Title: NIJ "Smart Gun" Solicitation
Series: Solicitation
Author: NIJ
Published: June 2001
Subject: Grants and funding
13 pages
25,000 bytes

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U.S. Department of Justice
Office of Justice Programs
National Institute of Justice

National Institute of Justice
Solicitation
June 2001

NIJ "Smart Gun" Solicitation

APPLICATION DEADLINE:
July 26, 2001

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U.S. Department of Justice
Office of Justice Programs
810 Seventh Street N.W.
Washington, DC 20531

For grant and funding information, contact:
Department of Justice Response Center
800-421-6770

Office of Justice Programs
World Wide Web Site:
http://www.ojp.usdoj.gov

National Institute of Justice
World Wide Web Site:
http://www.ojp.usdoj.gov/nij

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I. Introduction

The National Institute of Justice (NIJ) is the research and development
arm of the U.S. Department of Justice. Created by Congress in 1968, the
Institute is charged with investing public funds to develop knowledge that
will reduce crime, enhance public safety, and improve the administration
of justice. Under its enabling legislation, NIJ is authorized to assist State
and local justice systems in the following ways:

 o By conducting and sponsoring basic and applied research into the
causes, prevention, and detection of crime.

 o By sponsoring evaluations of major Federal initiatives concerning crime
and justice.

 o By supporting research, demonstrations, and validations to develop new
approaches, techniques, systems, and equipment to improve law
enforcement and the administration of justice.

 o By developing, validating, and evaluating new technologies to deter
crime and enhance criminal justice operations.

 o By making recommendations to Federal, State, and local governments.

 o By conducting conferences and workshops for criminal justice
policymakers and professionals.

 o By collecting and disseminating both domestic and international
criminal justice information obtained by the Institute or other Federal
agencies.

NIJ's portfolio covers a diverse and dynamic array of research and
development topics. Over the course of each year, the Institute's research
program evolves as a result of consultations with researchers;
technologists and practitioners; Federal, State and local policymakers; and
partnerships with other public and private organizations. The NIJ Research
Portfolio, which lists ongoing NIJ research and development, with project
descriptions, is available online. The Institute encourages prospective
applicants to consult the portfolio as well as Building Knowledge About
Crime and Justice: The 2000 Research Prospectus of the National Institute
of Justice, as guides to NIJ's approach to criminal justice research and
development. (See section V of this solicitation for instructions on
obtaining these and related documents.)

II. Background 

NIJ has been working since 1994 to develop, test, and replicate "smart
gun" technologies that will reduce deaths and injuries resulting from the
use of weapons taken from law enforcement officers. 

A review conducted in 1994 of the FBI's Law Enforcement Officers Killed
and Assaulted Uniform Crime Report (http://www.fbi.gov/ucr/ucr.htm)
showed that of the police officers killed in the line of duty during a 10 year
period, one in six were killed with their own firearm after being disarmed
by a suspect. An additional 113 firearms were stolen from police officers
in that same period of time. To address the growing concern for the safety
of our Nation's police officers, NIJ funded Sandia National Laboratories to
study the problem of police firearm take-aways, identify the extent to
which officers are assaulted and killed with their own firearms, and
identify the requirements officers would want in a "smart gun." Sandia
was also charged with identifying existing technologies that could be used
to disable a weapon so that it would only fire for a recognized user.

Based on the requirements identified by police, Sandia assessed the
technical and practical feasibility of 14 technology concepts ranging from
simple mechanical devices to sophisticated electromagnetic concepts
incorporating biometric technology. At that time radio frequency
technology was determined to be the best suited and most readily
available. A copy of that report is available on the Internet at:
http://infoserve.sandia.gov/sand_doc/1996/961131.pdf.

In 1996 NIJ funded Colt's Manufacturing to further develop its radio
frequency "smart gun." Colt's "smart gun" research initiative was based on
a wrist watch-like transponder that had to be within an "enabling zone" to
allow the weapon to operate. Notwithstanding several mechanical and
technical challenges, the development demonstrated, in particular, that
commercial off-the-shelf technology to support the "smart gun" was
difficult to locate and difficult to incorporate once found.

