US Code

Public Law 119-87 (04/30/2026)

10 U.S.C. § 4021

Research projects: transactions other than contracts and grants

(a)

Additional Forms of Transactions Authorized .—

section 4001 of this titleThe Secretary of Defense and the Secretary of each military department may enter into transactions (other than contracts, cooperative agreements, and grants) under the authority of this subsection in carrying out basic, applied, and advanced research projects. The authority under this subsection is in addition to the authority provided in to use contracts, cooperative agreements, and grants in carrying out such projects.
(b)

Exercise of Authority by Secretary of Defense .—

In any exercise of the authority in subsection (a), the Secretary of Defense shall act through the Defense Advanced Research Projects Agency, the Defense Innovation Unit, or any other element of the Department of Defense that the Secretary may designate.
(c)

Advance Payments .—

section 3324 of title 31The authority provided under subsection (a) may be exercised without regard to .
(d)

Recovery of Funds .—

(1)
section 4001 of this title A cooperative agreement for performance of basic, applied, or advanced research authorized by and a transaction authorized by subsection (a) may include a clause that requires a person or other entity to make payments to the Department of Defense or any other department or agency of the Federal Government as a condition for receiving support under the agreement or other transaction.
(2)
The amount of any payment received by the Federal Government pursuant to a requirement imposed under paragraph (1) may be credited, to the extent authorized by the Secretary of Defense, to the appropriate account established under subsection (f). Amounts so credited shall be merged with other funds in the account and shall be available for the same purposes and the same period for which other funds in such account are available.
(e)

Conditions .—

The Secretary of Defense shall ensure that—
(1)
to the maximum extent practicable, no cooperative agreement containing a clause under subsection (d) and no transaction entered into under subsection (a) provides for research that duplicates research being conducted under existing programs carried out by the Department of Defense; and
(2)
to the extent that the Secretary determines practicable, the funds provided by the Government under a cooperative agreement containing a clause under subsection (d) or a transaction authorized by subsection (a) do not exceed the total amount provided by other parties to the cooperative agreement or other transaction.
(f)

Support Accounts .—

There is hereby established on the books of the Treasury separate accounts for each of the military departments, the Defense Innovation Unit, and the Defense Advanced Research Projects Agency for support of research projects and development projects provided for in cooperative agreements containing a clause under subsection (d) and research projects provided for in transactions entered into under subsection (a). Funds in those accounts shall be available for the payment of such support.
(g)

Education and Training .—

The Secretary of Defense shall—
(1)
ensure that management, technical, and contracting personnel of the Department of Defense involved in the award or administration of transactions under this section or other innovative forms of contracting are afforded opportunities for adequate education and training; and
(2)
establish minimum levels and requirements for continuous and experiential learning for such personnel, including levels and requirements for acquisition certification programs.
(h)

Guidance .—

The Secretary of Defense shall issue guidance to carry out this section.
(i)

Protection of Certain Information From Disclosure .—

(1)
section 552 of title 5 Disclosure of information described in paragraph (2) is not required, and may not be compelled, under for five years after the date on which the information is received by the Department of Defense.
(2)
(A)
section 4001 of this title Paragraph (1) applies to information described in subparagraph (B) that is in the records of the Department of Defense if the information was submitted to the Department in a competitive or noncompetitive process having the potential for resulting in an award, to the party submitting the information, of a cooperative agreement for performance of basic, applied, or advanced research authorized by or another transaction authorized by subsection (a).
(B)
The information referred to in subparagraph (A) is the following:
(i)
A proposal, proposal abstract, and supporting documents.
(ii)
A business plan submitted on a confidential basis.
(iii)
Technical information submitted on a confidential basis.

