EconDefense
ACQ-03 / Research, innovation and experimentation

Negotiate research OTs, cost sharing and contingent repayments

Use research transactions outside procurement contracts, grants and cooperative agreements; negotiate advances and repayment clauses that credit designated research-support accounts.

Authority / instrument · ACQ-03

Other transactions

Research, innovation and experimentation

Statute & instrument
Authority holder

Secretary of Defense and each military-department Secretary; Secretary of Defense acts through DARPA, DIU or another designated element

What this does not authorize / hard limit

Research OT is not unrestricted production, lending or equity authority.

Recorded executor

DARPA Contracts Management Office or Service contracting/grants/agreements office; Performing laboratory or external research performer

Continue to actor →

Recorded executing role; this record-specific route is not an additional institutional office.

Legal basisSources linkedLegal sources and instrument limits are recorded.
RequirementsGates recordedRead the requirements for this instrument; applicability depends on the proposed action.
Public fundingRules recordedAdvance payments permitted notwithstanding 31 U.S.C. §3324. Office budget figures are separate institutional context, not an allocation to this instrument.
Assigned rolesRoles recordedPublic sources describe institutional authority. The instrument identifies approval and execution roles; a specific signature remains transaction-dependent.
EngagementProcess sourcedDARPA publishes a concrete research-OT proposal route; this is one implementing agency, not the exclusive holder of § 4021 authority. Program check: 2026-10-04; see each route for intake status.

Public evidence describes the institution and instrument; it is not approval of an individual transaction.

At a glance

Possible toolACQ-03 · Other transactions
Legal basis10 U.S.C. §4021

Authority holder: Secretary of Defense and each military-department Secretary; Secretary of Defense acts through DARPA, DIU or another designated element

Other transactions

Mechanism tags describe the source text; they do not expand the authority.

Availability and verification

Express statutory pathway; award-specific appropriations, available balances, delegations, implementation and approvals not independently verified.

Program process and intake

Checked 2026-10-04 · process documented. Program evidence is separate from legal authority, available funds and transaction approval.

DARPA publishes a concrete research-OT proposal route; this is one implementing agency, not the exclusive holder of § 4021 authority.

DARPA research OTs through program BAAs and Research Announcements

Who this route serves
Research performers whose proposed basic, applied or advanced research fits a DARPA announcement
Administering office / routing lead
DARPA technical program office and Contracts Management Office; warranted Agreements Officer
Direct implementation

The DoD guide explicitly distinguishes § 4021 research OTs from § 4022 prototype OTs and follow-on production.

What this evidence label means
Standing process documented

DARPA OT proposer instructions are published. No particular currently accepting § 4021 BAA was independently confirmed in this pass.

Status reference date: 2025-09-25 · research checked 2026-10-04

DARPA Other Transactions proposer instructions · Other Transactions; milestone schedule, IP assertions and research-security requirements; updated 25 September 2025official program guidance · Evidence record

Program eligibility

Steps and preparation

  • Read the program announcement, obtain active SAM/UEI registration, and submit unclassified OT proposals through DARPA BAAT when instructed.

    DARPA General Terms and Conditions for Proposers · SAM registration; submission instructions; proposal evaluation; updated 25 January 2024official program guidance · Evidence record
  • Prepare milestones with completion criteria, dates and payment/resource-share schedules; identify restricted IP and supply required research-security disclosures.

    DARPA Other Transactions proposer instructions · Other Transactions; milestone schedule, IP assertions and research-security requirements; updated 25 September 2025official program guidance · Evidence record
Funding, limits and authority relationship

Funding and financial terms

  • RDT&E agreement funding · Guide revised September 2023; award vintage varies

    Research OTs normally use RDT&E appropriations; the OT instrument does not itself enlarge the available funds. Program-specific amount and fiscal year require the announcement and agreement.

    DoD Guide to Research Other Transactions, revised 13 September 2023 · Sections 1.B–C and 2.D.3; PDF pp. 5–7, 11official program guidance · Evidence record

Exclusions and limits

Authority relationship source

DoD Guide to Research Other Transactions, revised 13 September 2023 · Sections 1.B–C and 2.D.3; PDF pp. 5–7, 11official program guidance · Evidence record

DARPA proposer submission instructions →

submission guidance: Find the applicable program BAA first; BAAT is not an unsolicited general funding application.

Research scope and sources checked

The first program-depth pass checked the cited program pages, notices and legal framework. Evidence is limited to the named routes and source-access notes; it does not establish every implementation of the statute.

What remains unverified

  • Current program-specific call, budget, cost-share determination and award terms not verified; the published general process is not evidence of an open competition.

A dated source check is not continuing monitoring. Recheck the linked official notice before preparing a submission. Browse program research →

Requirements and limits

Eligibility & prerequisites

  • Basic, applied or advanced research purpose.
  • Avoid duplicating existing DoD research to maximum practicable extent; nonfederal funding should match federal funding to extent Secretary determines practicable.

Limits & exclusions

  • Research OT is not unrestricted production, lending or equity authority.
  • Recovery/reuse of payments only through statutory support-account mechanism; negotiated IP and applicable law still matter.

Funding conditions

  • Advance payments permitted notwithstanding 31 U.S.C. §3324.
  • Payments received under authorized clauses may be credited to statutory accounts as Secretary of Defense authorizes.

Read the funding and execution guide

Who contributes what

Need & planning

  • USD(R&E) and Service science-and-technology executives
    Office profile
  • DARPA or Service laboratory/program manager

Resources

  • Sponsoring component RDT&E budget owner; component comptroller
    Office profile

Approval

  • Secretary of Defense or military-department Secretary; valid delegate must be confirmed
    Office profile

Execution

  • DARPA Contracts Management Office or Service contracting/grants/agreements office
    Office profile
  • Performing laboratory or external research performer

Partners & review

  • Operational customer / acquiring program
  • Security, export-control, counsel and fiscal officials as applicable

Office links are editorial matches to the original role text, not verified delegations. Composite labels and unmatched actors are preserved.

Coordination pathway

Research sponsor → DARPA/DIU/Service agreements office → negotiate contributions, IP, milestones and repayment → comptroller establishes proper account.

Actor and execution-role sources

What this research establishes

Legal basisSources linkedLegal sources and instrument limits are recorded.
RequirementsGates recordedRead the requirements for this instrument; applicability depends on the proposed action.
Public fundingRules recordedAdvance payments permitted notwithstanding 31 U.S.C. §3324. Office budget figures are separate institutional context, not an allocation to this instrument.
Assigned rolesRoles recordedPublic sources describe institutional authority. The instrument identifies approval and execution roles; a specific signature remains transaction-dependent.
EngagementProcess sourcedDARPA publishes a concrete research-OT proposal route; this is one implementing agency, not the exclusive holder of § 4021 authority. Program check: 2026-10-04; see each route for intake status.

Confidence: High on express authority and cited conditions; execution assignment is illustrative unless statute expressly names it.

Currentness: GovInfo 2024 Code (includes FY2025 NDAA, P.L. 118-159) read in full for cited provision; targeted FY2026 NDAA P.L. 119-60 amendment/repeal sweep. No claim of complete legislative currency through 2026-10-02; remaining 2026 delta needs counsel validation.

Review scope: Original research target October 2, 2026; no record-specific last-review date supplied. Publication is not legal-currentness certification.