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NIST Public Safety Innovation Accelerator Program – Artificial Intelligence for IoT 

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Notice of Funding Opportunity

5/27/2021

NOTICE OF FUNDING OPPORTUNITY (NOFO)

NIST Public Safety Innovation Accelerator Program – Artificial Intelligence for IoT 

Information Prize Competition

EXECUTIVE SUMMARY

• Federal Agency Name: National Institute of Standards and Technology (NIST), 

United States Department of Commerce (DoC)

● Funding Opportunity Title: NIST Public Safety Innovation Accelerator Program

– Artificial Intelligence for IoT Information Prize Competition

• Announcement Type: Initial

• Funding Opportunity Number: 2021-NIST-AI3-01

• Assistance Listing (CFDA Number): 11.609, Measurement and Engineering 

Research and Standards

• Dates: Full Applications must be received at Grants.gov no later than 11:59 p.m. 

Eastern Time, July 26, 2021. Applications received after this deadline will not be 

reviewed or considered. Paper applications will not be accepted.

Applicants should be aware, and factor in their application submission planning, 

that the Grants.gov system closes periodically for routine maintenance. 

Applicants should visit Grants.gov for information about any scheduled closures. 

NIST expects to complete its review, selection of successful applicants, and 

award processing by October 2021. NIST expects the earliest start date for 

awards under this NOFO to be November 2021.

Applicants are strongly urged to read Section IV.2.b., Attachment of Required 

Documents, with great attention. Applicants should carefully follow the 

instructions and recommendations regarding attachments and use the Download 

Submitted Forms and Applications feature on www.Grants.gov to check that all 

required attachments were contained in their submission. Applications submitted 

without the required documents will not pass the Initial Administrative Review.

When developing the submission timeline, please keep in mind that: (1) all 

applicants are required to have current registrations in the electronic System for 

Award Management (SAM.gov) and Grants.gov; (2) the free annual registration 

process in SAM.gov generally takes between three and five business days but 

can take more than three weeks; and (3) applicants will receive e-mail 

notifications over a period of up to two business days as the application moves 
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through intermediate systems before the applicant learns via a validation or 

rejection notification whether NIST has received the application. (See Grants.gov

for full information on application and notification through Grants.gov). Please 

note that a federal assistance award cannot be issued if the designated 

recipient’s registration in SAM.gov is not current at the time of the award.

• Application Submission Address: Applications must be submitted using 

Grants.gov.

• Funding Opportunity Description: The NIST’s Public Safety Innovation 

Accelerator Program (PSIAP) is seeking applications from eligible applicants for 

activities to collaborate with technical experts from NIST, industry/academia, and 

public safety in developing and implementing the Artificial Intelligence for IoT 

Information (AI3) Prize Competition. The AI3 Prize Competition aims to utilize 

artificial intelligence learning techniques to make disparate situational awareness 

data sources actionable for first responders. The AI3 Prize Competition seeks to 

attract experts and innovators from industry and academia to focus on this 

difficult challenge by offering a monetary prize purse and an opportunity to help 

public safety solve this overarching problem. The AI3 Prize Competition award

will include all aspects of prize development, implementation, and postcompetition publicity and evaluation of the project impact.

• Anticipated Amounts: In Fiscal Year 2022 (FY22), NIST anticipates funding 1 

award for approximately $1,200,000 with a project performance period of up to 2

years.

• Funding Instrument: Cooperative Agreement

• Eligibility: Eligibility for all programs listed in this NOFO is open to U.S. nonFederal entities. Eligible applicants include: Institutions of higher education, nonprofit organizations, and for-profit organizations organized in the United States. 

NIST will not be accepting proposals from foreign entities. Please note that 

individuals and unincorporated sole proprietors are not considered “non-Federal 

entities” and are not eligible to apply under this NOFO. Although Federal entities 

are not eligible to receive funding under this NOFO, they may participate as 

unfunded collaborators.

• Cost Sharing Requirements: Non-federal cost share is not required for awards 

issued pursuant to this NOFO.

• Public Website, Frequently Asked Questions (FAQs) and Webinar: NIST has 

a public website (www.nist.gov/ctl/pscr/funding-opportunities/grants-andcooperative-agreements/psiap-artificial-intelligence-iot) that provides information 

pertaining to this Funding Opportunity. NIST anticipates that a “Frequently Asked 
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Questions” section or other resource materials will be maintained and updated on 

the website as needed to provide additional guidance and clarifying information 

that may arise related to this Funding Opportunity. Any amendments to this 

NOFO will be announced through Grants.gov.

Applicants must submit all questions pertaining to this funding opportunity via email to pscr@nist.gov with ‘AI3’ in the subject line. Questions submitted to NIST 

may be posted on pscr.gov. Alternatively, applicants may ask questions during 

the informational public webinar as described in the next paragraph.

NIST will host a webinar to provide general information regarding this NOFO, offer 

general guidance on preparing applications, and answer questions. Scheduling 

details about the webinar will be available at www.nist.gov/ctl/pscr/fundingopportunities/grants-and-cooperative-agreements/psiap-artificial-intelligence-iot. 

There is no cost to attend the webinar, but participants must register in advance. 

Participation in the webinar is not required and will not be considered in the 

application review and selection process. 

General questions about this opportunity including eligibility requirements, the 

review and selection process, and the general characteristics of a competitive 

application may be addressed during the webinar or by e-mail to pscr@nist.gov

with ‘AI3’ in the subject line.

Table of Contents

I. Program Description............................................................................................. 3

II.Federal Award Information................................................................................. 11

III.Eligibility Information ......................................................................................... 12

IV.Application and Submission Information........................................................... 12

V.Application Review Information.......................................................................... 28

VI.Federal Award Administration Information ........................................................ 34

VII.Federal Awarding Agency Contacts................................................................. 48

VIII.Other Information............................................................................................ 48

FULL ANNOUNCEMENT TEXT

I. Program Description

The statutory authority for the NIST PSIAP is 15 U.S.C. § 3706 and 47 U.S.C. § 

1443. This competition also incorporates NIST’s prize competition authority under 

the America COMPETES Reauthorization Act of 2010, 15 U.S.C. § 3719, as 

amended (“America COMPETES Act”).

The mission of the NIST Public Safety Communications Research (PSCR) 

Division is to research, develop, and test technologies to improve first responder 
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communications and operations. PSCR created PSIAP to stimulate external 

research and development (R&D) activities addressing critical technology gaps 

identified by stakeholders and to build a public-safety-focused R&D ecosystem 

with long-lasting impact.

Currently, first responders rely heavily on relayed voice communications and their 

own observations to maintain situational awareness during a mission critical 

event. As network connectivity becomes ubiquitous, the opportunities to use 

technology to enhance first responder situational awareness are also increasing. 

Due to the highly mobile and intense nature of first responder activities, small 

form factor sensors are an obvious choice for transmitting certain types of 

situational awareness data. Although there are currently a great number of these 

types of devices (also referred to as “Internet of Things” or IoT devices) on the 

market, the current commercial landscape results in the data being proprietary to 

a specific manufacturer, and viewable primarily via that manufacturer’s intended 

dashboard. 

In an ideal situation, first responders will have the option to select their desired 

hardware in conjunction with the user interface that best suits their needs in order 

to stay safe during hazardous situations. Ideally, this would be accomplished 

without additional manual system integration between the data generating 

sensors and the data visualization platforms. This manual system integration, 

although widely used today, utilizes a great deal of resources—including 

personnel and financial resources—to build an overlay that will allow data transfer 

between two specific platforms. If changes are made to either platform, the 

integration must be modified.

This program seeks to implement a prize competition that will develop technology 

to bridge the incompatibility between sensor hardware outputs and visualization 

system inputs by creating an artificial intelligence (AI) platform or middleware 

solution that can identify, categorize, and distribute data from multiple types of IoT 

devices that could be used for a first responder’s situational awareness.

The PSIAP is, therefore, seeking to enter into a cooperative agreement with an 

organization possessing expertise in prize competitions to serve as a Prize 

Administrator (PA). This PA will collaborate with technical experts from NIST, 

industry/academia, and public safety in developing the Artificial Intelligence for 

IoT Information (AI3) Prize Competition to address the problem above. The AI3 

Prize Competition aims to develop software and hardware components that can 

be integrated into an end-to-end middleware solution that will ingest, evaluate,

and categorize data from multiple IoT devices with different output data formats. 

The solution should be capable of recognizing existing sensor data elements and 

incorporating previously unknown data elements based on contextual analysis. 

The aggregated output data will be utilized to improve individual situational 
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awareness for first responders as a communal resource capable of supporting 

multiple user interfaces and user experiences. The PSIAP seeks to attract experts 

and innovators from all areas to focus on this difficult challenge by offering a 

monetary prize purse.

1. Background Information

Throughout the U.S. today, there are numerous examples of how information 

analysis is being used to improve our lifestyle. From utilizing networked energy 

meters to reduce the amount of energy consumption in a city to using artificial 

intelligence to scan for anomalies in an MRI, the results that can be achieved 

through the automated analysis of data can be more accurate and faster than 

those driven solely by human capacity. 

However, even as sensors become integrated into devices across many sectors 

of industry, it is difficult to find devices that meet the diverse situational 

awareness needs of first responders. A first responder often requires information 

that spans many traditional IoT market siloes. Information traditionally used by 

healthcare, industry, and household commercial applications could all be 

deemed important depending on the first responder’s mission. First responders 

have neither the budget nor the personnel required to maintain the systems that 

would be needed to supply this data. Further, even if several systems could be 

utilized together, accessing and interpreting data from different platforms would 

be time consuming and potentially overwhelming to an individual who needs to 

focus their attention on life-saving efforts.

Although data standards are a topic of interest in the IoT landscape and there are 

several standards development organizations (SDO) working on these efforts, 

there are currently few benefits to implementation as none of these standards are 

widely used in commercial industry. Instead, sensor system manufacturers rely 

on proprietary data formatting, transmitted with secure connectivity to a cloudbased or otherwise secured server for analysis and storage. If the manufacturer 

feels that third party data accessibility is beneficial, they will make an Application 

Programming Interface (API) accessible to external developers that wish to 

interact with the allowed elements of the system’s data. From there, the onus of 

the integration work is put on the external developer to determine how their 

platform will interact with the API, and to ensure that the integration is kept up to 

date. In examining the first responder model, the amount of effort required to 

consolidate disparate types of data from multiple sensor systems into a single 

dashboard would be impossible to maintain given their staffing and budget 

limitations.

Additionally, when responding to large-scale events, multiple public safety 

agencies must be able to communicate with each other even though their 

equipment may be manufactured by different companies or be otherwise 
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incompatible. The ability to have a secondary unit arrive at the scene and be able 

to immediately integrate their sensor information would greatly increase the 

efficiency and the safety of the individuals involved.

