Research AFRL Addendum and Award Specific Requirements to the DoD RD General Terms and Conditions_Apr_26_AFOSR_SAMPLE.pdf

AIR FORCE RESEARCH LABORATORY (AFRL)

ADDENDUM TO DOD R&D GENERAL TERMS AND CONDITIONS

APRIL 2026

Applicability This award is subject to the DoD Research and Development (R&D) General Terms and Conditions (Ts&Cs), which are hereby incorporated into this award by reference. The DoD R&D General Ts&Cs are located at: https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions.

This AFRL document is a supplement to the DoD R&D General Ts&Cs. It is aligned with the structure and format of the DoD R&D General Ts&Cs. To understand the entire AFRL requirement for a given article, the DoD R&D General Ts&Cs must be read in tandem with this document. This document uses plain language as described in the preamble to the DoD R&D General T&Cs.

The Division III portion of this document is the AFRL Addendum to the DoD R&D Ts&Cs, which provides additional content relevant to AFRL awards for the “RESERVED” sections of specified articles from the DoD R&D General T&Cs. If a block appearing immediately to the left of the article or Section(s)/ Subsection(s) is checked, it is applicable to your award. If a block remains unchecked, you must continue to comply with the DoD General R&D T&Cs for that Section/Subsection. If Section(s) or Subsection(s) are not specifically addressed in this document, the DoD R&D General T&Cs Section(s)/Subsection(s) remain in effect and are unchanged for your award.

The Division II portion of this document is comprised of the AFRL Award-Specific T&Cs subject to the DoD R&D General Terms and Conditions.

Order of Precedence Any inconsistencies in the requirements of this award shall be resolved as specified in the DoD General R&D Terms and Conditions, Order of Precedence. In case of disagreement with any requirements of this award, you shall contact the AFRL Grants Officer (AFRL GO) to resolve the issue. You shall not assess any costs to the award or accept any payments until the issue is resolved.

AFRL Addendum to DoD R&D General Terms and Conditions

Part 1: Financial And Program Management (FMS Articles)

FMS Article II. Payments.

[X] Section C. Electronic funds transfer and other payment procedural instructions or information.

1. Electronic funds transfer.

[X] a. Electronic Funds Transfer Information. All payments will be made by funds transfers to the bank account registered in System for Award Management (SAM) at https://www.sam.gov/SAM/. You must maintain the currency of information about yourself in SAM, including information necessary to facilitate payment via Electronic Funds Transfer (EFT). We cannot be held responsible for any misdirection or loss of payment which occurs as the result of your failure to maintain correct/current EFT information within your SAM registration.

https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions https://www.sam.gov/SAM/

[X] b. Electronic Payment Request Instructions. You must submit payment requests (advance or reimbursement) through the Wide Area Workflow (WAWF) page, located within the Procurement Integrated Enterprise Environment (PIEE) system at https://wawf.eb.mil. Within WAWF, the following codes and information are required to initiate the “Grant Voucher” and assure successful flow of the payment request. To learn how to electronically submit and take action on WAWF documents through simulations and step-by-step procedures, visit the PIEE Procurement Integrated Enterprise Environment Web Based Training Main Menu at https://pieetraining.eb.mil/wbt/, and select WAWF. For a demonstration of a Vendor creating a Grant Voucher document, go to https://pieetraining.eb.mil/wbt/wawf/VendorCreateGrantDocument.pdf. This document explains the steps to be followed, the Create From Template option and an explanation of a Grant Voucher.

WAWF FIELD DATA INPUT

CONTRACT NUMBER: See Block 1 of Award Form DOCUMENT TYPE: SF270 Grant Voucher

DELIVERY ORDER : N/A

CAGE CODE : See Block 13 of Award Form ISSUE BY DODAAC: See Block 11 of Award Form ADMIN DODAAC: See Block 12 of Award Form GOVERNMENT PROGRAM OFFICER: See Address Information section PAY OFFICE DODAAC: See Block 14 of Award Form GRANT APPROVER DODAAC: See Block 11 of Award Form

[X] c. Questions for the Payment Office. Most payments are made within 30 calendar days as described at 2 CFR 200.305. Recipients can check payment processing status directly through the WAWF PIEE or my Invoice applications (https://piee.eb.mil/). The customer service telephone number for Defense Finance and Accounting Services (DFAS) is 1-800-756-4571 Option 4, then select the option associated with the pay office indicated in Block 14 of the Award Form. Questions concerning specific payments should be directed to the Defense Finance and Accounting Service (DFAS) at https://www.dfas.mil/dfas/AskDFAS/.

[X] d. Instructions for the Payment Office. The payment office must make payment by using the oldest fiscal year appropriations first, exhausting all funds in the previous fiscal year before disbursing from the next fiscal year. In the event there is more than one ACRN associated with the same fiscal year, payment will be made in sequential ACRN order within the award, exhausting all funds in the previous ACRN before paying from the next ACRN using the following sequential order: alpha/alpha; alpha/numeric;

numeric/alpha; and numeric/numeric ACRN sequence unless otherwise specified in the award-specific terms and conditions.