Pub. L. 101–189, div. A, title II, § 251(a)(1)103 Stat. 1403 Pub. L. 101–510, div. A, title XIV, § 1484(k)(9)104 Stat. 1719 Pub. L. 102–190, div. A, title VIII, § 826105 Stat. 1442 Pub. L. 102–484, div. A, title II, § 217106 Stat. 2352 Pub. L. 103–35, title II, § 201(c)(4)107 Stat. 98 Pub. L. 103–160, div. A, title VIII, § 827(b)107 Stat. 1712 Pub. L. 103–355, title I, § 1301(b)108 Stat. 3285 Pub. L. 104–106, div. A, title XV, § 1502(a)(1)110 Stat. 502 Pub. L. 104–201, div. A, title II, § 267(a)110 Stat. 2467 Pub. L. 105–85, div. A, title VIII, § 832111 Stat. 1842 Pub. L. 105–261, div. A, title VIII, § 817112 Stat. 2089 Pub. L. 106–65, div. A, title X, § 1067(1)113 Stat. 774 Pub. L. 108–136, div. A, title X, § 1031(a)(19)117 Stat. 1597 Pub. L. 113–291, div. A, title X, § 1071(f)(20)128 Stat. 3511 Pub. L. 115–91, div. A, title VIII, § 863131 Stat. 1494 Pub. L. 116–283, div. A, title XVIII, § 1841(b)(1)134 Stat. 4243 Pub. L. 117–81, div. A, title VIII, § 821(a)135 Stat. 1825 Pub. L. 118–31, div. A, title IX, § 913(a)(2)137 Stat. 367 (Added , , , § 2371; amended , , ; , , ; , , ; , , ; , title XI, § 1182(a)(6), , , 1771; , , ; , , ; –(c)(1)(A), title X, § 1073(e)(1)(B), , , 2468, 2658; , , ; , , ; , , ; , , ; , , ; , , ; renumbered § 4021 and amended , (2)(B), , ; , title XVII, § 1701(u)(2)(B), (F)(i)(III), , , 2151; , , .)

Editorial Notes

Prior Provisions

section 7371 of this titleA prior section 4021 was renumbered .

act Aug. 10, 1956, ch. 1041 70A Stat. 233 Pub. L. 85–861, § 36B(11)72 Stat. 1570 Another prior section 4021, , , related to appointments in professional and scientific service, prior to repeal by , , .

Amendments

Pub. L. 118–31, § 913(a)(2)(A)2023—Subsec. (b). , inserted “, the Defense Innovation Unit,” after “Defense Advanced Research Projects Agency”.

Pub. L. 118–31, § 913(a)(2)(B)Subsec. (f). , substituted “, the Defense Innovation Unit, and the Defense Advanced Research Projects Agency” for “and the Defense Advanced Research Projects Agency”.

Pub. L. 116–283, § 1841(b)(2)(B)Pub. L. 117–81, § 1701(u)(2)(F)(i)(III)2021—, as amended by , substituted “section 4001” for “section 2358” wherever appearing.

Pub. L. 116–283, § 1841(b)(1)Pub. L. 117–81, § 1701(u)(2)(B)section 2371 of this title, as amended by , renumbered as this section.

Pub. L. 117–81, § 821(a)(1)Subsec. (e). , struck out par. (1) designation before “The Secretary of Defense”, redesignated subpars. (A) and (B) of former par. (1) as pars. (1) and (2), respectively, and struck out former par. (2) which read as follows: “A cooperative agreement containing a clause under subsection (d) or a transaction authorized by subsection (a) may be used for a research project when the use of a standard contract, grant, or cooperative agreement for such project is not feasible or appropriate.”

Pub. L. 117–81, § 821(a)(2)Subsec. (h). , amended subsec. (h) generally. Prior to amendment, text read as follows: “The Secretary of Defense shall prescribe regulations to carry out this section.”

Pub. L. 115–912017—Subsecs. (g), (h). added subsec. (g) and redesignated former subsec. (g) as (h).

Pub. L. 113–2912014—Subsec. (h). struck out subsec. (h) which related to annual report on use of certain cooperative agreements and transactions.