An example scenario for the AI3 Prize Competition is the hypothetical occurrence 

of a city level disaster event, such as a building explosion. Fire, law enforcement 

and EMS officials from City A have arrived to address the fires, direct citizens to

safety, and treat the injured. As the disaster unfolds, the city management 

[incident command] realizes that additional help will be needed and calls for 

mutual aid from neighboring cities B and C. Cities A, B, and C all have personal 

area monitoring for their responders, but from differing systems. Additionally, 

responders from mutual aid cities B and C require environmental information 

from City A. Utilizing the output from an AI3 component, either responder group 

would be able to direct their system to the appropriate data source, and the AI3 

component would be able to ingest the unknown data, evaluate it based on 

metadata or other contextual information and categorize the data appropriately 

so that it could be utilized on a situational awareness platform, and each city 

could have visibility to the actions of the others without manual sensor 

integration.

2. Overview

The Overview section is broken up into two parts: “Goals,” which describes the 

overall goals of the PSIAP NOFO; and “Prize Competition,” which outlines 

specific requirements for the final prize competition output.

A. Goals

The goal of this PSIAP NOFO is for the award recipient to implement the AI3 

Prize Competition and obtain innovative solutions to the question: How can 

unidentified situational awareness sensor data be identified and classified so 

that previously unknown data can be integrated and used by public safety in 

real time? 

The PA should implement a competition for contestants to develop a platform 

that can use current sensor information to learn how to categorize data from 

unknown sensor platforms.

For the information to be beneficial to a first responder’s contextual 

awareness, the identification and classification of the data should be specific 

enough that a situational awareness platform or similar tool used by first 

responders would be able to interpret and properly display the data once 

identified with all relevant associated information (e.g. timestamp, location, 

data source and units of measurement). A first responder would also need to 
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be able to utilize that information to inform their actions in a mission-critical 

event. 

Ideally, sensor data classification would take place in real-time or near realtime, so that streaming data could be successfully ingested and interpreted 

without significantly affecting the timeliness of the information when accessed 

in the field. Rather than utilizing all public safety data housed within a smart 

city, the prize competition may focus on utilizing historical sensor data, and 

work towards the goal of real time data identification.

The following criteria must be addressed by the applicant in its design of the 

prize competition:

• The data to be identified or categorized must be discrete data (e.g. data 

points). The prize competition will not be addressing crowd sourced data 

such as social media feeds or text messages.

• The data to be identified or categorized must relate to a first responder’s 

situational awareness. This can include fire service, law enforcement, 

emergency medical services, or any combination of the three entities.

• The data to be identified or categorized must be publicly available or must 

be created or owned by the PA. The prize competition cannot utilize any 

data scraped from private websites or accessed outside of its terms of 

use.

First responder-centric situational awareness data could include, but is not 

limited to:

• biometric sensor data, 

• personal protective equipment (PPE) data, 

• vehicle status data, 

• transportation and city infrastructure data, 

• data from public safety dispatch center

In addition, the prize competition may choose to focus on a specific category 

of data, such as:

• Personal Area Network level data,

• Building level data, or

• City level data

Two of the purposes of this prize competition are to cover a broad range of 

sensor types and have the data identification, categorization, interpretation, 

and output be performed in real-time.

B. Prize Competition
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The PA will, in collaboration with PSCR, develop and implement a prize 

competition that meets the objectives described above. As PSCR expects 

that the final prize competition will encompass development of an artificial 

intelligence platform used to identify data, the PA will also be responsible for 

the procurement or development of training, test and evaluation datasets 

suitable to develop and evaluate the proposed prize competition submissions.

PSCR expects that the PA will have previous experience in development of 

dataset(s) similar to the one requested in scope and magnitude, or that the 

PA will utilize a subcontractor or sub-recipient with the required experience. 

The dataset should be generic but representative enough that classification 

analysis of sensor type, content, and relevant information can be performed 

on the sensor data. The dataset should include multiple types of sensors from 

each category of data that the PA proposes. Within each sensor type

category, there should be data diversification, so that the dataset depicts 

different methods of portraying the same type of sensor data (e.g. one 

outdoor temperature sensor using Fahrenheit, while another may use 

Celsius—but both are showing the same data). The image below depicts the 

type of data diversity that must be present in the dataset. This dataset will 

serve to provide training, test, and evaluation data for the prize competition 

contestants to base their solutions on, and thus should be appropriately 

diverse and relevant to the public safety use case. Additionally, if NIST 

determines that the dataset potentially includes data from human subjects, 

there must be an appropriate review as indicated in the section on Human 

Subjects Research (see Section VI.2.g.)., 

Figure 1: Example Data Diversity Representation in Dataset
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Under this cooperative agreement, PSCR will be involved in the PA’s

development and implementation of the AI3 dataset, particularly as it applies 

to dataset content and relevance to the ultimate prize competition. The PA 

should specify whether it plans to make the dataset publicly available postcompetition.

PSCR expects that the PA will have working knowledge of the public safety 

use case, and that they will regularly collaborate with subject matter experts 

from industry, academia, and public safety throughout all phases of the 

competition. The PA will be responsible for this collaboration, however PSCR 

may facilitate making connections to key public safety stakeholders who have 

been actively involved in various efforts related to this topic. Although most of

the research shall be undertaken by the PA, PSCR will make engineering 

resources available for feedback and additional questions related to 

background research. 

The PA, in collaboration with PSCR, will develop competition criteria and 

performance metrics during the prize design phase. It is PSCR’s intent to rely 

on the PA’s expertise to partly or completely develop these criteria to ensure 

a successful outcome from the competition. Competition criteria are the 

criteria against which applicants and competitors will be evaluated at various 

stages to ensure that winners’ solutions will meet the objectives of the AI3 

Prize. Example competition criteria could include accuracy, performance or 

scalability. Performance metrics are a subset of the competition criteria and 

are technical, quantitative measures that will be developed specifically to 

evaluate participants during test events. PSCR desires that the final 

evaluation events take place on an online prize competition hosting platform, 

although alternate suggestions from the PA will be considered. The PA will 

determine the distribution of the number and amount of prize award(s). The 

PA is encouraged to develop a prize structure that incentivizes the 

development and or commercialization of solutions. For a participant to win 

the prize award(s), PSCR envisions they would need to meet or exceed 

quantitative performance metric thresholds and receive the highest scores 

from a judging panel according to the competition criteria. In addition to the 

awards, PSCR anticipates the PA could pursue supplementary 

financial/resource support and non-monetary incentives to attract high-quality 

participants to the competition. Examples of non-monetary incentives could 

include mentorship, collaboration, and exposure to potential investors.

PSCR requires that costs for prize administration, i.e. total cost to execute the 

competition excluding the prize awards, do not exceed 70% of the total of this 

financial assistance award. Monetary awards to competition participants, 

including any prize awards, may range up to the remainder of the at least 

30% of the total of this financial assistance award.
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The PA will be responsible for administering the monetary awards to 

competition participants. If no competition participant is eligible for the prize 

award(s) (i.e. no one exceeds the performance metric threshold(s) during the 

final test and evaluation stage), the unused funds will not be considered 

reimbursable costs. In the Risk Management Plan, the PA shall explicitly 

detail any foreseeable risks and their mitigation strategies, including: 

• How will any unused funds be allocated to further the outcomes of the 

current prize competition?

• How will the PA maximize competition participation?

• What other strategies or contingency plans are in place to ensure the 

applicant's chance of achieving the goals of this NOFO?

The PA will develop a marketing and outreach plan to attract participants and 

create exposure for the competition.

The PA, in collaboration with PSCR, will develop the competition rules. The 

PA will publish the rules and will be responsible for any updates to the rules. 

The PA will secure, coordinate, and compensate (if applicable) the judging 

panels for evaluation; the PA may propose using NIST personnel to 

participate in the judging panels where appropriate. If necessary, PSCR will 

facilitate invitations for key public safety stakeholders who have been actively 

involved in various efforts related to this topic to participate as judges.

The PA will determine the competition schedule and serve as project 

manager of the competition including participants, subject matter experts, 

facility staff, and judging panels. The PA will provide the necessary qualified 

personnel, facilities planning, on-site coordination and logistics, 

supplementary equipment and supplies, services, and related administrative 

and information technology to support the implementation of the competition 

stages.

The PA will be responsible for ensuring that all aspects of the competition are 

conducted in accordance with the prize authority established in the America 

COMPETES Reauthorization Act of 2010 (15 U.S.C. §3719).

The PA must develop an intellectual property management strategy that 

specifically addresses how the PA will protect the data and intellectual 

property of the competition participants including data and intellectual 

property associated with the participants’ submissions, such as algorithms,

any new data generated by the submission, and/or compilation data. This 

intellectual property management strategy should also address how data 

created by judges during the evaluation phase of the competition will be 

collected, organized and disseminated to the research community. At the end 

of the competition, the PA will conduct close-out activities to include: a) 
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developing a strategy to convert the AI3 Prize Competition results into a 

broader impact on advancing technology to bridge incompatibilities between 

sensor hardware outputs and visualization system inputs; b) evaluating the 

competition and process to determine if the objectives were met, and c) 

completing the data and intellectual property strategy for collecting, 

organizing, and disseminating the data created during the evaluation phase of 

the competition.

Qualified applicants must be able to demonstrate a substantial track record of 

successfully executing prize competitions of this magnitude and complexity, 

with an understanding of the requirements of the prize competition both from 

the data and public safety aspects. The applicants must be comfortable 

working with a diverse cross-section of experts from across academia, 

industry, and the public sector to create a clear and concise plan that 

achieves the high reaching goals of this proposed prize competition.

3. PSCR Public Safety Broadband Stakeholder Meeting

The recipient’s Principal Investigator (PI) will be required to participate in the 

PSCR Public Safety Broadband Stakeholder Meetings (approximately five 

days) each calendar year during the term of the award to present research 

and meet with stakeholders from public safety, government, industry, and 

academia. Other essential project staff are encouraged to attend. Attendance 

at this event should be reflected in the project schedule and budget.

II. Federal Award Information

1. Funding Instrument

The funding instrument used in this program will be a cooperative agreement. 

The nature of NIST’s “substantial involvement” will generally include 

collaboration with the recipient in executing the approved scope of work.

2. Multi-Year Funding Policy

When a proposal for a multi-year award is approved, funding will usually be 

provided for only the first year of the program. If a project is selected for 

funding, NIST has no obligation to provide any additional funding in 

connection with that award. Continuation of an award to increase funding or 

extend the period of performance is at the sole discretion of NIST. Continued 

funding will be contingent upon satisfactory performance, continued relevance 

to the mission and priorities of NIST, and the availability of funds.
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3. Funding Availability

In FY22, NIST anticipates funding 1 award for approximately $1,200,000 with 

a project performance period of up to two (2) years. 