[ ] e. Cost sharing. If your award contains a cost-sharing arrangement, each request for payment shall include the total costs incurred and the amounts of your cost share and the Government cost share. We agree to reimburse you no more than the Government cost share percentage of all requests submitted except the final payment request. The final payment will reflect the percentage representing the balance of Government cost share.

[X] f. Final payment. Final payment may be withheld until Performance Report(s), Final Financial Report (SF425), Final Patent Report (DD882), and any other deliverables are delivered and accepted.

2. Other Payment Procedural Instructions or Information.

https://wawf.eb.mil/ https://pieetraining.eb.mil/wbt/ https://pieetraining.eb.mil/wbt/wawf/VendorCreateGrantDocument.pdf https://piee.eb.mil/ https://www.dfas.mil/dfas/AskDFAS/

[ ] a. Preferred method of payment by Wire Transfer via ITS.gov has been selected and authorized by the Awardee.

[ ] a. Payment – Predetermined Payment Schedule

(1) Payment will be made immediately upon receipt of funds in accordance with the Incremental Funding Periods table.

FMS Article IV. Revision of budget and program plans.

[X] Section B. Revisions requiring prior approval from the AFRL GO.

1. Non-construction activities.

e. You must request prior approval from the AFRL GO for any of the following program or budget revisions in non-construction activities:

Period of Performance Extensions. We require prior written approval to extend the period of performance, without additional funds, beyond the expiration date of the grant. We only grant no-cost extensions (NCE) when they are truly warranted and properly documented. For an extension to be granted, all NCE requests must be received at least 30 days prior to the expiration of the grant’s period of performance. An award modification must be issued and signed by the AFRL GO for the NCE to be in effect.

The NCE request must include:

(1) Request letter from the business office on University’s or Institute’s letterhead.

(2) Compelling reason(s) for the extension beyond using unexpended balances.

(3) Original end date and requested extension length.

(4) SF 425 Federal Financial report showing the unexpended funds remaining or the most recent SF 270

(5) Statement indicating all required previous annual reports have been provided to AFOSR.

In no event will the period of performance be extended merely for the purpose of using unobligated balances or exclusively for the purpose of additional time to submit reports.

[X] All NCE requests must be submitted through the following website:

https://afosr.gov1.qualtrics.com/jfe/form/SV_4UcsVbwxSaoic8S. AFOSR will no longer accept NCE requests via email. All requests that are submitted through other avenues will have to be re-routed through the above website.

[ ] All NCE requests must be forwarded to the Government Technical Representative / Program Office and AFRL GO with the required information listed above.

https://afosr.gov1.qualtrics.com/jfe/form/SV_4UcsVbwxSaoic8S

3. Funding transfers between construction and non-construction activities.

[ ] RESERVED

[X] Section C. Pre-award costs, carry forward of unobligated balances, and one-time no-cost extensions.

3. Pre-award Costs. Pre-award costs exceeding 90 days before the start of the period of performance as stated on Block 16 of the Award Form are authorized if approved in writing by the AFRL GO prior to grant award. In no event is the Government obligated to reimburse you for expenditures in excess of the negotiated budget or the total funds allotted by the Government to this agreement, whichever is the lesser of the two amounts.

[X] Section D. Procedures.

2. Additional procedural instructions for prior approvals. Revised budgets, when required, must be submitted on the SF 424 “Research and Related Budget” form (part of the SF 424 Research and Related (R&R) family) or in the same format as your original budget submission unless directed otherwise by the AFRL GO or cognizant administration office (AGO).

FMS Article VI. Cost sharing or matching.

[ ] Section A. Required cost sharing or matching.

2. You must obtain AFRL GO prior approval if you wish to:

b. Substitute alternative cost sharing or matching contributions in lieu of specific contributions included in the approved budget.

[ ] RESERVED

Part 2: Property Administration (PROP Articles)

PROP Article I. Title to property.

[ ] Section B. Property trust relationship.

2. Notices of record. RESERVED

Part 3: Procurement (PROC Articles)

PROC Article III. Procurement standards for institutions of higher education, nonprofit organizations, local governments, Indian tribes and for-profit entities.

[X] Section A. General procurement standards.

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 non-procurement debarment and suspension at 2 CFR part 180, as implemented 37 by DoD at 2 CFR part 1125.

[ ] Section J. Bonding requirements. RESERVED

PROC Article IV. Contract provisions for recipient procurements.

Section B. Contract provisions for national policy requirements.

[ ] 2. Wage Rate Requirements (Construction). RESERVED

[ ] 3. Copeland Act prohibition on kickbacks. RESERVED

Part 4: Financial, Programmatic, and Property Reporting (REP Articles)

REP Article I. Performance management, monitoring, and reporting.

[X] Section B. Frequency, reporting periods, and due dates for interim performance reports.

1. The instructions applicable to your award are in the Reporting Information section of the grant. The AFRL Awarding Office may waive any interim performance report required by this section only if there is an alternative source for the information that the reports provide per 2 CFR 1134.110 (b)(1).