Pub. L. 108–1362003—Subsec. (h)(3). added par. (3).

Pub. L. 106–651999—Subsec. (h)(1). substituted “and the Committee on Armed Services” for “and the Committee on National Security” in introductory provisions.

Pub. L. 105–261section 2358 of this title1998—Subsec. (i)(2)(A). substituted “cooperative agreement for performance of basic, applied, or advanced research authorized by ” for “cooperative agreement that includes a clause described in subsection (d)”.

Pub. L. 105–851997—Subsec. (i). added subsec. (i).

Pub. L. 104–201, § 1073(e)(1)(B)1996—Subsec. (b). , inserted “Defense” before “Advanced Research Projects Agency”.

Pub. L. 104–201, § 267(a)Subsec. (e). , inserted “(1)” before “The Secretary of Defense”, redesignated former pars. (1) and (2) as subpars. (A) and (B), respectively, inserted “and” after semicolon at end of subpar. (A), substituted a period for “; and” at end of subpar. (B), added par. (2), and struck out par. (3) which read as follows: “a cooperative agreement containing a clause under subsection (d) or a transaction authorized under subsection (a) is used for a research project only when the use of a standard contract, grant, or cooperative agreement for such project is not feasible or appropriate.”

Pub. L. 104–201, § 1073(e)(1)(B)Subsec. (f). , inserted “Defense” before “Advanced Research Projects Agency”.

Pub. L. 104–201, § 267(b)section 2358 of this titleSubsec. (h). , reenacted heading without change and amended text generally. Prior to amendment, text read as follows: “Not later than 60 days after the end of each fiscal year, the Secretary of Defense shall submit to the Committee on Armed Services of the Senate and the Committee on National Security of the House of Representatives a report on all cooperative agreements entered into under during such fiscal year that contain a clause authorized by subsection (d) and on all transactions entered into under subsection (a) during such fiscal year. The report shall contain, with respect to each such cooperative agreement and transaction, the following:

“(1) A general description of the cooperative agreement or other transaction (as the case may be), including the technologies for which research is provided for under such agreement or transaction.

“(2) The potential military and, if any, commercial utility of such technologies.

“(3) The reasons for not using a contract or grant to provide support for such research.

“(4) The amount of the payments, if any, that were received by the Federal Government during the fiscal year covered by the report pursuant to a clause included in such cooperative agreement or other transaction pursuant to subsection (d).

“(5) The amount of the payments reported under paragraph (4), if any, that were credited to each account established under subsection (f).”

Pub. L. 104–106 substituted “Committee on Armed Services of the Senate and the Committee on National Security of the House of Representatives” for “Committees on Armed Services of the Senate and House of Representatives”.

Pub. L. 104–201, § 1073(e)(1)(B)section 2371a of this titlePub. L. 104–201, § 267(c)(1)(A)Subsec. (i). , which directed amendment of subsec. (i) by inserting “Defense” before “Advanced Research Projects Agency”, could not be executed because of the renumbering of subsec. (i) as by . See below.

Pub. L. 104–201, § 267(c)(1)(A)section 2371a of this title, renumbered subsec. (i) of this section as .

Pub. L. 103–3551994— amended section generally. Prior to amendment section related to cooperative agreements and other transactions for advanced research projects.

Pub. L. 103–160, § 827(b)(1)(C)section 2358 of this title1993—Subsec. (a). , substituted “” for “subsection (a)” in par. (1) and “subsection (d)” for “subsection (e)” in par. (2).

Pub. L. 103–160, § 827(b)(1)(A)Pub. L. 103–160, § 1182(a)(6), (B), redesignated subsec. (b) as (a) and struck out former subsec. (a), as amended by , (h), which read as follows: “The Secretary of Defense, in carrying out advanced research projects through the Advanced Research Projects Agency, and the Secretary of each military department, in carrying out advanced research projects, may enter into cooperative agreements and other transactions with any person, any agency or instrumentality of the United States, any unit of State or local government, any educational institution, and any other entity.”