Since that time, NIJ has funded two different and promising "smart gun"
initiatives with Smith & Wesson and FN Manufacturing. One project uses
an ultrasonics-based transponder with embedded microelectronics
technology while the other is a pin code activated electronic handgun with
growth into incorporation of a biometrics user authentication device. In
addition to the design and optimization of the "smart gun" components,
these programs are performing finite element stress analyses; failure mode
& effects analyses; design for manufacturing & assembly; and design of
tooling & assembly fixtures to evaluate the entire prototype system
concepts.

NIJ's long-term goal for the "smart gun" program is a handgun that
operates in a normal manner for authorized law enforcement users, but
disables itself when in the possession of an unauthorized user. The
imbedded technology, which recognizes whether a user is authorized or
not, would be seamless and transparent to the authorized user, or group of
users. It would be simple, affordable, and would not adversely impact the
reliability of the weapon in all current environments and operating
conditions which law enforcement officers may find themselves. 

Although these are idealistic goals, there have been a number of
technologies demonstrated to date that already meet a subset of them. NIJ
anticipates that the "smart gun" program will develop and demonstrate
technologies meeting more, and ultimately all, of these goals while further
defining and developing standards and test methods to measure them.
Proposers are encouraged to clearly state their role in defining, measuring,
and/or developing and demonstrating technologies meeting these goals. If
technologies are proposed that do not meet all of them, then a path of
development to achieve that end should be shown.

Each proposal should include a breakdown of tasks and resource
expenditures for each task for the project. The breakdown should, as a
minimum, include major tasks, accomplishment of program goals, and
timing of deliverables. This will enable the reviewers and NIJ managers to
better understand how the proposer plans to accomplish the work.

Proposers should keep in mind that cost considerations of resulting "smart
gun" technology development products are a major concern. Most law
enforcement and corrections agencies have limited financial resources to
apply to the evaluation, development, implementation, or purchase of
technology. This is especially true for State and local agencies. These and
related factors all influence the timeliness and the degree to which new
technologies are accepted by administrators. 

Please consider the questions below when determining the usefulness of
your proposal. In your proposal, you should incorporate information that
addresses the general themes posed by these questions.

 o How important is the new technology to law enforcement and
corrections officers?

 o What will be its impact on policing or correctional organizational
structure and personnel requirements?

 o How will the "smart gun" technology impact existing weapons?

 o What are the hidden costs? For example, what costs are required for
equipment to program the "smart gun" technology or batteries to operate
it?

 o What, if any, are the net savings in labor or other costs?

 o How much training is required to use and maintain the technology?

 o How will the courts view the technology-in terms of liability or
interference with personal freedom? What constitutional or other legal
issues may arise from utilization of the technology?

 o How will the "smart gun" technology be successfully transitioned from
research to production?

 o How will the development, implementation, or evaluation of this
technology integrate with existing technology or work with existing
technical infrastructure?

 o What technical standards are or will be employed in the development,
implementation, and evaluation of this technology?

III. Areas of Research Required

Within the following research areas, there are specific topics that could
meet critical law enforcement and corrections needs for "smart gun"
technology. These topics are not considered to be exclusive; you may
submit proposals in other areas related to "smart gun" technology. NIJ
anticipates making multiple awards covering the technical areas of this
solicitation. 

A. "Smart Gun" System Concepts. NIJ is interested in bringing "smart
gun" technology to the law enforcement community as rapidly as possible,
but in a manner that develops confidence in the technology through a
clearly defined development, evaluation and demonstration process. It is
understood that the development of a "smart gun" system will require a
broad array of technical disciplines and capabilities to bring a concept to
market. Teaming arrangements are encouraged that bring together the
strengths of multiple organizations to develop an entire "smart gun"
product; a product that meets the law enforcement needs but also benefits
from coordination with military and civilian applications of "smart gun"
technology. 