[X] Section C. Due date and reporting period for final performance report: See the Reporting Information section of the grant. The final performance report should cover the entire period of performance of the grant including any exercised options.

[X] Section F. Performance reporting procedures.

For additional information pertaining to the form, format, and data elements described below, view the National Science Foundation Website as follows: Research Performance Progress Report (RPPR) | NSF - National Science Foundation. This website lists a Format for Use and Submission of Interim and Final Research Performance Progress Reports (RPPR) and the Federal Register Notice Announcing the format for use in submission of Interim and Final RPPR.

c. Other Requirements.

1. Interim Performance Reports.

a. Form and Format. You must submit performance reports using OMB-approved Government wide standard information collections when providing performance information (including performance progress reports, Research Performance Progress Report (RPPR), or such future collections as may be approved by OMB). Recipient shall submit RPPR in accordance with this article and 2 CFR 200.329.

b. Data Elements. Your Interim Performance Reports must detail technical progress to date during the reporting period. Address the following performance reporting requirements:

i. Accomplishments:

(a) A comparison of your actual accomplishments to the objectives of the Federal award established for the period. Where the accomplishments of the Federal award can be quantified, a computation of the cost (for example, related to units of accomplishment) and/or performance trend data and analysis may be included in your report(s).

(b) The reasons why established goals were not met, if appropriate.

(c) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs.

ii. Real Property: Status of real property acquired or improved under the award.

iii. Significant Developments. Events may occur between the scheduled performance reporting dates that have a significant impact upon the supported activity. In such cases, the non-Federal entity must inform the Federal awarding agency or pass-through entity as soon as the following types of conditions become known:

(a) Problems, delays, or adverse conditions which will materially impair the ability to meet the objective of the Federal award. This disclosure must include a statement of the action taken, or contemplated, and any assistance needed to resolve the situation.

(b) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned.

iv. Participants and Other Collaborating Organizations. In accordance with the National Defense Authorization Act for Fiscal Year 2020, you must include in your quarterly/final reports a list of all participants and other collaborating organizations in a section titled “Participants and Other Collaborating Organizations.” You are reminded IAW 2 CFR 200.308, any changes to key personnel require AFRL GO approval prior to change implementation. Failure to comply with these items can result in corrective actions as prescribed in 2 CFR 200.339.

v. Patent/Invention Information. Include any new discoveries, inventions, or patent disclosures during this reporting period (if none, report none).

vi. Reports SHALL be submitted in English.

2. Final Performance Report.

a. Form and Format. You must submit performance reports using OMB-approved Government wide standard information collections when providing performance information (including performance progress reports, Research Performance Progress Report (RPPR), or such future collections as may be approved by OMB). Recipient shall submit RPPR in accordance with this article and 2 CFR 200.329.

i. Standard Form (SF) 298: Prepare the Cover/Title Page by completing the SF 298, Report Documentation Page. In Item 14 include a 100 to 200 word abstract summarizing technical progress during the reporting period. Style is to be third person singular using past tense. Jargon, special symbols or notations, subscripts, mathematical symbols or foreign alphabet letters are not permitted. All pages should be of good quality for copying purposes. The form and instructions are available at https://www.gsa.gov/forms-library/report-documentation-page. However, Block 12a. of the SF 298 should be completed with the distribution statements described herein. If you do not agree with that distribution/availability, you should contact the AFRL GO.

ii. ANSI/NISO: The report shall be prepared in accordance with American National Standard Institute document ANSI/NISO Z39.18-2005 (R-2010), Scientific and Technical Reports - Elements, Organization, and Design which may be obtained from:

NISO Press Fulfillment Center PO Box 451 Annapolis Junction MD 20701-0451 http://www.niso.org

iii. You may use your own format for the final report, but it must include the same data elements used for interim performance reports, excluding the patent/invention information, as well as include the content listed above and indicate on the cover page of the report that it is the final performance report.

b. Data Elements. Your Final Performance Report will provide a comprehensive, cumulative and substantive summary of the progress and significant accomplishments achieved during the period covered by this agreement. Address each of the data elements listed for the interim performance reports above excepting Patent/Invention Information , as appropriate.

c. Other Requirements.

i. Notice: All publications shall contain the notices included in the Article entitled, “Publishing Project Results” (located in the second portion of this document, the AFRL Award-Specific Ts&Cs Section).

Publications may be attached as appendices.

ii. Reports SHALL be submitted in English.

3. Distribution Statement

In addition to any other required legend, mark all data delivered under this award with the following distribution statement that indicates to whom data may be distributed:

DISTRIBUTION A. Approved for public release: distribution unlimited.

4. Interim and Final Performance Report - Submission: See the Reporting Information section of the grant. AFOSR prefers Performance Reports to be submitted electronically; however, if the awardee does not have access to electronic means, send paper copies of Performance Reports to the Government Technical Representative / Program Office listed in Address Information section.

REP Article II. Financial reporting.