Pub. L. 103–160, § 1182(a)(6), substituted “Advanced Research Projects Agency” for “Defense Advanced Research Projects Agency”.

Pub. L. 103–160, § 827(b)(1)(B)Subsec. (b). , redesignated subsec. (c) as (b). Former subsec. (b) redesignated (a).

Pub. L. 103–160, § 827(b)(1)(B)Subsec. (c). , (2)(A), redesignated subsec. (d) as (c) and inserted “and development” after “research” in two places in par. (1). Former subsec. (c) redesignated (b).

Pub. L. 103–160, § 827(b)(1)(B)Pub. L. 103–160, § 1182(a)(6)section 2358 of this titleSubsec. (d). , (D), (2)(B), redesignated subsec. (e), as amended by , (h), as (d) and substituted “” for “subsection (a)” and “research and development” for “advanced research”. Former subsec. (d) redesignated (c).

Pub. L. 103–160, § 827(b)(1)(B)Subsec. (e). , (E), (2)(B), (C), redesignated subsec. (f) as (e), in par. (1) substituted “research and development are” for “advanced research is”, in par. (3) substituted “research and development” for “advanced research”, in par. (4) substituted “subsection (a)” for “subsection (b)”, and in par. (5) substituted “subsection (d)” for “subsection (e)”. Former subsec. (e) redesignated (d).

Pub. L. 103–160, § 1182(a)(6), substituted “Advanced Research Projects Agency” for “Defense Advanced Research Projects Agency”.

Pub. L. 103–160, § 827(b)(1)(B)Pub. L. 103–160, § 1182(a)(6)Subsec. (f). , redesignated subsec. (g), as amended by , (h), as (f). Former subsec. (f) redesignated (e).

Pub. L. 103–160, § 827(b)(1)(B)Pub. L. 103–160, § 1182(a)(6)Subsec. (g). , redesignated subsec. (g), as amended by , (h), as (f).

Pub. L. 103–160, § 1182(a)(6), substituted “Advanced Research Projects Agency” for “Defense Advanced Research Projects Agency”.

Pub. L. 103–35 substituted “granted by section 12” for “granted by section 11” and “provisions of sections 11 and 12” for “provisions of sections 10 and 11”.

Pub. L. 102–4841992—Subsec. (g). added subsec. (g).

Pub. L. 102–190, § 826(a)1991—Subsec. (a). , inserted “and the Secretary of each military department, in carrying out advanced research projects,”.

Pub. L. 102–190, § 826(b)(1)(A)Subsec. (b)(1). , struck out “by the Secretary” after “transactions entered into”.

Pub. L. 102–190, § 826(b)(1)(B)Subsec. (b)(2). , substituted “to the appropriate account” for “to the account”.

Pub. L. 102–190, § 826(b)(2)Subsec. (d). , substituted “The Secretary of Defense” for “The Secretary” in introductory provisions.

Pub. L. 102–190, § 826(b)(3)Subsec. (e). , substituted “separate accounts for each of the military departments and the Defense Advanced Research Projects Agency” for “an account” and “those accounts” for “such account”.

Pub. L. 102–190, § 826(b)(4)Subsec. (f)(5). , substituted “each account” for “the account”.

Pub. L. 102–190, § 826(c)Subsec. (g). , struck out subsec. (g) which read as follows: “The authority of the Secretary to enter into cooperative agreements and other transactions under this section expires at the close of .”

Pub. L. 101–5101990—Subsec. (f). substituted “Committees on” for “Committees of” in introductory provisions.

Statutory Notes and Related Subsidiaries

Effective Date of 2023 Amendment; Implementation

Pub. L. 118–31Pub. L. 118–31section 1766 of this titleAmendment by effective 180 days after , with additional implementation requirements, see section 913(b)(1), (2) of , set out as notes under .