III. Eligibility Information

1. Eligible Applicants

Eligibility for all programs listed in this NOFO is open to U.S. non-Federal 

entities. Eligible applicants include: Institutions of higher education, non-profit 

organizations, and for-profit organizations organized in the United States. 

NIST will not be accepting proposals from foreign entities. Please note that 

individuals and unincorporated sole proprietors are not considered “nonFederal entities” and are not eligible to apply under this NOFO. Although 

Federal entities are not eligible to receive funding under this NOFO, they may 

participate as unfunded collaborators. 

2. Cost Sharing or Matching

Matching funds are not required.

IV. Application and Submission Information

1. Address to Request Application Package

The application package is available at Grants.gov under Funding 

Opportunity Number 2021-NIST-AI3-01.

2. Content and Form of Application Submission

a. Required Forms and Documents. The Application must contain the 

following:

(1) SF-424 (R&R), Application for Federal Assistance. The SF-424 

(R&R) must be signed by an authorized representative of the 

applicant organization.

For SF-424 (R&R), Items 5, 14, and 19, use the Zip Code + 4 format 

(##### - ####) when addresses are called for.

For SF-424 (R&R), Item 17, the list of certifications and assurances is 

contained in the Federal Financial Assistance Certifications and 

Representations (Certs and Reps) as part of the SAM.gov entity 

registration.

SF-424 (R&R), Item 18. If the SF-LLL, Disclosure of Lobbying 

Activities form (item (5) below) is applicable, attach it to field 18.
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Instructions for filling in the SF-424 (R&R) can be found on 

Grants.gov, as well as at the NIST Grants Management Division SF424 Research & Related (R&R) Application Package Guidance.

(2) Research & Related Budget (Total Fed + Non-Fed). The budget 

should reflect anticipated expenses for the full term of the project, 

considering all potential cost increases, including cost of living 

adjustments. 

The budget should be detailed in these categories:

A. Senior/Key Person;

B. Other Personnel;

C. Equipment Description;

D. Travel;

E. Participant/Trainee Support Costs

F. Other Direct Costs;

G. Direct Costs (automatically generated);

H. Indirect Costs;

I. Total Direct and Indirect Costs (automatically generated);

J. Fee (not relevant to this competition);

K. Total Costs and Fee (automatically generated);

L. Budget Narrative and Justification document (item (8) below) 

should be attached to field L.

A separate detailed R&R Budget must be completed for each budget 

period during the proposed award (e.g., annual basis). To add 

additional budget periods (e.g., year 2), click “Add Period” embedded 

at the end of the form. Information regarding the Research & Related 

Budget (Total Fed + Non-Fed) is available in the R&R Family Section

of Grants.gov, as well as at the NIST Grants Management Division

SF-424 Research & Related (R&R) Application Package Guidance.

(3) CD-511, Certification Regarding Lobbying. Enter “2021-NISTAI3-01” in the Award Number field. Enter the title of the application, 

or an abbreviation of that title, in the Project Name field.

(4) Research and Related Other Project Information. Answer the

highlighted questions and use this form to attach the Project Narrative 

(item (6) below), the Resume(s)/CVs (item (7) below), the Indirect 

Cost Rate Agreement (item (9) below), the Letters of Commitment, if 

applicable, (item (11) below), the Data Management Plan (item (12) 

below), and the Current and Pending Support Form (item (13 below).

Instructions for completing the Research and Related Other Project 
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Information form can be found in the Grants.gov R&R Forms 

Repository by scrolling down to Research And Related Other Project 

Information and clicking the Instructions link, as well as in the NIST 

Grants Management Division SF-424 Research & Related (R&R) 

Application Package Guidance. 

Please note that the Project Summary/Abstract is not relevant to 

this competition. However, Grants.gov requires an attachment 

to field 7 of the Research and Related Other Project Information 

form to successfully pass through Grants.gov. Please attach a 

document to field 7 stating, “A Project Summary/Abstract is not 

relevant to this competition”.

(5) SF-LLL, Disclosure of Lobbying Activities (if applicable). 

(6) Project Narrative. The Project Narrative is a word-processed 

document of no more than twenty-three (23) pages (double-spaced 

between lines), which is responsive to the program description and 

the evaluation criteria. 

The Project Narrative should contain the following information:

A. Cover Page. The cover page should include:

i. The name, address, and contact information of the applicant 

institution, partner organizations, and the principal investigator;

ii. The project title;

iii. Any statements regarding confidentiality; and

iv. A summary of the project in approximately three to five 

sentences using plain language that would be understood by a 

general, lay audience.

B. Table of Contents. 

C. Project Description. This is a detailed description of the proposed 

prize competition and potential impacts. This section should 

include a detailed description of the: 

i. Approach to developing and implementing the prize 

competition to meet the goals of this NOFO. This description 

should include details related to competition design and rules, 

dataset design and implementation, competition criteria and 

performance metrics, monetary awards, marketing and 

outreach, event management, data management, and closeout.
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ii. Approach to collaborating with NIST and subject matter 

experts from both industry/academia and public safety to 

develop and implement the prize competition to meet the 

goals of this NOFO.

iii. Expected outcomes and short-term impacts of the prize 

competition.

iv. Expected long-term impacts beyond the prize competition to 

include stimulating additional R&D and market investment.

This section will be evaluated in accordance with the Project 

Description evaluation criteria: (see Section V.1.a. of this NOFO).

D. Prize Competition Dataset Description. This is an initial 

description of the dataset that must be developed for the eventual 

prize competition execution. Because this information is critical to 

the outcomes of the prize competition, it is required that the 

applicant put considerable thought towards development of this 

information. This section should include:

i. Approach to developing dataset (in house, external contractor, 

open data), including previous experience of entity in 

performing similar dataset design work.

ii. Description of method the applicant will use to ensure that the 

data is publicly available or will be created or owned by the PA 

and not data that is scraped from private websites or accessed 

outside of its terms of use.

iii. Description of proposed size, content, origins and terms of use 

of proposed data, and relevance to the proposed situational 

awareness scenario.

iv. A dataset sample demonstrating the types and breadth of the 

proposed data for use in the prize competition. This sample 

may be submitted as pages within the application, or 

submitted as a soft copy via a source code repository (e.g. 

Github or similar). If submission is made via a source 

repository, all required logins and locations must be provided, 

and the files must be timestamped prior to the application 

deadline. If the timestamp provided by the repository at the 

time of application review displays a date and time past the 

application deadline, or if the repository cannot be accessed 

via the login information provided, the application will be 

reviewed without the data sample.

This section will be evaluated in accordance with the Prize 

Competition Dataset Description evaluation criteria: (see Section 

V.1.b. of this NOFO).
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E. Project Execution. This is a detailed description of the plan to 

execute the entire project, including the prize competition. 

Applicants should note that all information regarding costs are to be 

addressed in the Budget Narrative (see Section IV.3.a.(8) of this 

NOFO). This section should include: 

i. A summary of the overall approach to executing the prize 

competition and how the schedule, deliverables, milestones, 

and risk management will maximize the applicant's chances of 

achieving the goals of this NOFO. 

ii. A detailed project schedule (Gantt chart of similar) for the 

entire prize competition. 

iii. A deliverable summary table identifying all deliverables, a 

description of each, and due dates.

iv. A milestone summary table identifying all milestones, a 

description of each, due dates, and clear, measurable criteria 

to verify milestone completion.

v. A risk management plan identifying major risks during each 

phase of the prize competition and mitigation strategies. This 

plan should also specifically address how the awardee will 

utilize or allocate any unawarded prize competition prize 

money.

vi. An intellectual property management strategy that specifically 

addresses how the PA will protect the data and intellectual 

property of the competition participants including data and 

intellectual property associated with the participants’ 

submissions, such as algorithms, any new data generated by 

the submission, and/or compilation data. This intellectual 

property management strategy should also specifically 

address how data created during the competition by the 

judges will be collected, organized and disseminated to the 

research community.

vii. A plan detailing any IRB submissions that will need to be 

undertaken if any of the data provided falls within Research 

Activities Involving Human Subjects (see Section VI.2.g. –

“Research Activities Involving Human Subjects, Human 

Tissue, Data or Recordings Involving Human Subjects 

Including Software Testing”).

This section will be evaluated in accordance with the Project 

Execution evaluation criteria: (see Section V.1.c. of this NOFO).
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F. Qualifications. This is a detailed description of the applicant's 

relevant qualifications, experience, and resources for successfully 

designing and implementing the proposed prize competition. This 

section should include:

i. Qualifications of the individuals, teams, and organizations that 

will be executing or supporting the proposed prize competition 

relative to the program goals.

ii. Demonstrated success executing prize competitions or 

technology demonstrations similar in scope and magnitude to 

the proposed project, including any examples of working with 

a diverse cross-section of experts from across academia, 

industry, and the public sector to create a clear and concise 

plan that achieved high-reaching goals. 

iii. Access to the necessary staff, equipment, facilities, support, 

and resources to accomplish the proposed objectives.

This section will be evaluated in accordance with the Qualifications 

evaluation criteria: (see Section V.1.e. of this NOFO).

(7) Resume(s)/CV(s). Resumes/CVs are required for all key personnel, 

including the principal investigator. Resumes are limited to two (2) 

pages per individual. Additional pages per resume/CV will not be 

considered during the evaluation of the application.

(8) Budget Narrative and Justification. There is no set format for the 

Budget Narrative and Justification; however, the written justification 

should include the necessity and the basis for the cost, as described 

below. Proposed funding levels must be consistent with the project 

scope, and only allowable costs should be included in the budget. 

Information on cost allowability is available in the Uniform 

Administrative Requirements, Cost Principles, and Audit 

Requirements for Federal Awards at 2 C.F.R. Part 200 

(http://go.usa.gov/SBYh), which apply to awards in this program. 

This section will be evaluated in accordance with the Budget Narrative

evaluation criteria. It will also be reviewed to determine if all costs are 

reasonable, allocable, and allowable under 2 C.F.R. Part 200 Subpart 

E, Cost Principles.

Information needed for each category is as follows:

A. Senior/Key Person – At a minimum, the budget justification should 
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include the following: name, job title, commitment of effort on the 

proposed project in terms of average number of hours per week or 

percentage of time, salary rate, total direct charges on the 

proposed project, description of the role of the individual on the 

proposed project and the work to be performed.

Fringe benefits should be identified separately from salaries and 

wages and based on rates determined by organizational policy. The 

items included in the fringe benefit rate (e.g., health insurance, 

parking, etc.) should not be charged under another cost category.

B. Other Personnel - Data is requested at the project role level, and 

not at the individual level for Other Personnel. The budget 

justification should include the following: job title, commitment of 

effort on the proposed project in terms of average number of hours 

per week or percentage of time, salary rate, total direct charges on 

the proposed project, description of the role of the position on the

proposed project and the work to be performed.