[X] Section A. Required reporting form, format, or data elements for interim and final financial reports.

https://www.gsa.gov/forms-library/report-documentation-page http://www.niso.org/

1. Interim reports for awards with advanced or a predetermined payment schedule are required. You must submit the Federal Financial Report [currently the SF 425; only Fields 1 through 9, 10.a through 10.c, 12 (as needed)] or successor OMB-approved Government wide standard data elements for information collection.

2. Interim reports for awards with cost reimbursement are not required.

3. Final reports. You must submit the Federal Financial Report (currently the SF 425) or successor OMB-approved Government wide standard data elements for information collection for all awards. If you are a domestic institution of higher education, you must complete the optional fields 11.a through 11.f, "Indirect Expense" on the final Federal Financial Report that you submit after the end of the project period under the award.

[X] Section B. Financial reports: frequency, reporting periods, and due dates. – See the Reporting Information section of the grant. The final financial report should cover the entire period of performance of the grant including any exercised options.

1. Awards with advanced payment or a predetermined payment schedule. – See the Reporting Information section of the grant for interim financial reporting requirements and dates.

2. Awards with cost reimbursement. – See the Reporting Information section of the grant. You must submit the Final Financial Report only. Your report is due 90 calendar days after the reporting period.

[X] Section E. Where and how to submit financial reports. – See the Reporting Information section of the grant.

REP Article III. Reporting on property.

[ ] Section A. Real property

1. Periodic status reports.

a. Frequency and duration of reporting requirement. See REP Article I instructions contained herein.

RESERVED

b. Due dates. See REP Article I instructions contained herein. RESERVED

c. Other submission instructions. See REP Article I instructions contained herein. RESERVED

Part 5: Other Administrative Requirements (OAR Articles)

[X] OAR Article I. Submitting and maintaining recipient information

Federal award recipients are required to update entity, recipient integrity, and performance information in the Federal Awardee Performance and Integrity Information System (FAPIIS) on a semi-annual basis.

This update is accomplished by entering the required information in the System for Award Management (SAM) database at https://www.sam.gov. Recipient updates must include, but are not limited to, entity changes, any mandatory disclosures required by 2 CFR 200.113, and/or Appendix XII to 2 CFR Part 200 -

Award Term and Condition for Recipient Integrity and Performance Matters, incorporated here by reference. This requirement continues for the entire Grant relationship.

OAR Article IV. Claims, disputes and appeals.

[X] Section A. Definitions.

2. Grant Appeal Authority. Director of Contracting, HQ AFMC/PK.

OAR Article V. Collection of amounts due.

[X] Section A. Establishing a debt.

1. Any amount paid to you in excess of the amount to which you are determined to be entitled under the terms and conditions of this award constitutes a debt to the Federal Government.

2. The grants officer will attempt to resolve any claim of your indebtedness arising out of this award by mutual agreement.

3. If the grants officer fails to resolve the claim in that manner, you will receive a written notice of the grants officer’s decision formally determining the debt, as described in paragraph B.2 of OAR Article IV.

The notice will describe the debt, including the amount, name and address of the official who determined the debt, and a copy of that official’s determination.

Part 6: Subawards (SUB Articles)

SUB Article V. Property requirements for subawards.

[X] Section B. Title to property.

Subawards to institutions of higher education, nonprofit organization, States, local governments, Indian tribes, or for-profit entities.

b. Exceptions. For a subaward to conduct basic or applied scientific research with a nonprofit institution of higher education or nonprofit organization whose primary purpose is conducting scientific research, you must include terms and conditions in that subaward that allow the title to all equipment and supplies acquired under that subaward and charged as direct costs to the project or program to vest with the subrecipient upon acquisition subject only to the following three conditions related to equipment:

i. The subrecipient uses the equipment for the authorized purposes of the project or program until the property is no longer needed for those purposes.

ii. The subrecipient manages the equipment as provided in PROP Article II of these general terms and conditions. This includes maintaining property records that include the percentage representing the Federal share of total project costs under the award to you (the recipient) under which the subrecipient acquired the exempt property, so that the subrecipient may deduct the Federal share if it wishes to use the property in future contributions for cost sharing or matching purposes on Federal awards. When both your award with the DoD Component has cost sharing requirements and your subaward allows for the purchase of exempt property, you must include in that subaward the percentage representing the Federal share of total project costs to enable the subrecipient’s compliance with this provision.

iii. AFRL reserves the right to transfer title to the equipment to another entity if the Principal Investigator of a subrecipient relocates his or her research program to that entity. If AFRL elects to exercise its right to transfer the title of equipment, AFRL will contact the recipient to discuss the transfer.

b. Exceptions. RESERVED

Part 7: National Policy Requirements (NP Articles)

NP Article I. Nondiscrimination national policy requirements.

[ ] Section B. Other nondiscrimination requirements. RESERVED

NP Article II. Environmental national policy requirements.

[ ] Section B. Other environmental requirements. RESERVED

NP Article III. National policy requirements concerning live organisms.

Section C. Other requirements concerning live organisms.

1. With respect to the provisions in general terms and conditions for Section A of this article:

[ ] a. Section A.1, Human Subjects. Failure to comply with the applicable requirements of NP Article III.