Effective Date of 2021 Amendment

Pub. L. 117–81Pub. L. 116–283section 1701(a)(2) of Pub. L. 117–81section 3001 of this titleAmendment by section 1701(u)(2)(B), (F)(i)(III) of applicable as if included in the enactment of title XVIII of as enacted, see , set out in a note preceding and note below.

Pub. L. 116–283section 1801(d) of Pub. L. 116–283section 3001 of this titleAmendment by effective , with additional provisions for delayed implementation and applicability of existing law, see , set out as a note preceding .

Effective Date of 1994 Amendment

Pub. L. 103–355section 10001 of Pub. L. 103–355section 8752 of this titleFor effective date and applicability of amendment by , see , set out as a note under .

Tracking Awards Made Through Other Transaction Authority

Pub. L. 118–159, div. A, title VIII, § 888138 Stat. 2023

“(a)

In General .—

Not later than one year after the date of the enactment of this Act [], the Under Secretary of Defense for Acquisition and Sustainment shall establish a process to track the number and value of awards to small businesses and nontraditional defense contractors performing on transactions using other transaction authority, including transactions carried out through consortia.
“(b)

Data Collection .—

The Under Secretary of Defense for Acquisition and Sustainment shall, to the extent practicable—
“(1)
minimize the reporting requirements imposed on small businesses and nontraditional defense contractors by the process established under subsection (a); and
“(2)
maximize the use of existing data collection processes of the Department of Defense or the expertise of a consortia-manager under such process.
“(c)

Definitions .—

In this section:
“(1)

Nontraditional defense contractor .—

section 3014 of title 10The term ‘nontraditional defense contractor’ has the meaning given such term in , United States Code.
“(2)

Other transaction authority .—

The term ‘other transaction authority’ means the authority provided under sections 4021 and 4022 of title 10, United States Code.
“(3)

Small business .—

15 U.S.C. 632(a)The term ‘small business’ has the meaning given the term ‘small business concern’ under section 3(a) of the Small Business Act ().”
, , , provided that:

Reporting Requirement for Certain Defense Acquisition Activities

Pub. L. 117–81, div. A, title VIII, § 825135 Stat. 1831

“(a)

Procedures for Identifying Certain Acquisition Agreements and Activities .—

The Secretary of Defense shall establish procedures to identify organizations performing on individual projects under the following types of awards:
“(1)
10 U.S.C. 4021 Other transaction agreements pursuant to the authorities under section[s] 2371 and 2371b of title 10, United States Code [now and 4022].
“(2)
section 2304d of title 1010 U.S.C. 3401 Individual task orders awarded under a task order contract (as defined in , United States Code [now ]), including individual task orders issued to a federally funded research and development center.
“(b)
For initial agreements covered under subsection (a), the procedures required under subsection (a) shall include, but not be limited to—
“(1)
the participants to the transaction (other than the Federal Government);
“(2)
each business selected to perform work under the transaction by a participant to the transaction that is a consortium of private entities;
“(3)
the date on which each participant entered into the transaction;
“(4)
the amount of the transaction; and
“(5)
other related matters the Secretary deems appropriate.
“(c)
For follow-on contracts, agreements, or transactions covered under subsection (a), the procedures required under subsection (a) shall include, but not be limited to—
“(1)
identification of the initial covered contract or transaction and each subsequent follow-on contract or transaction;
“(2)
the awardee;
“(3)
the amount;
“(4)
the date awarded; and
“(5)
other related matters the Secretary deems appropriate.
“(d)
The Administrator of the General Services Administration shall update the Federal Procurement Data System (FPDS) within 180 days to collect the data required under this section.
“(e)

Reporting .—

Not later than one year after the date of the enactment of this Act [], and not less than annually thereafter, the Secretary of Defense shall submit to the congressional defense committees [Committees on Armed Services and Appropriations of the Senate and the House of Representatives] a report on the use of agreements and activities described in subsection (a) and associated funding.
“(f)