Fringe benefits should be identified separately from salaries and 

wages and based on rates determined by organizational policy. The 

items included in the fringe benefit rate (e.g., health insurance, 

parking, etc.) should not be charged under another cost category.

C. Equipment Description – Equipment is defined as an item of 

property that has an acquisition cost of $5,000 or more (unless the 

organization has established lower levels) and an expected service 

life of more than one year. The budget justification should list each 

piece of equipment, the cost, and a description of how it will be 

used and why it is necessary to the successful completion of the 

proposed project. Please note that any general use equipment 

(computers, etc.) charged directly to the award should be allocated 

to the award according to expected usage on the project. 

Applicants should provide at least two (2) quotes, if available, for 

equipment costing $25,000 or more. If two (2) quotes are not 

available, please provide a statement as to why two (2) quotes are 

not available. Any items that do not meet the threshold for 

equipment can be included under the Materials and Supplies line 

item in Section F, Other Direct Costs.

D. Travel - For all travel costs, required by the recipient to complete 

the project, including attendance at any relevant conferences, the 

budget justification for travel should include the following: 

destination; names or number of people traveling; dates and/or 
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duration; mode of transportation, lodging and subsistence rates; 

and description of how the travel is directly related to the proposed 

project. For travel that is yet to be determined, please provide best 

estimates based on prior experience. If a destination is not known, 

an approximate amount may be used with the assumptions given 

for the location of the meeting.

E. Participant/Trainee Support Costs – Participant support costs are 

stipends, subsistence allowances, travel, and registration fees paid 

to or on behalf of participants or trainees, who are not employees of 

your organization, for conferences or training projects. The budget 

justification should indicate the names or number of participants or 

trainees, a description and calculation of costs per person, a 

description and date of the event, and a description of why the cost 

is necessary for the successful completion of the proposed project.

F. Other Direct Costs – For costs that do not easily fit into the other

cost categories, please list the cost, and the breakdown of the total 

costs by quantity or unit of cost. Include the necessity of the cost for 

the completion of the proposed project. Only allowable costs can be 

charged to the award. 

Each subaward or contractual cost should be treated as a separate 

item in the Other Direct Costs category. Describe the services to be 

provided and the necessity of the subaward or contract to the 

successful performance of the proposed project. Contracts are for 

obtaining goods and services. Subawardees perform part of the 

project scope of work. For each subaward, applicants must provide 

budget detail justifying the cost of the work performed on the 

project.

Prize awards to be given to the competition winners are considered 

Other Direct Costs. Please provide amount of each proposed prize 

and justification of the amounts being proposed in this section.

G. Direct Costs – (automatically generated)

H. Indirect Costs – Commonly referred to as Facilities & 

Administrative Costs, Indirect Costs are defined as costs incurred 

by the applicant organization that cannot otherwise be directly 

assigned or attributed to a specific project. For more details, see

Section IV.2.b.(9) of this NOFO.

I. Total Direct and Indirect Costs - (automatically generated)
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J. Fee – (not relevant to this competition)

K. Total Costs and Fee (automatically generated)

(9) Indirect Cost Rate Agreement. If indirect costs are included in the 

proposed budget, provide a copy of the approved negotiated 

agreement if this rate was negotiated with a cognizant Federal audit 

agency. If the rate was not established by a cognizant Federal audit

agency provide a statement to this effect. If the successful applicant 

includes indirect costs in the budget and has not established an 

indirect cost rate with a cognizant Federal audit agency, the applicant 

will be required to obtain such a rate in accordance with Section B.06 

of the Department of Commerce Financial Assistance Standard 

Terms and Conditions, dated November 12, 2020.

Alternatively, in accordance with 2 C.F.R. § 200.414(f), applicants 

that do not have a current negotiated (including provisional) indirect 

cost rate, except for those non-Federal entities described in appendix 

VII, paragraph D.1.b. of 2 CFR Part 200, may elect to charge a de 

minimis rate of 10 percent of modified total direct costs (MTDC). 

Applicants proposing a 10 percent de minimis rate pursuant to 2 

C.F.R. § 200.414(f) should note this election as part of the budget 

portion of the application.

(10) Subaward Budget Form. The Research & Related Subaward

Budget Attachment Form is required if sub-recipients and contractors 

are included in the application budget. 

Instructions for completing subaward budget forms are available by 

visiting the R & R Family section of the Grants.gov Forms Repository 

and scrolling down to the R & R Subaward Budget Attachment(s) 

Form and selecting “Instructions.”

(11) Letters of Commitment. Letters of Commitment must be submitted 

by all funded and unfunded entities that will have an active role in 

executing the activities outlined in the Project Narrative. Letters of 

Commitment must address the level of participation, qualifications of 

the personnel who will be actively involved, and how successful 

completion of this project would positively impact their profession or 

community. Letters of Commitment must be signed by an individual 

with authority to legally bind the organization to its commitment. 
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Letters of Commitment will be evaluated in accordance with the 

Qualifications evaluation criteria (see Section V.1.e.(4) of this NOFO). 

Letters of commitment do not count against the specified page limits.

(12) Data Management Plan. Consistent with NIST Policy 5700.001, 

Managing Public Access to Results of Federally Funded Research, 

and NIST Order 5701.002, “Managing Public Access to Results of 

Federally Funded Research,” applicants proposing projects that 

include the conduct of research must include a Data Management 

Plan (DMP).

All applications for activities that will generate scientific data using 

NIST funding are required to adhere to a DMP or explain why data 

sharing and/or preservation are not within the scope of the project. 

For the purposes of the DMP, NIST adopted the definition of 

“research data” at 2 C.F.R. § 200.315(e)(3). 

The DMP must include, at a minimum, a summary of proposed 

activities that are expected to generate data; a summary of the types 

of data expected to be generated by the identified activities; a plan 

for storage and maintenance of the data expected to be generated by 

the identified activities, including after the end of the award’s period 

of performance; and a plan describing whether and how data 

generated by the identified activities will be reviewed and made 

available to the public.

A template for the DMP, an example DMP, and the rubric against 

which the DMP will be evaluated for sufficiency is available at 

https://www.nist.gov/open. An applicant is not required to use the 

template as long as the DMP contains the required information. 

If an application stands a reasonable chance of being funded and the 

DMP is determined during the review process to be insufficient, the 

program office may reach out to the applicant to resolve deficiencies 

in the DMP. If an award is issued prior to the deficiencies being fully 

rectified, the award will include a Specific Award Condition (SAC) 

stating that no research activities shall be initiated or costs incurred 

for those activities under the award until the NIST Grants Officer 

amends the award to indicate the SAC has been satisfied.

Reasonable costs for data preservation and access may be included 

in the application. 

1

https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf

2 https://www.nist.gov/system/files/documents/2019/11/08/final_o_5701_ver_2.pdf
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(13) Current and Pending Support Form. Any application that includes 

investigators, researchers, and key personnel must identify all 

sources of current and potential funding, including this proposal. Any 

current project support (e.g., Federal, state, local, public or private 

foundations, etc.) must be listed on this form. The proposed project 

and all other projects or activities requiring a portion of time of the 

Principal Investigator (PI), co-PI, and key personnel must be 

included, even if no salary support is received. The total award 

amount for the entire award period covered, including indirect costs, 

must be shown as well as the number of person-months per year to 

be devoted to the project, regardless of the source of support. Similar 

information must be provided for all proposals already submitted or 

that are being submitted concurrently to other potential funders. 

Applicants must complete the Current and Pending Support Form, 

using multiple forms as necessary to account for all activity for each 

individual identified in the PI, co-PI and key personnel roles. A 

separate form should be used for each identified individual. 

Applicants must download the Current and Pending Support Form 

from the NIST website at https://www.nist.gov/oaam/grantsmanagement-division/current-and-pending-support and reference the 

guidance provided as it contains information to assist with accurately 

completing the form.

b. Attachment of Required Documents

Items IV.2.a.(1) through IV.2.a.(4) above are part of the standard 

application package in Grants.gov and can be completed through the 

download application process.

Item IV.2.a.(5), the SF-LLL, Disclosure of Lobbying Activities form, is 

an optional application form which is part of the standard application 

package in Grants.gov. If item IV.2.a.(5), the SF-LLL, Disclosure of 

Lobbying Activities form is applicable to this proposal, attach it to field 

18 of the SF-424 (R&R), Application for Federal Assistance.

Item IV.2.a.(6), the Project Narrative, should be attached to field 8 

(Project Narrative) of the Research and Related Other Project 

Information form by clicking on “Add Attachment”.

Item IV.2.a.(8), the Budget Narrative and Justification, should be

attached to field L (Budget Justification) of the Research and Related 
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Budget (Total Fed + Total Non-Fed) form by clicking on “Add 

Attachment”.

Items IV.2.a.(7), Resume(s)/CV(s), IV.2.a.(9), the Indirect Cost Rate 

Agreement, IV.2.a.(12), the Data Management Plan, and IV.2.a.(13),

the Current and Pending Support Form, must be completed and 

attached by clicking on “Add Attachments” found in item 12 (Other 

Attachments) of the Research and Related Other Project Information 

form. 

Item IV.2.a.(11), Letters of Commitment should be attached by 

clicking on “Add Attachments” found in item 12 (Other Attachments) 

of the Research and Related Other Project Information form. 

Item IV.2.a.(10), the Subaward Budget Form(s), if applicable to the 

submission, should be attached to the Research & Related 

Subaward Budget (Total Fed + Non-Fed) Attachment(s) Form in the 

application package.

Following these directions will create zip files which permit transmittal 

of the documents electronically via Grants.gov. 

Applicants should carefully follow specific Grants.gov instructions to 

ensure the attachments will be accepted by the Grants.gov system. A 

receipt from Grants.gov indicates only that an application was 

transferred to a system. It does not provide details concerning 

whether all attachments (or how many attachments) transferred 

successfully. Applicants will receive a series of e-mail messages over 

a period of up to two business days before learning whether a 

Federal agency’s electronic system has received its application.

Applicants are strongly advised to use Grants.gov’s “Download 

Submitted Forms and Applications” option to check that their

application’s required attachments were contained in their 

submission. 

After submitting the application, check the status of your application 

here: CHECK APPLICATION STATUS . If any, or all, of the required 

attachments are absent from the submission, follow the attachment 

directions found above, resubmit the application, and check again for 

the presence of the required attachments.

If the directions found at 

https://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FG

etStarted.htm are not effective, please contact the Grants.gov Help 
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Desk immediately. If calling from within the United States or from a 

U.S. territory, please call 800-518-4726. If calling from a place 

outside the United States or a U.S. territory, please call 606-545-

5035. E-mails should be addressed to support@grants.gov. 

Assistance from the Grants.gov Help Desk will be available around 

the clock every day, with the exception of Federal holidays. Help 

Desk service will resume at 7:00 a.m. Eastern Time the day after

Federal holidays.