Section A.1. may result in the DoD Component’s use of remedies, e.g., wholly or partially terminating or suspending the award, temporarily withholding payment under the award pending correction of the deficiency or disallowing all or part of the cost of the activity or action (including the Federal share and any required cost sharing or matching) that is not in compliance. Department of Defense Human Research Protection Official (HRPO) must perform an administrative review of the research and issue concurrence before the activities that involve human subjects can begin (e.g., human subject recruitment and related data collection). Language regarding HRPO review requirement must flow from the prime to any subawardees performing Human Subject research.

[ ] b. Section A.2., Animals. Recipients must comply with applicable provisions of Department of Agriculture rules at 9 CFR parts 1-4 and DoD Instruction 3216.1, which implement the Laboratory Animal Welfare Act of 1966 (7 U.S.C. 2131-2156) and provide for humane transportation, handling, care, and treatment of animals used in research, experimentation, testing, or training under this award. Recipients may not begin any animal work under the award that the awarding DoD Component has not reviewed and approved in advance, as specified in paragraph 2.d of Enclosure 3 to DoD Instruction 3216.1.

Recipient's animal care programs must meet the standards set forth in the National Academy of Sciences publication "Guide for the Care and Use of Laboratory Animals" (eighth edition, 2011, which may be found currently at http://www.nap.edu/catalog/12910/guide-for-the-care-and-use-of-laboratory-animals-eighth). Recipients must immediately identify to us, as the Federal awarding agency, any potential impact that Recipients find this award may have on endangered species, as defined by the Endangered Species Act of 1973, as amended ("the Act," 16 U.S.C. 1531-1543), and implementing regulations of the Departments of the Interior (50 CFR parts 10-24) and Commerce (50 CFR parts 217-http://www.nap.edu/catalog/12910/guide-for-the-care-and-use-of-laboratory-animals-eighth http://www.nap.edu/catalog/12910/guide-for-the-care-and-use-of-laboratory-animals-eighth

227). Recipients also must provide any help the Federal awarding agency may need to comply with 16 U.S.C. 1536(a) (2). This is not in lieu of responsibilities Recipients have to comply with provisions of the Act that apply directly to Recipients as a U.S. entity, independent of receiving this award.

[ ] 2. Biosafety and Biosecurity Requirements: You must ensure compliance with standards meeting at least the minimum applicable requirements of the current edition of Centers for Disease Control and Prevention, “Biosafety in Microbiological and Biomedical Laboratories (BMBL),” and National Institutes of Health, “The NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines).” Information concerning noncompliance with these requirements or any significant research-related incidents shall be provided to the Government Technical Representative / Program Office in a timely manner, after notification to the applicable safety committee or CDC or NIH.

[ ] 3. Research Involving Recombinant Nucleic Acid (rDNA) or Synthetic Nucleic Acid Molecules. You must not begin performance of research within the scope of “The NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines),” until you receive notice from the AFRL GO that AFRL has reviewed and accepted your documentation. See most current information at https://osp.od.nih.gov/wp-content/uploads/Investigator_Brochure_Recombinant_DNA_2021.pdf?highlight=%22Recombinant%22& _rt=MnwxfHJlY29tYmluYW50fDE3NDY3MTc4NTM&_rt_nonce=8fd2335c87. In order for AFRL to accomplish that review, you must provide the AFRL GO, generally as part of your original proposal prior to award, sufficient documentation to enable the review that includes:

A written statement that your entity is in compliance with NIH Guidelines. This statement should be made by an official of the institution other than the Principal Investigator and should be on university or company letterhead.

Evidence demonstrating that your proposed research protocol has been approved by an Institutional Biosafety Committee (IBC); and a copy of the Department of Health and Human Services (DHHS) Letter of Approval of the IBC, or the most recent letter from DHHS stating that the IBC is in compliance with the NIH Guidelines.

You will not receive a separate approval for your proposed research under this paragraph. If you received the award based on a proposal including the two aforementioned items, you can assume the AFRL GO has accepted that documentation. If you add such research later, you will have to provide the two items of documentation listed above and a revised proposal. If this research is approved, you will receive a modification incorporating the revised proposal.

For research involving countries outside the United States, if the host country has established rules for the conduct of recombinant or synthetic nucleic acid molecule research, then the research must be in compliance with those rules. If the host country does not have such rules, the proposed research must be reviewed and approved by an NIH-approved IBC or equivalent review body and accepted in writing by an appropriate national governmental authority of the host country. The safety practices that are employed abroad must be reasonably consistent with the NIH Guidelines.

[ ] 4. RESERVED

NP Article IV. Other national policy requirements.