If proposed, teaming arrangements need to have clearly defined technical
milestones, leadership plans, business strategies, intellectual property
sharing agreements, and participant cost sharing plans. A coordination
plan should also be developed identifying "smart gun" users, training
institutions, government test facilities and laboratories, legal and
legislative bodies, and others that should be part of bringing a successful
"smart gun" program to market.

Proposers of teaming arrangements should not overlook or underestimate
the technology component of the project. NIJ believes that there is still
significant technology development that must take place to meet the law
enforcement goals.

Proposers of entire system concepts should plan to deliver a sufficient
quantity of prototype "smart guns" to allow NIJ to perform independent
laboratory assessments and user evaluations. 

For example, NIJ released an Autoloading Pistols Standard - 0112.03 Rev
A in 1999 that established performance requirements and test methods for
today's law enforcement pistols. NIJ's National Law Enforcement and
Corrections Technology Center (NLECTC) sponsored two independent
test laboratories to perform tests of 27 pistols from eight manufacturers
against the new pistol standard. The results of that test are produced in the
Equipment Performance Report: 1999 Autoloading Pistols. The standard
and performance report is available on the Internet at:
http://www.nlectc.org/pubs. Products of the "smart gun" program will be
evaluated against this standard, plus any additional tests developed to
specifically address the "smart gun" components (i.e., user identification
rate, false identification rate, false rejection rate, electromagnetic
incompatibilities or interference, etc.). 

B. Component Development. NIJ is not aware of any known single
solution (mechanical, electromagnetic, or biometric) meeting the law
enforcement requirements of the "smart gun." Proposals are sought that
develop or implement a user authentication technology that is seamless
and transparent for the authorized "smart gun" user, but disables the gun
for an unauthorized user. As noted previously, the ideal solution would be:

 o imbedded entirely in the structure of the gun

 o simple to operate

 o reliable in differentiating between authorized and unauthorized users

 o affordable

 o reliable in all environments and operating conditions that law
enforcement officers may find themselves

Proposals that do not initially meet all of these goals are encouraged to
show a clear development path to that end. All proposals must
demonstrate novelty in their technological developments that will result in
innovative solutions for the "smart gun" program. 

Proposers of component devices should plan to deliver a sufficient
quantity of engineering demonstration models to allow NIJ to perform an
independent assessment or user evaluation of the component technology.

Universities and other academic institutions are particularly encouraged to
submit proposals for innovative solutions to the "smart gun" program. NIJ
anticipates making a number of awards for innovative University
proposals for component development efforts up to $100,000 each.

C. Simulation and Training. Proposals are encouraged that take advantage
of simulation and training technologies to analyze or evaluate the
application of "smart gun" technologies in specific law enforcement or
corrections applications or scenarios. 

Although NIJ does not intend to fund the development or purchase of
simulation devices as part of this effort, devices to interface with "smart
guns," devices to equip prototype "smart guns" with feedback
mechanisms, or development of specific "smart gun" test/training
scenarios for the simulation or training system could be proposed. 

D. Other Areas. NIJ encourages the submission of any research,
development, and application proposals that will result in creative,
innovative technologies to benefit "smart gun" applications for law
enforcement and corrections personnel. All proposals in technology
application, assessment, or practice areas of the "smart gun" program not
addressed in the previous focus areas will be considered. You must explain
the benefit derived from your proposal that will assist "smart gun"
applications for law enforcement and corrections.

IV. Selection Criteria

NIJ is firmly committed to the competitive process for funding proposed
efforts. All proposals are subjected to an independent, peer-review panel
evaluation. The peer-review panel consists of members with academic,
practitioner, technical, and operational expertise in the subject areas of the
solicitation. Selection criteria used to evaluate proposals are as follows:

1. Quality and Technical Merit

 o Soundness of methodology, analytic, or technical approach.

 o Innovation and creativity.

 o Feasibility of proposed project; awareness of pitfalls.

 o Awareness of existing research and developmental work currently
underway or completed, and related applications.