Applicants can track their submission in the Grants.gov system by 

following the procedures at the Grants.gov site 

(http://go.usa.gov/cjamz). It can take up to two business days for an 

application to fully move through the Grants.gov system to NIST.

NIST uses the Tracking Numbers assigned by Grants.gov, and does 

not issue Agency Tracking Numbers.

c. Application Format

(1) Paper, Email, and Facsimile (fax) Submissions. Will not be 

accepted.

(2) Figures, Graphs, Images, and Pictures. Should be of a size that is 

easily readable or viewable and may be displayed in landscape 

orientation. Any figures, graphs, images, or pictures will count toward 

the page limits for the Project Narrative.

(3) Font. Easy to read font (10-point minimum). Smaller type may be used 

in figures and tables but must be clearly legible.

(4) Page Limit. The Project Narrative is limited to twenty-three (23) pages 

double spaced. The Cover Page and Table of Contents are limited to 

one page each, and do not count towards the page count of the Project 

Narrative. The dataset sample is also not included in the page count of 

the Project Narrative. However, the sample content must not exceed:

ten (10) pages (if submitted as pages in the application); or 540 lines of 

text (if submitted as an electronic repository).

(5) Page Limit Exclusions:

SF-424 (R&R), Application for Federal Assistance;

CD-511, Certification Regarding Lobbying;

SF-LLL, Disclosure of Lobbying Activities;

Cover Page;

Table of Contents;
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Dataset Sample;

Budget Narrative and Justification;

Research & Related Budget (Total Fed + Non-Fed);

Research and Related Other Project Information;

Indirect Cost Rate Agreement;

Letters of Commitment;

Data Management Plan;

Subaward Budget Form;

Current and Pending Support Form.

(6) Page Layout. The Project Narrative must be in portrait orientation.

(7) Page size. 21.6 centimeters by 27.9 centimeters (8 1⁄2 inches by 11 

inches).

(8) Page numbering. Number pages sequentially.

(9) Application language. English. All documents must be in English, 

including but not limited to the initial application, any additional 

documents submitted in response to a NIST request, all reports, and 

any correspondence with NIST. 

(10) Typed document. All applications, including forms, must be typed;

handwritten forms will not be accepted.

d. Application Replacement Pages. Applicants may not submit replacement 

pages and/or missing documents once an application has been submitted. 

Any revisions must be made by submission of a new application that must 

be received by NIST by the submission deadline.

e. Pre-Applications. Pre-applications will not be accepted under this NOFO.

f. Certifications Regarding Federal Felony and Federal Criminal Tax 

 Convictions, Unpaid Federal Tax Assessments and Delinquent 

Federal Tax Returns. In accordance with Federal appropriations law, an 

authorized representative of the selected applicant(s) may be required to 

provide certain pre-award certifications regarding federal felony and federal 

criminal tax convictions, unpaid federal tax assessments, and delinquent 

federal tax returns.

3. Unique Entity Identifier and System for Award Management (SAM). 

Pursuant to 2 C.F.R. part 25, applicants and recipients are required to: (i) be 

registered in SAM before submitting its application; (ii) provide a valid unique 

entity identifier in its application; and (iii) continue to maintain an active SAM 
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registration with current information at all times during which it has an active 

Federal award or an application or plan under consideration by a Federal 

awarding agency, unless otherwise excepted from these requirements pursuant 

to 2 C.F.R. § 25.110. NIST will not make a Federal award to an applicant until the 

applicant has complied with all applicable unique entity identifier and SAM 

requirements and, if an applicant has not fully complied with the requirements by 

the time that NIST is ready to make a Federal award pursuant to this NOFO, 

NIST may determine that the applicant is not qualified to receive a Federal award 

and use that determination as a basis for making a Federal award to another 

applicant.

4. Submission Dates and Times

 Applications must be received at Grants.gov no later than 11:59 p.m. Eastern 

 Time, July 26, 2021. NIST will consider the date and time recorded by 

Grants.gov as the official submission time. Applications received after this 

deadline will not be reviewed or considered. Paper applications will not be

accepted.

Applicants should be aware, and factor in their application submission planning, 

that the Grants.gov system is expected to be closed for routine maintenance. 

Applicants should visit Grants.gov for information on any scheduled closures. 

When developing the submission timeline, please keep in mind that: (1) all 

applicants are required to have current registrations in the electronic System for 

Award Management (SAM.gov) and Grants.gov; (2) the free annual registration 

process in the SAM.gov generally takes between three and five business days

but can take more than three weeks; and applicants will receive e-mail 

notifications over a period of up to two business days as the application moves 

through intermediate systems before the applicant learns via a validation or 

rejection notification whether NIST has received the application. (See Grants.gov

for full information on application and notification through Grants.gov.) Please 

note that a Federal assistance award cannot be issued if the designated 

recipient’s registration in the System for Award Management (SAM.gov) is not 

current at the time of the award.

5. Intergovernmental Review

Applications under this Program are not subject to Executive Order 12372.

6. Funding Restrictions

Profit or fee is not an allowable cost.

7. Other Submission Requirements

a. Applications must be submitted electronically at Grants.gov
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(1) Applicants should carefully follow specific Grants.gov instructions to 

ensure that all attachments will be accepted by the Grants.gov system. 

A receipt from Grants.gov indicating an application is received does 

not provide information about whether attachments have been 

received. For further information or questions regarding applying 

electronically for the 2021-NIST-AI3-01 announcement, contact the 

Grants.gov Help Desk at 800-518-4726.

(2) Applicants are strongly encouraged to start early and not wait until the 

approaching due date before logging on and reviewing the instructions 

for submitting an application through Grants.gov. The Grants.gov 

registration process must be completed before a new registrant can 

apply electronically. The typical registration process takes three to five 

business days. If problems are encountered, the registration process 

can take two weeks or more. Applicants must have a valid unique 

entity identifier number and must maintain a current registration in the 

Federal government’s primary registrant database, the System for 

Award Management (https://www.sam.gov/), as explained on the 

Grants.gov Web site. After registering, it may take several days or 

longer from the initial log-on before a new Grants.gov system user can 

submit an application. Only individuals authorized as organization 

representatives will be able to submit the application, and the system 

may need time to process a submitted application. Applicants should 

save and print the proof of submission they receive from Grants.gov. If 

problems occur while using Grants.gov, the applicant is advised to (a) 

print any error message received and (b) call Grants.gov directly for 

immediate assistance. If calling from within the United States or from a 

U.S. territory, please call 800-518-4726. If calling from a place other 

than the United States or a U.S. territory, please call 606-545-5035. 

Assistance from the Grants.gov Help Desk will be available around the 

clock every day, except for Federal holidays. Help Desk service will 

resume at 7:00 a.m. Eastern Time the day after Federal holidays. For 

assistance using Grants.gov, the applicant may also contact 

support@grants.gov.

(3) To find instructions for submitting an application on Grants.gov, 

applicants should refer to the “Applicants” tab in the banner just below 

the top of the Grants.gov home page. Clicking on the “Applicants” tab 

produces two exceptionally useful sources of information, Applicant 

Actions and Applicant Resources, which applicants are advised to 

review.
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Applicants will receive a series of e-mail messages over a period of up 

to two business days before learning whether a Federal agency’s 

electronic system has received its application. 

Applicants should pay close attention to the guidance under 

Grants.gov’s “Applicant FAQs,” as it contains information important to 

successful submission, including essential details on the naming 

conventions for attachments to applications.

All applicants should be aware that adequate time must be factored 

into applicants’ schedules for delivery of their application. Applicants 

are advised that volume on Grants.gov may be extremely heavy 

leading up to the deadline.

The application must be both received and validated by Grants.gov. 

The application is “received” when Grants.gov provides the applicant a 

confirmation of receipt and an application tracking number. If an 

applicant does not see this confirmation and tracking number, the 

application has not been received. After the application has been 

received, it must still be validated. During this process, it may be 

“validated” or “rejected with errors”. To ascertain whether the 

application was rejected with errors and the reasons for the rejection, 

the applicant must log in to Grants.gov, select “Applicants” from the top 

navigation, and select “Track my application” from the drop-down list. If 

the status is “rejected with errors,” the applicant may still seek to 

correct the errors and resubmit the application before the deadline. If 

the applicant does not correct the errors, the application will not be 

forwarded to NIST by Grants.gov.

Refer to important information in Section IV.4. Submission Dates and 

Times, to help ensure the application is received on time.

b. Amendments. Any amendments to this NOFO will be announced through

Grants.gov. Applicants may sign up on Grants.gov to receive amendments 

by e-mail or may request copies by e-mail from pscr@nist.gov.

V. Application Review Information

1. Evaluation Criteria

The evaluation criteria that will be used in evaluating applications and their 

assigned weights are as follows:

a. Project Description (0-30 points)

Reviewers will evaluate the: 
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(1) Extent to which the proposal demonstrates a clear understanding of 

this NOFO.

(2) Extent to which the approach is cohesive, comprehensive, 

innovative, feasible, and likely to achieve successful administration

of a prize competition that will meet the program goals described in

this NOFO.

(3) Extent to which the approach to collaborating with NIST and subject 

matter experts from both industry/academia and public safety will 

result in a successful prize competition.

(4) Likelihood that the proposal will result in significant outcomes and 

impacts, both short-term and long-term, for the PSIAP, participants, 

public safety, and the R&D community.

b. Prize Competition Dataset Description (0-20 points)

Reviewers will evaluate the:

(1) Dataset design proposal within the project description, and whether 

the methodology used to obtain and clean data is sufficient.

(2) Method the applicant will use to ensure that the data is publicly

available or will be created or owned by the PA and not data that is

scraped from private websites or accessed outside of its terms of 

use. 

(3) Extent to which the proposed data within the dataset aligns with the 

situational awareness criteria outlined in the Background portion of 

Section I.

(4) Experience of applicant or its subcontractor or subrecipient in 

developing or administering datasets of similar 

magnitude/complexity.

c. Project Execution (0-25 points)

Reviewers will evaluate the:

(1) Extent to which the project approach is clearly described and 

supports the objectives of this NOFO.

(2) Feasibility, sufficiency, clarity, and appropriateness of the schedule, 

deliverables, milestones for achieving the goals of the prize 

competition. 

(3) Feasibility, sufficiency, clarity, and appropriateness of the identified 

risks and the associated mitigation strategies, including a plan 

outlining utilization of unawarded prize money, should that scenario 

occur. 

(4) Feasibility, sufficiency, clarity, and appropriateness of the 

intellectual property management strategy in addressing how the 

applicant will protect the data and intellectual property of the 

competition participants including data and intellectual property 

associated with the participants’ submissions such as algorithms, 
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any new data generated by the submission, and/or compilation 

data.