Section A. Cross-Cutting requirements.

https://osp.od.nih.gov/wp-content/uploads/Investigator_Brochure_Recombinant_DNA_2021.pdf?highlight=%22Recombinant%22&_rt=MnwxfHJlY29tYmluYW50fDE3NDY3MTc4NTM&_rt_nonce=8fd2335c87 https://osp.od.nih.gov/wp-content/uploads/Investigator_Brochure_Recombinant_DNA_2021.pdf?highlight=%22Recombinant%22&_rt=MnwxfHJlY29tYmluYW50fDE3NDY3MTc4NTM&_rt_nonce=8fd2335c87 https://osp.od.nih.gov/wp-content/uploads/Investigator_Brochure_Recombinant_DNA_2021.pdf?highlight=%22Recombinant%22&_rt=MnwxfHJlY29tYmluYW50fDE3NDY3MTc4NTM&_rt_nonce=8fd2335c87

[X] 3. Lobbying.

a. You must comply with the restrictions on lobbying in 31 U.S.C. 1352, as implemented by DoD at 32 CFR part 28, and submit all disclosures required by that statute and regulation.

b. You must comply with the prohibition in 18 U.S.C. 1913 on the use of Federal funds, absent express Congressional authorization, to pay directly or indirectly for any service, advertisement or other written matter, telephone communication, or other device intended to influence at any time a Member of Congress or official of any government concerning any legislation, law, policy, appropriation, or ratification.

c. If you are a nonprofit organization described in section 501(c)(4) of title 26, United States Code (the Internal Revenue Code of 1968), you may not engage in lobbying activities as defined in the Lobbying Disclosure Act of 1995 (2 U.S.C., chapter 26). If we determine that you have engaged in lobbying activities, we will cease all payments to you under this and other awards and terminate the awards unilaterally for material failure to comply with the award terms and conditions.

[X] 4. Officials not to benefit. You must comply with the requirement that no member of Congress shall be admitted to any share or part of this award, or to any benefit arising from it, in accordance with 41 U.S.C. 6306

[X] 7. Fly America Act. You must comply with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. 40118), commonly referred to as the “Fly America Act,” and implementing regulations at 41 CFR 301-10.131 through 301-10.143. The law and regulations require 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.

[X] 9. Research Misconduct You must comply with requirements concerning research misconduct in Enclosure 4 to DoD Instruction 3210.7, “Research Integrity and Misconduct.” The Instruction implements the Governmentwide research misconduct policy that the Office of Science and Technology Policy published in the Federal Register (65 FR 76260, December 6, 2000, available through the U.S. Government Printing Office web site:

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321007p.pdf In accordance with Enclosure 4 to DoD Instruction 3210.7, “Research Integrity and Misconduct” paragraphs E4.1.5 through E4.1.7 (available at:

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321007p.pdf?ver=2019-10-24- 135242-857), required notifications shall be sent to afrl.afosr.jag@us.af.mil.

[X] 16. Trafficking in persons. You must comply with requirements concerning trafficking in persons specified in the award term at 2 CFR 175.15(b), as applicable

[ ] 19. Do Not Contract with the Enemy (2 CFR 183)

Prescription: 2 CFR 183.10 Applicability https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321007p.pdf?ver=2019-10-24-135242-857 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321007p.pdf?ver=2019-10-24-135242-857 mailto:afrl.afosr.jag@us.af.mil

(a) This part applies only to grants and cooperative agreements that are expected to exceed $50,000 and that are performed outside the United States, including U.S. territories, and that are in support of a contingency operation in which members of the Armed Forces are actively engaged in hostilities. It does not apply to the authorized intelligence or law enforcement activities of the Federal Government.

(b) All elements of this part are applicable until the date of expiration as provided in law.

Award Terms for Never Contract With the Enemy (Appendix A to Part 183) Federal awarding agencies may include the following award terms in all awards for covered grants and cooperative agreements in accordance with Never Contract with the Enemy:

Term 1

Prohibition on Providing Funds to the Enemy

(a) The recipient must—

(1) Exercise due diligence to ensure that none of the funds, including supplies and services, received under this grant or cooperative agreement are provided directly or indirectly (including through subawards or contracts) to a person or entity who is actively opposing the United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities, which must be completed through 2 CFR 180.300 prior to issuing a subaward or contract and;

(2) Terminate or void in whole or in part any subaward or contract with a person or entity listed in SAM as a prohibited or restricted source pursuant to subtitle E of Title VIII of the NDAA for FY 2015, unless the Federal awarding agency provides written approval to continue the subaward or contract.

(b) The recipient may include the substance of this clause, including paragraph (a) of this clause, in subawards under this grant or cooperative agreement that have an estimated value over $50,000 and will be performed outside the United States, including its outlying areas.

(c) The Federal awarding agency has the authority to terminate or void this grant or cooperative agreement, in whole or in part, if the Federal awarding agency becomes aware that the recipient failed to exercise due diligence as required by paragraph (a) of this clause or if the Federal awarding agency becomes aware that any funds received under this grant or cooperative agreement have been provided directly or indirectly to a person or entity who is actively opposing coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities.

(End of term)

Term 2

Additional Access to Recipient Records

(a) In addition to any other existing examination-of-records authority, the Federal Government is authorized to examine any records of the recipient and its subawards or contracts to the extent necessary to ensure that funds, including supplies and services, available under this grant or cooperative agreement are not provided, directly or indirectly, to a person or entity that is actively opposing United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities, except for awards awarded by the Department of Defense on or before Dec 19, 2017 that will be performed in the United States Central Command (USCENTCOM) theater of operations.