2. Impact of the Project

 o Understanding the importance of the problem.

 o Potential for significant advance in crime prevention, law enforcement,
courts, corrections, or other practice or policy areas.

 o Potential for advancement of scientific understanding of the problem
area.

 o Relevance to practice, including development and demonstration in
application domains (if applicable).

 o Affordability of proposed end products by law enforcement or
corrections users (if applicable), including maintenance and training.

3. Capabilities, Demonstrated Productivity, and Experience of Applicants

 o Qualifications and experience of personnel as related to proposed
project. 

 o Responsiveness to the goals of the solicitation.

 o Demonstrated ability to manage proposed effort.

 o Adequacy of proposed project management plan including, where
appropriate, a task breakdown listing expenditure of resources for each
task.

 o Adequacy of proposed resources to perform effort.

4. Budget Considerations

 o Total cost relative to perceived benefit.

 o Use of existing resources to conserve costs.

 o Cost-effectiveness of program or product for application in the criminal
justice system (if applicable).

After peer-review panelists' consideration, Institute staff make
recommendations to NIJ's Director based on the results of the independent
reviews. Final decisions are made by the NIJ Director following
consultation with Institute staff.

V. How to Apply 

Persons interested in submitting research proposals under this solicitation
must submit the required application materials. (See below for instructions
on obtaining application forms and guidelines.) Applications must include
the following information or completed forms to qualify for funding:

 o Standard Form (SF) 424--application for Federal assistance 

 o Geographic Areas Affected Worksheet-NEW FORM

 o Assurances

 o Certifications Regarding Lobbying, Debarment, Suspension, and Other
Responsibility Matters; and Drug-Free Workplace Requirements (one
form)

 o Disclosure of Lobbying Activities

 o Budget Detail Worksheet

 o Budget Narrative

 o Negotiated indirect rate agreement (if appropriate)

 o Names and affiliations of all key persons from applicant and
subcontractor(s), advisors, consultants, and advisory board members.
Include name of principal investigator, title, organizational affiliation (if
any), department (if institution of higher education), address, phone, and
fax 

 o Proposal abstract

 o Table of contents

 o Program narrative or technical proposal

 o Privacy certificate-REVISED

 o Form 310 (Protection of Human Subjects Assurance
Identification/Certification/ Declaration)-NEW FORM

 o Environmental Assessment (if required)-NEW

 o References

 o Letters of cooperation from organizations collaborating in the research
project

 o Resumes

 o Appendices, if any (e.g., list of previous NIJ awards, their status, and
products [in NIJ or other publications])

Confidentiality of information and human subjects protection. NIJ has
adopted new policies and procedures regarding the confidentiality of
information and human subjects protection. Please see the Guidelines for
Submitting Proposals for National Institute of Justice-Sponsored Research
for details on the new requirements. 

The Office of Justice Programs encourages integration and interoperability
of information technology (IT) systems between all justice agencies and
across Federal, State, and local jurisdictional boundaries. IT systems
include automated information systems used by each of the justice system
components (law enforcement, courts, prosecution, defense, corrections,
probation and parole) in their internal day-to-day business and in
communicating with each other. To support State and local justice
integration and interoperability of these systems, OJP asked the Governor
to designate a "point of contact" to provide information on IT plans and
coordination in your. State and local recipients of awards that will be used
in whole or in part for information systems may be required by the
awarding OJP Bureau to communicate with this point of contact about
their information technology plans. By increasing local communication
when planning and implementing information technology, OJP funds may
be used to support interoperable, rather than isolated, information systems.

The name and address of your State Information Technology Point of
Contact can be obtained by calling our customer service line at
1-800-458-0786, or on the OJP web page at
http://www.ojp.usdoj.gov/ec/states.htm.