Publication of Information .—

Not later than one year after the date of enactment of this Act, the Secretary of Defense shall establish procedures to collect information on individual agreements and activities described in this section and associated funding in an online, public, searchable database, unless the Secretary deems such disclosure inappropriate for individual agreements based on national security concerns.”
, , , provided that:

Listing of Other Transaction Authority Consortia

Pub. L. 116–283, div. A, title VIII, § 833134 Stat. 3753

section 1708 of title 41section 2371 of title 1010 U.S.C. 402110 U.S.C. 4022“Not later than 90 days after the date of the enactment of this Act [], the Secretary of Defense shall maintain on the single Government-wide point of entry described under , United States Code, a list of the consortia used by the Secretary to announce or otherwise make available opportunities to enter into a transaction under the authority of , United States Code [now ], or a transaction for a prototype project under section 2371b of such title [now ].”
, , , provided that:

Data, Policy, and Reporting on the Use of Other Transactions

Pub. L. 115–232, div. A, title VIII, § 873132 Stat. 1905 Pub. L. 116–92, div. A, title VIII, § 819133 Stat. 1488

“(a)

Collection and Storage .—

The Service Acquisition Executives of the military departments shall collect data on the use of other transactions by their respective departments, and the Under Secretary of Defense for Research and Engineering and the Under Secretary of Defense for Acquisition and Sustainment shall collect data on all other use by the Department of Defense of other transactions, including use by the Defense Agencies. The data shall be stored in a manner that allows the Assistant Secretary of Defense for Acquisition and other appropriate officials access at any time.
“(b)

Use of Data .—

The Assistant Secretary of Defense for Acquisition shall—
“(1)
analyze and leverage the data collected under subsection (a) to update policy and guidance related to the use of other transactions; and
“(2)
make the data collected under subsection (a) accessible to any official designated by the Secretary of Defense for inclusion by such official in relevant reports made by such official.
“(c)

Report Required.—

“(1)

In general .—

Not later than , and annually thereafter through , the Secretary of Defense shall submit to the congressional defense committees [Committees on Armed Services and Appropriations of the Senate and the House of Representatives] a report on the use of other transaction authority to carry out prototype projects during the preceding fiscal year. Each report shall summarize the data collected under subsection (a) on the nature and extent of each such use of the authority, including a description—
“(A)
section 2371b of title 1010 U.S.C. 4022 of the participants to an agreement entered into pursuant to the authority of subsection (a) of , United States Code [now ], or a follow-on contract or transaction entered into pursuant to the authority of subsection (f) of such section;
“(B)
of the quantity of prototype projects to be produced pursuant to such an agreement, follow-on contract, or transaction;
“(C)
of the amount of payments made pursuant to each such agreement, follow-on contract, or transaction;
“(D)
of the purpose, description, and status of prototype projects carried out pursuant to each such agreement, follow-on contract, or transaction; and
“(E)
including case examples, of the successes and challenges with using the authority of such subsection (a) or (f).
“(2)

Form of report .—

A report required under this subsection shall be submitted in unclassified form without any designation relating to dissemination control, but may contain a classified annex.”
, , , as amended by , , , provided that:

Preference for Use of Other Transactions and Experimental Authority

Pub. L. 115–91, div. A, title VIII, § 867131 Stat. 1495

10 U.S.C. 4021section 2373 of title 1010 U.S.C. 4023“In the execution of science and technology and prototyping programs, the Secretary of Defense shall establish a preference, to be applied in circumstances determined appropriate by the Secretary, for using transactions other than contracts, cooperative agreements, and grants entered into pursuant to sections 2371 and 2371b of title 10, United States Code [now and 4022], and authority for procurement for experimental purposes pursuant to , United States Code [now ].”
, , , provided that: