conducted if changes to covered individuals reporting criteria are reflected in the Research Performance Progress Reports.
   7. To the greatest extent practicable, DARPA will work with the proposing institution to ensure that if the risk is able to be mitigated, it will make every effort to do so. If the proposing institution refuses to, or is unable to mitigate the identified risks, it may result in a denial of award.
   8. Proposing institutions who have their fundamental research proposal rejected due to the risk-based security review process or the inability to come to agreement concerning proposed mitigation strategies may challenge DARPA’s risk-based security review decision. In that instance, DARPA shall refer the challenge to the OUSD(R&E) for mediation.
   9. This process, to include negotiation of risk mitigation measures, is not to be considered as part of the time-to-award.

3. Failure of the academic or non-profit research performer or recipient to reasonably exercise due diligence to discover or ensure that neither it nor any of its Covered Individuals are involved in the subject award are participating in a Malign Foreign Government Talent Program or have a Foreign Component with FCOC or FCOC-connected entity may result in the Government exercising remedies in accordance with Federal law and regulation.

   1. If, at any time, during performance of this research award, the academic or non-profit research performer or recipient should learn that it, its Covered Individuals, or applicable team members or subtier performers on this award are or are believed to be participants in a malign foreign government talent program or exhibiting behaviors/actions identified in the DoD Component Decision Matrix (i.e., funding from a FCOC or FCOC-connected entity, patents resulting from U.S. government funded research that were filed with a FCOC or on behalf of a FCOC-connected entity, and associations or affiliations with foreign government connected entities), the performer or recipient will notify the Government Contracting Officer or Agreements Officer within 5 business days.
      1. This disclosure must include specific information as to the personnel involved and the nature of the situation and relationship. The Government will have 30 business days to review this information and conduct any necessary fact-finding or discussion with the performer or recipient.
      2. Such disclosure could result in a termination of award at the government’s discretion.
      3. If the University receives no response from the Government to its disclosure within 30 business days, it may presume that the Government has determined the disclosure does not represent a threat.
   2. The performer or recipient must flow down this provision to any subtier contracts or agreements involving direct participation in the performance of the research.

   DARPA’s analysis and assessment of affiliations and associations of Covered Individuals is compliant with Title VI of the Civil Rights Act of 1964. Information regarding race, color, or national origin is not collected and does not have bearing in DARPA’s assessment. University or non-profit research institutions with proposals selected for negotiation that have been assessed as having potential undue foreign influence risk factors, as defined by the DoD Decision Matrix, will be given an opportunity during the negotiation process to mitigate the risk. DARPA reserves the right to request any follow-up information needed to assess potential risk factors or proposed risk mitigation strategies.

4. Definitions: Definitions can be found in the June 08, 2023 USD(R&E) memorandum, “Policy for Risk Based Security Reviews of Fundamental Research,” or as it is amended.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to determine whether the proposed research shall be considered fundamental and to select the award instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language can be found at www.darpa.mil/research/opportunities/baa.

For certain research projects, it may be possible that although the research to be performed by a potential awardee is non-fundamental research, its proposed sub awardee’s effort may be fundamental research. It is also possible that the research performed by a potential awardee is fundamental research while its proposed sub awardee’s effort may be non-fundamental research. In all cases, it is the potential awardee’s responsibility to explain in its proposal which proposed efforts are fundamental research and why the proposed efforts should be considered fundamental research.

University Student or Researcher Conditions

In order to ensure that U.S. scientific and engineering students will be able to continue to make strategic technological advances, DARPA is committed to supporting the work and study of Ph.D. students and post-doctoral researchers that began work under a DARPA-funded program awarded through an assistance instrument. Stable and predictable federal funding enables these students to continue their scientific and engineering careers.

To that end, should a DARPA funded program awarded through a grant or cooperative agreement with a university where the university is a participant end (due to termination or down-select) before the planned program completion, DARPA may continue to fund, for no more than two semesters (or equivalent), the documented costs to employ or sponsor Ph.D. students and/or post-doctoral researchers. Should such a circumstance arise, the following will take place:

1. The Government will provide appropriate notification to the University participant by the Agreements Office or through the prime performer.
2. The University must make reasonable efforts to find alternative research or employment opportunities for these students and researchers.
3. Before any costs will be paid, the University must submit documentation describing their due diligence efforts in finding alternative arrangements that is certified by a University official.
4. In addition to this documentation, the affected students and researchers must submit statements of work describing what research activities they will pursue during the period of funding and the final deliverable they will submit when the funding is complete.
5. In determining these costs, DARPA will rely on information from the University's original proposal unless specific circumstances warrant requesting updated proposals. In no circumstances will this funding be provided when the program is ended because of suspected or actual fraud or negligence.