(5) Feasibility, sufficiency, clarity, and appropriateness of the 

intellectual property management strategy in addressing how data 

created during the evaluation phase of the competition by the 

judges will be collected, organized, and disseminated to the 

research community.

(6) Extent to which the applicant’s plan details how any IRB 

requirements will be addressed, as appropriate.

d. Budget Narrative (0-10 points)

Reviewers will evaluate the:

(1) Extent to which the budget narrative reflects a clear understanding 

of this NOFO, and the appropriateness and cost effectiveness of 

the budget with respect to executing the prize competition. 

(2) Appropriateness of proposed overhead costs in relation to prize 

competition prize costs.

(3) Appropriateness of prize competition awards and any additional 

prizes specified in application.

e. Qualifications (0-15 points)

Reviewers will evaluate the:

(1) Relevance and sufficiency of the qualifications of the individuals, 

teams, and organizations that will be executing or supporting the 

proposed prize competition, and the likelihood that they will be able 

to fulfill the objectives of this NOFO.

(2) Applicant's demonstrated success executing prize competitions or 

technology demonstrations similar in scope and magnitude to the 

proposed project, including any examples of working with a diverse 

cross-section of experts from across academia, industry, and the 

public sector to create a clear and concise plan that achieved highreaching goals. 

(3) Applicant’s access to the necessary staff, equipment, facilities, 

support, and resources to accomplish the proposed objectives. 

(4) Level of participation by project team members as evidenced by 

their integration in the project execution and letters of commitment. 

2. Selection Factors 

a. The Selecting Official or designee, will make a final award 

recommendation to the NIST Grants Officer. The Selecting Official 

shall generally select an application for award based on the rank order 
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of the applications and on one or more of the following selection 

factors:

(1) Results of the merit reviewers’ evaluations.

(2) The availability of funding.

(3) Whether the project duplicates other projects funded by NIST or 

other Federal agencies.

(4) Alignment with the NOFO objectives.

(5) Diversity of entity types within the PSCR R&D portfolio.

(6) Geographic diversity within the PSCR R&D portfolio.

3. Review and Selection Process

Proposals, reports, documents and other information related to applications 

submitted to NIST and/or relating to financial assistance awards issued by 

NIST will be reviewed and considered by Federal employees, or non-Federal 

personnel who have entered into conflict of interest and confidentiality

agreements covering such information, when applicable.

a. Initial Administrative Review of Applications. Applications received by 

the deadline will be reviewed to determine eligibility, completeness, and 

responsiveness to this NOFO and to the scope of the stated program 

objectives. Applications determined to be ineligible, incomplete, and/or 

nonresponsive may be eliminated from further review. However, NIST, in 

its sole discretion, may continue the review process for an application that 

is missing non-substantive information, the absence of which may easily 

be rectified during the review process.

b. Full Review of Eligible, Complete, and Responsive Applications.

Applications that are determined to be eligible, complete, and responsive 

will proceed for full reviews in accordance with the review and selection 

process below: 

(1) Merit Review. At least three (3) objective reviewers, who may be 

Federal employees or non-Federal personnel, with appropriate 

professional and technical expertise relating to the topics covered in this 

NOFO, will evaluate and score each eligible, complete, and responsive 

application based on the evaluation criteria (see Section V.1. of this 

NOFO). While every application will have at least three (3) reviewers, 

applications may have more than three (3) reviewers if specialized 

expertise is needed to evaluate an application. During the review 

process, the reviewers may discuss the applications with each other, 

but scores will be determined on an individual basis. Reviewers may 

consult as a panel with Federal or non-Federal subject-matter experts 

to seek clarification or explanation of specific issues identified during 
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the initial review process. Applications will be ranked by averaging the 

scores of all reviewers for each application. 

(2) Evaluation Panel. Following the merit review, an evaluation panel 

consisting of at least three (3) NIST staff and/or other Federal 

employees with the appropriate technical expertise will conduct a panel 

review of the ranked applications. The evaluation panel may contact 

applicants via e-mail to clarify contents of an application. The evaluation 

panel will provide a final adjectival rating and written evaluation of the 

applications to the Selecting Official for further consideration, 

considering: 

• All application materials.

• Results of the merit reviewers’ evaluations, including scores and 

written assessments.

• Any relevant publicly available information.

• Any clarifying information obtained from the applicants.

The adjectival ratings are: 

• Outstanding

• Very Good

• Average

• Deficient

For decision-making purposes, applications receiving the same 

adjectival rating will be considered to have an equivalent ranking, 

although their review scores may not necessarily be the same.

(3) Selection. The Selecting Official will make final award 

recommendations to the NIST Grants Officer. The Selecting Official

shall generally select and recommend the most meritorious application 

for an award based on the final adjectival ratings prepared by the 

Evaluation Panel and one or more of the selection factors described in 

Section V.2. of this NOFO. The Selecting Official retains the discretion 

to select and recommend an application out of order (i.e., from a lower 

adjectival category) based on one or more of the selection factors.

NIST reserves the right to negotiate the budget costs with the applicant 

that has been selected to receive an award, which may include 

requesting that the applicant remove certain costs. Additionally, NIST 

may request that the applicant modify objectives or work plans and 

provide supplemental information. NIST also reserves the right to reject

an application where information is uncovered that raises a reasonable 
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doubt as to the responsibility of the applicant. NIST may select some, 

all, or none of the applications, or part(s) of any application. In some 

cases, NIST may ask applicants to consider combining projects. The 

final approval of selected applications and issuance of awards will be by 

the NIST Grants Officer. The award decisions of the NIST Grants 

Officer are final.

c. Federal Awarding Agency Review of Risk Posed by Applicants. After 

applications are proposed for funding by the Selecting Official, the NIST 

Grants Management Division (GMD) performs pre-award risk 

assessments in accordance with 2 C.F.R. § 200.206, which may include a 

review of the financial stability of an applicant, the quality of the applicant’s 

management systems, the history of performance, and/or the applicant’s 

ability to effectively implement statutory, regulatory, or other requirements 

imposed on non-Federal entities. 

In addition, prior to making an award where the total Federal share is 

expected to exceed the simplified acquisition threshold (currently 

$250,000), NIST GMD will review and consider the publicly available 

information about that applicant in the Federal Awardee Performance and 

Integrity Information System (FAPIIS). An applicant may, at its discretion, 

review and comment on information about itself previously entered into 

FAPIIS by a Federal awarding agency. As part of its review of risk posed 

by applicants, NIST GMD will consider any comments made by the 

applicant in FAPIIS in making its determination about the applicant’s 

integrity, business ethics, and record of performance under Federal 

awards. Upon completion of the pre-award risk assessment, the Grants 

Officer will make a responsibility determination concerning whether the 

applicant is qualified to receive the subject award and, if so, whether 

appropriate specific conditions that correspond to the degree of risk posed 

by the applicant should be applied to an award.

4. Anticipated Announcement and Award Date

Review of applications, selection of successful applicants, and award 

processing is expected to be completed by November 2021. The earliest start 

date for awards under this NOFO is expected to be November 2021.

5. Additional Information

a. Safety. Safety is a top priority at NIST. Employees and affiliates of award 

recipients who conduct project work at NIST will be expected to be safetyconscious, to attend NIST safety training, and to comply with all NIST 

safety policies and procedures, and with all applicable terms of their guest 

research agreement.
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b. Notification to Unsuccessful Applicants. Unsuccessful applicants will 

be notified by e-mail and will have the opportunity to receive a debriefing 

after the opportunity is officially closed. Applicants must request within 10 

business days of the email notification to receive a debrief from the 

program office. The program office will then work with the unsuccessful 

applicant in arranging a date and time of the debrief.

c. Retention of Unsuccessful Applications. Unsuccessful applications will 

be retained in accordance with the General Record Schedule 1.2/021.

VI. Federal Award Administration Information

1. Federal Award Notices. Successful applicants will receive an award 

package from the NIST Grants Officer.

2. Administrative and National Policy Requirements

a. Uniform Administrative Requirements, Cost Principles and Audit 

Requirements. Through 2 C.F.R. § 1327.101, the Department of 

Commerce adopted Uniform Administrative Requirements, Cost 

Principles, and Audit Requirements for Federal Awards at 2 C.F.R. Part 

200, which apply to awards in this program. Refer to 

http://go.usa.gov/SBYh and http://go.usa.gov/SBg4.

b. Department of Commerce Financial Assistance Standard Terms and 

Conditions. The Department of Commerce will apply to each award in 

this program, the Financial Assistance Standard Terms and Conditions in 

effect on the date of award. The current version, dated November 12, 

2020, is accessible at Department of Commerce Financial Assistance 

Standard Terms and Conditions. Refer to Section VII. of this NOFO, 

Federal Awarding Agency Contacts, Grant Rules and Regulations, if you 

need more information. 

c. Pre-Award Notification Requirements. The Department of Commerce 

will apply the Pre-Award Notification Requirements for Grants and 

Cooperative Agreements dated December 30, 2014 (79 FR 78390), 

accessible at http://go.usa.gov/hKkR. Refer to Section VII. of this NOFO, 

Federal Awarding Agency Contacts, Grant Rules and Regulations, for 

more information.

d. Funding Availability and Limitation of Liability. Funding for the 

program listed in this NOFO is contingent upon the availability of 

appropriations. NIST or the Department of Commerce will not be 

responsible for application preparation costs, including but not limited to if 

this program fails to receive funding or is cancelled because of agency 
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priorities. Publication of this NOFO does not oblige NIST or the 

Department of Commerce to award any specific project or to obligate any 

available funds.

e. Collaborations with NIST Employees. If an applicant proposes 

collaboration with NIST, the statement of work should include a statement 

of this intention, a description of the collaboration, and prominently identify 

the NIST employee(s) involved, if known. Any collaboration by a NIST 

employee must be approved by appropriate NIST management and is at 

the sole discretion of NIST. Prior to beginning the merit review process, 

NIST will verify the approval of the proposed collaboration. Any 

unapproved collaboration will be stricken from the application prior to the 

merit review. Any collaboration with an identified NIST employee that is 

approved by appropriate NIST management will not make an application 

more or less favorable in the competitive process.

f. Use of Federal Government-Owned Intellectual Property. If the 

applicant anticipates using any Federal Government-owned intellectual 

property, in the custody of NIST or another Federal agency, to carry out 

the work proposed, the applicant should clearly identify such intellectual 

property in the proposal. This information will be used to ensure that no 

Federal employee involved in the development of the intellectual property 

will participate in the review process for that competition. In addition, if the 

applicant intends to use the Federal Government-owned intellectual 

property, the applicant must comply with all statutes and regulations 

governing the licensing of Federal government patents and inventions, 

described in 35 U.S.C. §§ 200-212, 37 C.F.R. Part 401, 2 C.F.R. 