Page limit. The number of pages in the "Program Narrative" part of the
proposal must not exceed 30 (double-spaced pages), no matter the amount
of funding requested.

Due date. Completed proposals must be received at the National Institute
of Justice by 4:00 P.M. (EDT) on July 26, 2001. Extensions of this
deadline will not be permitted.

Award period. In general, NIJ limits its grants and cooperative agreements
to a maximum period of 12 or 24 months. However, longer budget periods
may be considered.

Applying. Two packets need to be obtained: (1) application forms
(including a sample budget worksheet) and (2) guidelines for submitting
proposals (including requirements for proposal writers and requirements
for grant recipients). To receive them, applicants can:

 o Access NIJ's Funding Opportunities Page on the World Wide Web:
(http://www.ojp.usdoj.gov/nij/funding.htm). NIJ application policies and
forms are available as electronic files that may be downloaded to a
personal computer.

 o Access the Justice Information Center on the Web:
http://www.ncjrs.org/fedgrant.htm#nij

This Web site offers the NIJ application forms and guidelines as electronic
files that may be downloaded to a personal computer.

 o Request hard copies of the forms and guidelines by mail from the
National Criminal Justice Reference Service at 800-851-3420 or from the
Department of Justice Response Center at 800-421-6770 (in the
Washington, D.C., area, at 202-307-1480).

 o Request copies by fax. Call 800-851-3420 and select option 1, then
option 1 again for NIJ. Code is 1023.

 o For additional information or to request mail delivery contact the
National Criminal Justice Reference Service at 800-851-3420.

For further information on NIJ research, see:

 o NIJ Awards in Fiscal Year 1999 (NCJ 179016). 

 o Building Knowledge About Crime and Justice: The 2000 Research
Prospectus of the National Institute of Justice (NCJ 178903).

 o National Institute of Justice Year in Review 1999 (NCJ 182948). 

 o NIJ Online Research Portfolio: http://nij.ncjrs.org/portfolio/.

Notes

1. You should choose a title in block 10 of SF 424 Application for Federal
Assistance for your proposal that is descriptive of your project and
succinct.

2. When estimating budget requests, investigators should note that NIJ
policy prohibits the use of grant funds for operational, training, or other
nonresearch costs of the project.

3. The proposal abstract, when read separately from the rest of the
application, is meant to serve as a succinct and accurate description of the
proposed work. Applicants must concisely describe the research goals and
objectives, research design, and methods for achieving the goals and
objectives. Summaries of past accomplishments are to be avoided, and
proprietary/confidential information is not to be included. Length is not to
exceed 400 words. Use the following two headers: (1) Project Goals and
Objectives and (2) Proposed Research Design and Methodology.

Guidance and information. Applicants who wish to receive additional
guidance and information may contact the U.S. Department of Justice
Response Center at 800-421-6770. Center staff can provide assistance or
refer applicants to an appropriate NIJ professional. Applicants may, for
example, wish to discuss their prospective research topics with the NIJ
professional staff. However, applicants are expected to obtain and
carefully read application forms and proposal guidelines in advance.

Send completed forms to: Ten (10) copies of fully executed proposals
must be received by NIJ by 4:00 P.M. (EDT) on July 26, 2001. Proposals
must be sent to the following address:

NIJ Smart Gun Solicitation
c/o Wendy Howe, Program Manager
National Institute of Justice
810 Seventh Street N.W.
Washington, DC 20531
[overnight courier ZIP code 20001]

For more information on the National Institute of Justice, please contact:

National Criminal Justice Reference Service
Box 6000
Rockville, MD 20849-6000
800-851-3420
e-mail: askncjrs@ncjrs.org

You can view or obtain an electronic version of this document from
the NCJRS Justice Information Center web site (http://www.ncjrs.org) or
the NIJ web site (http://www.ojp.usdoj.gov/nij).

This document is not intended to create, does not create, and may not be
relied upon to create any rights, substantive or procedural, enforceable at
law by any part in any matter civil or criminal.