DARPA Down-Select Process

DARPA often structures programs in phases or options that include specific objectives and a designated period of performance. This may result in potentially issuing multiple awards to maximize the number of innovative approaches. This approach allows the Government to monitor progress and enables programmatic decision points based, at a minimum, against stated evaluation criteria, metrics, funding availability, and program goals and objectives. As a result, select performers may advance via award of a subsequent phase or through exercise of a planned option period.

Proposers Requesting a Grant or Cooperative Agreement

Proposers requesting a grant or cooperative agreement may submit proposals through Grants.gov, per the instructions at www.grants.gov/applicants/. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov.

Regardless of proposal submission method, in addition to the volumes and corresponding attachments requested elsewhere in this solicitation, proposers must also submit the three forms listed below.

Form 1: Grants.gov SF 424 (R&R) Application for Federal Assistance, available on the Grants.gov website at www.grants.gov/forms/forms-repository/r-r-family. This form must be completed and submitted. To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et.seq.), the Department of Defense (DoD) is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in science, technology, engineering or mathematics disciplines. In addition, the National Defense Authorization Act (NDAA) for FY 2019, Section 1286, directs the Secretary of Defense to protect intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security and limit undue influence, including foreign talent programs by countries that desire to exploit United States’ technology within the DoD research, science and technology, and innovation enterprise. This requirement is necessary for all research and research-related educational activities. The DoD is using the two forms below to collect the necessary information to satisfy these requirements. Detailed instructions for each form are available on Grants.gov.

Form 2: The Grants.gov Research and Related Senior/Key Person Profile (Expanded) form, available on the Grants.gov website at www.grants.gov/forms/forms-repository/r-r-family, will be used to collect the following information for all senior/key personnel, including Project Director/Principal Investigator and Co-Project Director/Co-Principal Investigator, whether or not the individuals' efforts under the project are funded by the DoD. The form includes 3 parts: the main form administrative information, including the Project Role, Degree Type and Degree Year; the biographical sketch; and the current and pending support. The biographical sketch and current and pending support are to be provided as attachments:

• Biographical Sketch: Mandatory for Project Directors (PD) and Principal Investigators (PI), optional, but desired, for all other Senior/Key Personnel. The biographical sketch should include information pertaining to the researchers:
• Education and Training.
• Research and Professional Experience.
• Collaborations and Affiliations (for conflict of interest).
• Publications and Synergistic Activities.
• Current and Pending Support: Mandatory for all Senior/Key Personnel including the PD/PI. This attachment should include the following information:
• A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.
• Title and objectives of the other research projects.
• The percentage per year to be devoted to the other projects.
• The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.
• Name and address of the agencies and/or other parties supporting the other research projects
• Period of performance for the other research projects.

Additional senior/key persons can be added by selecting the “Next Person” button at the bottom of the form. Note that, although applications without this information completed may pass Grants.gov edit checks, if DARPA receives an application without the required information, DARPA may determine that the application is incomplete and may cause your submission to be rejected and eliminated from further review and consideration under the solicitation. DARPA reserves the right to request further details from the applicant before making a final determination on funding the effort.

Form 3: Grants.gov Research and Related Personal Data, available on the Grants.gov website at www.grants.gov/forms/forms-repository/r-r-family. Each applicant must complete the name field of this form, however, provision of the demographic information is voluntary. Regardless of whether the demographic fields are completed or not, this form must be submitted with at least the applicant’s name completed.

Grants.gov

DARPA encourages grant and cooperative agreement proposers to submit their proposals via electronic upload at www.grants.gov/applicants/. Proposers electing to use this method must complete a one-time registration process on Grants.gov before a proposal can be electronically submitted. If proposers have not previously registered, this process can take up to four weeks so registration should be done in sufficient time to ensure it does not impact a proposer’s ability to meet required submission deadlines. Registration requirements and instructions are outlined at www.grants.gov/applicants/applicant-registration. Carefully follow the DARPA submission instructions provided with the solicitation application package on Grants.gov. Only the required forms listed therein (e.g., SF-424 and Attachments form) should be included in the submission. NOTE: Grants.gov does not accept zipped or encrypted proposals.

Once Grants.gov has received an uploaded proposal submission, Grants.gov will send two email messages to notify proposers that: (1) the proposal has been received by Grants.gov; and (2) the proposal has been either validated or rejected by the system. It may take up to two (2) business days to receive these emails. If the proposal is validated, then the proposer has successfully submitted their proposal. If the proposal is rejected, the submission must be corrected, resubmitted and revalidated before DARPA can retrieve it. If the solicitation is no longer open, the rejected proposal cannot be resubmitted. Once the proposal is retrieved by DARPA, Grants.gov will send a third email to notify the proposer. DARPA will send a final confirmation email after successfully downloading the proposal from Grants.gov.

To avoid missing deadlines, Grants.gov recommends that proposers submit their proposals to Grants.gov 24-48 hours in advance of the proposal due date to provide sufficient time to complete the registration and submission process, receive email notifications, and correct errors, as applicable. Technical support options for Grants.gov submissions may be found at grants.gov/support.