§200.315, and in Section C.03 of the

Department of Commerce Financial Assistance Standard Terms and 

Conditions, dated November 12, 2020. Questions about these 

requirements may be directed to the Chief Counsel for NIST, (301) 975-

2803, nistcounsel@nist.gov.

Any use of Federal Government-owned intellectual property by a recipient 

of an award under this announcement is at the sole discretion of the 

Federal Government and will need to be negotiated on a case-by-case 

basis by the recipient and the Federal agency having custody of the 

intellectual property if a project is deemed meritorious. The applicant 

should indicate within the statement of work whether it already has a 

license to use such intellectual property or whether it intends to seek a 

license from the applicable Federal agency.

If any inventions made in whole or in part by a NIST employee arise in the 

course of an award made pursuant to this NOFO, the United States 
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Government may retain its ownership rights in any such invention. 

Licensing or other disposition of the Federal Government’s rights in such 

inventions will be determined solely by the Federal Government, through 

NIST as custodian of such inventions, and include the possibility of the 

Federal Government putting the intellectual property into the public 

domain.

g. Research Activities Involving Human Subjects, Human Tissue, Data 

or Recordings Involving Human Subjects Including Software Testing. 

Any application that includes research activities involving human subjects, 

human tissue/cells, or data or recordings from or about human subjects, 

must satisfy the requirements of the Common Rule for the Protection of 

Human Subjects (“Common Rule”), codified for the Department of 

Commerce at 15 C.F.R. Part 27. Research activities involving human 

subjects that fall within one or more of the classes of vulnerable subjects 

found in 45 C.F.R. Part 46, Subparts B, C and D must satisfy the 

requirements of the applicable subpart(s). In addition, any such application 

that includes research activities on these subjects must be in compliance 

with all applicable statutory requirements imposed upon the Department of 

Health and Human Services (DHHS) and other Federal agencies, all 

regulations, policies and guidance adopted by DHHS, the Food and Drug 

Administration (FDA), and other Federal agencies on these topics, and all 

Executive Orders and Presidential statements of policy on 

applicable topics. (Regulatory Resources: 

http://www.hhs.gov/ohrp/humansubjects/index.html which includes links to 

FDA regulations, but may not include all applicable regulations and 

policies).

NIST uses the following Common Rule definitions for research and human 

subjects research:

Research: A systematic investigation, including research development, 

testing and evaluation, designed to develop or contribute to generalizable 

knowledge. Activities which meet this definition constitute research for 

purposes of this policy, whether or not they are conducted or supported 

under a program which is considered research for other purposes. For 

example, some demonstration and service programs may include 

research activities.

Human Subject: A living individual about whom an investigator (whether 

professional or student) conducting research: (i) Obtains information or 

biospecimens through intervention or interaction with the individual, and 

uses, studies, or analyzes the information or biospecimens; or (ii) Obtains, 
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uses, studies, analyzes, or generates identifiable private information or 

identifiable biospecimens. 

(1) Intervention includes both physical procedures by which information 

or biospecimens are gathered and manipulations of the subject or 

the subject's environment that are performed for research 

purposes. 

(2) Interaction includes communication or interpersonal contact 

between investigator and subject. 

(3) Private information includes information about behavior that occurs 

in a context in which an individual can reasonably expect that no 

observation or recording is taking place, and information which has

been provided for specific purposes by an individual and that the 

individual can reasonably expect will not be made public (for 

example, a medical record). Private information must be individually 

identifiable (i.e., the identity of the subject is or may readily be 

ascertained by the investigator associated with the information) in 

order for obtaining the information to constitute research involving 

human subjects. 

(4) Identifiable biospecimen includes a biospecimen for which the 

identity of the subject is or may readily be ascertained by the 

investigator or associated with the biospecimen.

See 15 C.F.R. § 27.102 (Definitions). 

1) Requirement for Federalwide Assurance. If the application is 

accepted for [or awarded] funding, organizations that have an 

Institutional Review Board (IRB) are required to follow the procedures 

of their organization for approval of exempt and non-exempt research 

activities that involve human subjects. Both domestic and foreign 

organizations performing exempt research requiring limited IRB review 

or non-exempt research activities involving human subjects will be 

required to have protocols approved by a cognizant, active IRB 

currently registered with the Office for Human Research Protections 

(OHRP) within the DHHS that is linked to the engaged organizations. 

All engaged organizations must possess a currently valid Federalwide 

Assurance (FWA) on file from OHRP. Information regarding how to 

apply for an FWA and register an IRB with OHRP can be found at 

http://www.hhs.gov/ohrp/assurances/index.html. See 15 C.F.R. § 

27.103. NIST relies only on OHRP-issued FWAs and IRB Registrations 

for both domestic and foreign organizations for NIST supported 
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research involving human subjects. NIST will not issue its own FWAs 

or IRB Registrations for domestic or foreign organizations. 

2) Administrative Review. The NIST Research Protections Office (RPO) 

reserves the right to conduct an administrative review3 of all 

applications that potentially include research involving human subjects 

and were approved by an authorized non-NIST institutional entity (an 

IRB or entity analogous to the NIST RPO) under 15 C.F.R. § 27.112 

(Review by Institution). If the NIST RPO determines that an application 

includes research activities that potentially involve human subjects, the 

applicant will be required to provide additional information to NIST for 

review and approval. The documents required for funded proposals are 

listed in each section below. Most documents will need to be produced 

during the proposal review process; however, the Grants Officer may 

allow final versions of certain required documents to be produced at an 

appropriate designated time post-award. Research involving human 

subjects may not start until the NIST Grants Officer issues an award 

explicitly authorizing such research. In addition, all amendments, 

modifications, or changes to approved research and requests for 

continuing review and closure will be reviewed by the NIST RPO. 

Please note that the NIST IRB is unable to serve as the IRB for 

financial assistance recipients.

3) Required documents for proposal review. All applications 

involving human subjects research must clearly indicate, by 

separable task, all research activities believed to be exempt or 

non-exempt research involving human subjects, the expected 

institution(s) where the research activities involving human 

subjects may be conducted, and the institution(s) expected to be 

engaged in the research activities.

a. Not research determination. If an activity/task involves human 

subjects as defined in the Common Rule, but the applicant 

participant(s) indicates to NIST that the activity/task is not research 

as defined in the Common Rule, the following information may be 

3 Conducting an “administrative review” means that the NIST RPO will review and verify the performing 

institution’s determination for research not involving human subjects or exempt human subjects research. 

In addition, for exempt research requiring limited IRB review and non-exempt human subjects research, 

the NIST RPO will review and confirm that the research and performing institution(s) are in compliance 

with 15 C.F.R. Part 27, which means RPO will 1) confirm the engaged institution(s) possess, or are 

covered under a Federalwide Assurance, 2) review the research study documentation submitted to the 

IRB and verify the IRB’s determination of level of risk and approval of the study for compliance with 15 

C.F.R. Part 27, 3) review and verify IRB-approved substantive changes to an approved research study 

before the changes are implemented, and 4) review and verify that the IRB conducts a continuing review 

at least annually, as appropriate.
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requested for that activity/task:

(1) Justification, including the rationale for the determination and 

such additional documentation as may be deemed necessary by 

NIST to review and/or support a determination that the 

activity/task in the application is not research as defined in the 

Common Rule. 

(2) If the applicant participant(s) used a cognizant IRB that provided 

a determination that the activity/task is not research, a copy of 

that determination documentation must be provided to NIST. The 

applicant participant(s) is not required to establish a relationship 

with a cognizant IRB if they do not have one.

NIST will review the information submitted and may coordinate further 

with the applicant before determining whether the activity/task will be 

defined as research under the Common Rule in the applicable NIST 

financial assistance program or project.

b. Research not involving human subjects. If an activity/task is 

determined to be research and involves human subjects, but is 

determined to be not human subjects research (or research not 

involving human subjects) under the Common Rule, the following 

information may be requested for that activity/task:

(1) Justification, including the rationale for the determination and 

such additional documentation as may be deemed necessary by 

NIST to review and/or support a determination that the 

activity/task in the application is not research as defined in the 

Common Rule. 

(2) If the applicant participant(s) used a cognizant IRB that provided 

a determination that the activity/task is research not involving 

human subjects, a copy of that determination documentation 

must be provided to NIST. The applicant participant(s) is not 

required to establish a relationship with a cognizant IRB if they 

do not have one.

c. Exempt research determination with no IRB. If the application 

appears to NIST to include exempt research activities that do not 

meet the criteria for requiring a limited IRB review, and the 

performer of the activity or the supplier and/or the receiver of the 

information or biospecimens from human subjects does not have a

cognizant IRB to provide an exemption determination, the following 

information may be requested during the review process so that 

NIST can evaluate whether an exemption under the Common Rule 
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applies (see 15 C.F.R. § 27.104(b) and (d)):

(1) The name(s) of the institution(s) where the exempt research will 

be conducted.

(2) The name(s) of the institution(s) providing the biospecimens or 

information from human subjects.

(3) A copy of the protocol for the research to be conducted; and/or 

the biospecimens or information from human subjects to be 

collected/provided, not pre-existing samples (i.e., will proposed 

research collect only information without personal identifiable 

information, will biospecimens or information be de-identified 

and when and by whom was the de-identification performed, 

how were the materials or data originally collected).

(4) For pre-existing biospecimens or information from human 

subjects, provide copies of the consent forms used for collection 

and a description of how the biospecimens or information were

originally collected and stripped of personal identifiers. If copies 

of consent forms are not available, explain.

(5) Any additional clarifying documentation that NIST may deem 

necessary in order to make a determination whether the 

activity/task or use of biospecimens or information from human 

subjects is exempt under the Common Rule.

d. Research review with an IRB. If the application appears to NIST 

to include research activities (exempt or non-exempt) involving 

human subjects, proposed performer of the activity must have a 

relationship with a cognizant IRB registered with OHRP, and linked 

to their Federalwide Assurance. The following information may be 

requested during the review process:

(1) The name(s) of the institution(s) where the research will be 

conducted.

(2) The name(s) and institution(s) of the cognizant IRB(s), and the 

IRB registration number(s).

(3) The FWA number of the applicant linked to the cognizant 

IRB(s).

(4) The FWAs associated with all organizations engaged in the 

planned research activity/task, linked to the cognizant IRB.

(5) If the IRB review(s) is pending, the estimated start date for 

research involving human subjects.

(6) The IRB approval date (if currently approved for exempt or nonexempt research).
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(7) If any of the engaged organizations has applied for or will apply 

for an FWA or IRB registration, those details should be clearly 

provided for each engaged organization.

If the application includes research activities involving human 

subjects to be performed in the first year of an award, additional 

documentation may be requested by NIST during pre-award review 

for those performers, and may include the following for those 

research activities: 

(1) A copy of each applicable final IRB-approved protocol.