(b) The substance of this clause, including this paragraph (b), is required to be included in subawards or contracts under this grant or cooperative agreement that have an estimated value over $50,000 and will be performed outside the United States, including its outlying areas.

(End of term)

Section B. Additional requirements.

[X] 1. Prohibition on Using Funds under Grants and Cooperative Agreements with Entities that Require Certain Internal Confidentiality Agreements.

a. You may not require your employees, contractors, or subrecipients seeking to report fraud, waste, or abuse to sign or comply with internal confidentiality agreements or statements prohibiting or otherwise restricting them from lawfully reporting that waste, fraud, or abuse to a designated investigative or law enforcement representative of a federal department or agency authorized to receive such information.

b. You must notify your employees, contractors, and subrecipients that the prohibitions and restrictions of any internal confidentiality agreements inconsistent with paragraph a. of this award provision are no longer in effect.

c. The prohibition in paragraph 1.a. of this section does not contravene requirements applicable to Standard Form 312, Form 4414, or any other form issued by a Federal department or agency governing the nondisclosure of classified information.

d. If the Federal Government determines that you are not in compliance with this award provision, it:

i. Will prohibit your use of funds under this award, in accordance with section 743 of Division E of the Consolidated and Further Continuing Resolution Appropriations Act, 2015, (Public Law 113-235) or any successor provision of law; and

ii. May pursue other remedies available for your material failure to comply with award terms and conditions

AFRL AWARD-SPECIFIC TS&CS TO DOD R&D GENERAL TERMS AND CONDITIONS

The following Ts&Cs with checked blocks are hereby incorporated into your award:

FMS -- AWARD-SPECIFIC TERMS AND CONDITIONS

[X] 1. Incremental Funding (Feb 2024)

a. Allotted and Currently Available for Payment. The Government's share for full performance of this award is shown in Block 20.C. of the Award Form under Federal Share. Of this amount, only that shown in Block 20.B. of the Award Form under Federal Share is allotted and currently available for payment. In no event is the Government obligated to reimburse you for expenditures in excess of the total funds allotted by the Government. We anticipate that from time-to-time additional amounts will be allotted to this agreement by unilateral modification until the total Government share is fully funded.

b. Recipient Notification to Government. You shall notify the AFRL GO in writing whenever expenditures, including anticipated expenditures over the next 60 days, are expected to exceed 75% of the amount allotted (including your cost share, if applicable).

c. Agreement of Parties. The parties agree that if additional funds are not allotted, this agreement may be terminated. You are not obligated to continue performance or otherwise incur costs in excess of the amount then allotted by the Government to the agreement plus your corresponding share, until the AFRL GO notifies you in writing that the amount allotted by the Government has been increased and specifies an increased amount, which shall then constitute the total amount allotted by the Government to this agreement. When and to the extent that the amount allotted by the Government to the agreement is increased, any costs you incur before the increase that are in excess of the amount previously allotted by the Government to the agreement plus your corresponding share, shall be allowable to the same extent as if incurred afterward, unless the AFRL GO issues a termination or other notice and directs that the increase is solely to cover termination or other specified expenses.

Planned funding periods and amounts are shown in the Incremental Funding Periods section of the grant If options are listed in the funding table, options are not guaranteed and may only be exercised in writing by the AFRL GO.

[ ] 2. Cost Sharing Summary Schedule (Feb 2024)

a. The parties estimate that the research and development work under this award can only be accomplished with the recipient aggregate resource contribution shown in Block 20.C. of Award Form under Non-Federal Share throughout the term of the award. The recipient agrees to provide these resources as shown below. Failure of either party to provide its respective total contribution may result in a unilateral amendment to the award by the AFRL GO to reflect a proportional reduction in funding for the other party.

b. The recipient’s contributions may count as cost sharing only to the extent that they comply with the criteria at 2 CFR 1128.610.

c. The recipient agrees to cost share in proportion to the Incremental Funding Periods section of this grant. This schedule may be amended annually to reflect changes or updates resulting from the annual program planning process.

[X] 3. Allotted Funding (Feb 2024)

The following funds are allotted to this agreement: See Block 20 of the Award Form.

Payment Instructions for Multiple Accounting Classification Citations: See FMS Article II, Section C, Paragraph d.

[X]4. Scope and Management of the Program (Feb 2024)

Duty of Good Faith. We, the Government and you, the recipient, are bound to each other by a duty of good faith and best effort to achieve the goals of this agreement. This agreement is not intended to be, nor shall it be construed as, by implication or otherwise, a partnership, a corporation, or other business organization.

Research and Development Program. You shall perform a coordinated research and development program carried out in accordance with the Grantee’s Proposal as stated in Block 19 of the Award Form.

The recipient shall submit all documentation required by the DoD R&D General Ts&Cs Part 5, REP Article(s) I - IV, Financial, Programmatic, and Property Reporting and AFRL Addendum guidance contained herein for each individual award.

Coordinated Research Program. You, the recipient, shall accomplish the overall management, including technical, programmatic, reporting, and financial and administrative matters of the coordinated research program established under each individual award. The Government Technical Representative / Program Office(s) may interact with the recipient to promote effective collaboration between the recipient and the Government.

[X] 5. Food and Beverage (Feb 2024) Food and Beverage. Funds may not be used to pay for food or beverages (unless preapproved by the AFRL GO). Funds may never be used to pay for alcoholic beverages, even if food and beverages are approved by the AFRL GO.

PROP – AWARD-SPECIFIC Ts&Cs

[ ] 6. Base Support (Feb 2024).

Base support may be provided by the Government to the Recipient as follows.

The Recipient will require use of base support on a rent-free, non-interference basis to include Government-controlled working space, material, equipment, services (including automatic data processing), or other support (excluding use of the Defense Switched Network (DSN)) which the Government determines can be made available at, or through, any Air Force installation where this agreement shall be performed.

Unless otherwise stipulated in the award schedule, the Recipient will use base support on a no-charge-for-use basis and the value shall be a part of the Government’s agreement consideration.

The Recipient will immediately report (with a copy to the AGO) inadequacies, defective base support, or nonavailability of support stipulated by the award schedule, together with a recommended plan for obtaining the required support. Facilities are not to be purchased under this agreement by the Recipient.

Additionally, the Recipient (or authorized representative) will not purchase or otherwise furnish any base support requirement provided by the SOW (or authorize others to do so), without prior written approval of the AFRL GO regarding the price, terms, and conditions of the proposed purchase, or approval of other arrangements.

The base support to be furnished under this award is N/A. Because of the nature and location(s) of the work performed, the value of such support is undeterminable. The Recipient is not authorized to incur any costs resulting from nonsupport prior to AFRL GO direction.

In the performance of this agreement or any major subawards, no direct or indirect costs for support will be incurred if the Government determines that support is available at or through any Air Force installation where this agreement shall be performed.

Written authorization must be requested from the AFRL GO for support not later than 90 days before the required in-place dates at each Air Force installation, and immediately for any required changes. Ensure the facilities are available and concurrence for their use has been obtained from the cognizant AFRL GO before finalizing award negotiations and/or source selection. In competitive environments, the request for proposal/request for quote (RFP/RFQ) should request the Offeror propose a cost in the event that the facilities are not available. This is necessary in order to make a valid comparison of all Offerors’ proposals.

[ ] 7. Federally Owned Property (Feb 2024)

a. The Government will provide the following Federally owned property to the Recipient

b. Title to any federally owned property that the Government provides to the recipient under this award (or for which accountability is transferred to this award from another Federal award) remains with the Federal Government.

c. Refer to the DoD R&D Ts&Cs, Part 2, Property Administration, for details on Federally Owned Property pertaining to title, property management systems, and use and disposition instructions.

[X] 8. Access to USAF Bases, AFRL Facilities and/or US Government Information Technology Networks – Information Regarding Non-US Citizens Assigned to this Project (Feb 2024)

1. Information Regarding Non-US Citizens Assigned to this Project:

a. Any of your employees requiring access to USAF bases, AFRL facilities, and/or access to US Government Information Technology networks in connection with the work on this agreement must be US citizens. Possession of a permanent resident card (“Green Card”) does not equate to US citizenship.

This requirement does not apply to foreign nationals approved by the US Department of Defense or US State Department under international personnel exchange agreements with foreign governments. Any waivers to this requirement must be granted in writing by the AFRL GO prior to providing access. The above requirements are in addition to any other agreement requirements related to obtaining a Common Access Card (CAC).

b. For purposes of paragraph a above, if an IT network/system does not require AFRL to endorse a Recipient’s application to said network/system in order to gain access, the organization operating the IT network/system is responsible for controlling access to its system. If an IT network/system requires a U.S. Government sponsor to endorse the application in order for access to the IT network/system, AFRL will only endorse the following types of applications, consistent with the requirements above:

i. Recipient employees who are U.S. citizens performing work under this award.

ii. Recipient employees who are non-U.S. citizens and who have been granted a waiver.

iii. Any additional access restrictions established by the IT network/system owner apply.

[ ] 9. Recipient Access to Air Force Installations (Feb 2025).

a. Identification and Passes. You must obtain base identification and vehicle passes, if required, for all recipient personnel who make frequent visits to or perform work on the Air Force installation(s) cited in this agreement. Your personnel are required to wear or prominently display installation identification badges or recipient-furnished, recipient identification badges while visiting or performing work on the installation.

b. Written Requests. You must submit a written request on company letterhead to the Government Technical Representative / Program Office listing the following: award number, location of work site, start and stop dates, and names of employees and subcontractor/subrecipient employees needing access to the base. The letter will also specify the individual(s) authorized to sign for a request for base identification credentials or vehicle passes. The Government Technical Representative / Program Office will endorse the request and forward it to the issuing base pass and registration office or Security Forces for processing.