(2) A signed and dated approval letter from the cognizant IRB(s) 

that includes the name of the institution housing each applicable 

IRB, provides the start and end dates for the approval of the 

research activities, and any IRB-required interim reporting or 

continuing review requirements.

(3) A copy of any IRB-required application information, such as 

documentation of approval of special clearances (i.e.,

biohazard, HIPAA, etc.) conflict-of-interest letters, or special 

training requirements.

(4) A brief description of which portions of the IRB submitted 

protocol are specifically included in the application submitted to 

NIST, if the protocol includes tasks not included in the 

application, or if the protocol is supported by multiple funding 

sources. For protocols with multiple funding sources, NIST will 

not approve the study without a non-duplication-of-funding letter 

indicating that no other federal funds will be used to support the 

tasks proposed under the proposed research or ongoing project.

(5) If a new protocol will only be submitted to an IRB if an award 

from NIST is issued, a draft of the proposed protocol.

(6) Any additional clarifying documentation that NIST may request 

during the review process to perform the NIST administrative 

review of research involving human subjects. (See 15 C.F.R. § 

27.112 (Review by Institution)).

This clause reflects the existing NIST policy and requirements for Research 

Involving Human Subjects. Should the policy be revised prior to award, a 

clause reflecting the policy current at time of award may be incorporated into 

the award.

If the policy is revised after award, a clause reflecting the updated policy may 

be incorporated into the award.
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For more information regarding research projects involving human subjects, 

contact Anne Andrews, Director, NIST Research Protections Office (e-mail: 

anne.andrews@nist.gov; phone: (301) 975-5445).

h. Research Activities Involving Live Vertebrate Animals or Pre-Existing 

Cell Lines/Tissues From Vertebrate Animals. Any application that 

proposes research activities involving live vertebrate animals that are to be 

cared for, euthanized, or used by award recipients to accomplish research 

goals, teaching, or testing must meet the requirements of the Animal Welfare 

Act (AWA) (7 U.S.C. § 2131 et seq.), and the AWA final rules (9 C.F.R. Parts 

1, 2, and 3), and if appropriate, the Good Laboratory Practice for Nonclinical 

Laboratory Studies (21 C.F.R. Part 58). In addition, such research activities 

should be in compliance with the “U.S. Government Principles for Utilization 

and Care of Vertebrate Animals Used in Testing, Research, and Training” 

(Principles). The Principles and guidance on these Principles are available in 

the National Research Council's “Guide for the Care and Use of Laboratory 

Animals,'' which can be obtained from National Academy Press, 500 5th

Street, N.W., Department 285, Washington, DC 20055, or as a free PDF 

online at http://www.nap.edu/catalog/12910/guide-for-the-care-and-use-oflaboratory-animals-eighth. 

1) Administrative Review. NIST reserves the right to conduct an 

administrative review4 of all applications that potentially include 

research activities that involve live vertebrate animals, or custom 

samples from, or field studies with live vertebrate animals. If the 

application includes research activities, field studies, or custom 

samples involving live vertebrate animals, the applicant will be required 

to provide additional information for review and approval. In addition, 

NIST will verify the applicant’s determination(s) of excluded samples 

from vertebrate animals. The documents required for funded proposals 

are listed in each section below. Some may be requested for a prereview during the proposal review process; however, the Grants Officer 

may allow final versions of certain required documents to be produced 

at an appropriate designated time post-award. If an award is issued, no 

research activities involving live vertebrate animals shall be initiated or 

4 Conducting an “administrative review” means that the NIST RPO will review and verify the performing 

institution’s IACUC’s approval of research with live vertebrate animals, and confirm that the research and 

performing institution(s) have an appropriate assurance and are in compliance with applicable 

regulations. RPO will 1) confirm the engaged institution(s) possess, or are covered under an applicable 

assurance, 2) review the research study documentation submitted to the IACUC and verify the IACUC’s 

determination of level of risk and approval of the study for compliance with applicable regulations, 

3) review and verify IACUC-approved substantive changes to an approved research study before the 

changes are implemented, and 4) review and verify that the IACUC receives an annual report for the 

study and conducts an appropriate continuing review at least every three years.
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costs incurred for those activities under the award until the NIST 

Grants Officer issues written approval. In addition, all re-approvals, 

amendments, modifications, changes, annual reports and closure will 

be reviewed by NIST. 

2) Required documents for NIST proposal review. The applicant 

should clearly indicate in the application, by separable task, all 

research activities believed to include research involving live 

vertebrate animals and the institution(s) where the research 

activities involving live vertebrate animals may be conducted. In 

addition, the applicant should indicate any activity/task that 

involves an excluded or custom collection from vertebrate 

animals, or a field study with animals.

a) Excluded Collections from Vertebrate Animals: The 

requirements for review and approval by an Institutional Animal 

Care and Use Committee (IACUC) do not apply to proposed 

research using preexisting images of animals or to research plans 

that do not include live animals. These regulations also do not 

apply to obtaining stock or pre-existing items from animal material 

suppliers (e.g., tissue banks), such as pre-existing cell lines and 

tissue samples, or from commercial food processors, where the 

vertebrate animal was euthanized for food purposes and not for the 

purpose of sample collection.

For pre-existing cell lines and tissue samples originating from 

vertebrate animals, NIST requires that the proposer provide 

documentation or the rationale for the determination that the cell 

line or tissue is pre-existing and not a custom collection from live 

vertebrate animals for an activity/task within the proposal. NIST 

may require additional documentation to review and/or support the 

determination that the cells and/or tissues from vertebrate animals 

are excluded from IACUC review.

b) Custom Collections Harvested from Live Vertebrate Animals: 

NIST requires documentation for obtaining custom samples from 

live vertebrate animals from animal material suppliers and other 

organizations (i.e., universities, companies, and government 

laboratories, etc.). Custom samples includes samples from animal 

material suppliers, such as when a catalog item indicates that the 

researcher is to specify the characteristics of the live vertebrate 

animal to be used, or how a sample is to be collected from the live 

vertebrate animal. 
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c) Field Studies of Animals: Some field studies of animals may be 

exempt under the Animal Welfare Act from full review and approval 

by an animal care and use committee, as determined by each 

institution. Field study is defined as “... a study conducted on freeliving wild animals in their natural habitat...”. 9 C.F.R. § 1.1. 

However, this term excludes any study that involves an invasive 

procedure or that harms or materially alters the behavior of an 

animal under study. Field studies, with or without invasive 

procedures, may also require obtaining appropriate federal or local 

government permits (marine mammals, endangered species, etc.). If 

the applicant’s institution requires review and approval by an animal 

care and use committee, NIST will require that documentation to be 

provided as described below.

d) For custom collections or studies with live vertebrate animals 

that require review and approval by an animal care and use 

committee the following documentation is required:

(1) Requirement for Assurance. An applicable assurance for the 

care and use of the live vertebrate animal(s) to be used in the 

proposed research is required. NIST may request documentation 

to confirm an assurance, if adequate confirmation is not available 

through an assuring organization’s website. The cognizant 

IACUC where the research activity is located may hold one or 

more assurances applicable to the research activity that are 

acceptable to NIST. These four assurances are:

i. Animal Welfare Assurance from the Office of Laboratory 

Animal Welfare (OLAW) indicated by the OLAW 

assurance number, i.e., A-1234;

ii. USDA Animal Welfare Act certification indicated by the 

certification number, i.e., 12-R-3456; 

iii. Association for the Assessment and Accreditation of 

Laboratory Animal Care (AAALAC) indicated by providing 

the organization name accredited by AAALAC as listed in 

the AAALAC Directory of Accredited Organizations; and

iv. Letter of Assurance of compliance with the Animal 

Welfare Act, the U.S. Government Principles, and 

National Marine Fisheries Service (NFMS) IACUC policy 

that is valid for five years and provided by a NMFS 

Regional IACUC for activities with marine mammals or 

sea turtles (NMFS Policy Directive 04-112).

(2) Documentation of Research Review by an IACUC: If the 

applicant’s application appears to include research activities, 
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field studies, or custom sample collections involving live 

vertebrate animals the following information regarding review by 

an applicable IACUC may be requested during the application 

review process:

1. The name(s) of the institution(s) where the research 

involving live vertebrate animals will be conducted and/or 

custom samples collected.

2. The assurance type and number, as applicable, for the 

cognizant Institutional Animal Care and Use Committee 

(IACUC) where the research activity is located. [For 

example: Animal Welfare Assurance from the Office of 

Laboratory Animal Welfare (OLAW) should be indicated 

by the OLAW assurance number, i.e. A-1234; an USDA 

Animal Welfare Act certification should be indicated by 

the certification number i.e. 12-R-3456; and an 

Association for the Assessment and Accreditation of 

Laboratory Animal Care (AAALAC) should be indicated 

by AAALAC.]

3. The IACUC approval date for the Animal Study Protocol 

(ASP) (if currently approved).

4. If the review by the cognizant IACUC is pending, the 

estimated start date for research involving vertebrate 

animals.

5. If any assurances or IACUCs need to be obtained or 

established, that should be clearly stated.

6. If any special permits are required for field studies, those 

details should be clearly provided for each instance, or 

indicated as pending.

If the application includes research activities involving 

vertebrate animals to be performed in the first year of an award, 

additional documentation may be requested by NIST during 

pre-award review for those performers, and may include the 

following for those research activities, which may also include 

field studies, custom sample collections involving live 

vertebrate animals:

1. A copy of the IACUC approved ASP.

2. Documentation of the IACUC approval indicating the 

approval and expiration dates of the ASP.

3. If applicable, a non-duplication-of-funding letter if the 

ASP is funded from several sources.
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4. If a new ASP will only be submitted to an IACUC if an 

award from NIST is issued, a draft of the proposed ASP 

may be requested.

5. Any additional clarifying documentation that NIST may 

request during review of applications to perform the NIST 

administrative review of research involving live vertebrate 

animals.

This clause reflects the existing NIST policy for Research Involving Live 

Vertebrate Animals. Should the policy be revised prior to award, a clause 

reflecting the policy current at time of award may be incorporated into the 

award.

If the policy is revised after award, a clause reflecting the updated policy 

may be incorporated into the award.

For more information regarding research projects involving live vertebrate 

animals, contact Linda Beth Schilling, Senior Analyst (e-mail: 

linda.schilling@nist.gov; phone: 301-975-2887

3. Reporting

a. Reporting Requirements. The following reporting requirements described in 

Sections A.01, Reporting Requirements, of the Department of Commerce 

Financial Assistance Standard Terms and Conditions, dated November 12, 

2020, apply to awards in this program:

(1) Financial Reports. Each award recipient will be required to submit an 

SF-425, Federal Financial Report on a quarterly basis for the periods 

ending March 31, June 30, September 30 and December 31 of each 

year. Reports will be due within 30 days after the end of the reporting 

period. A final financial report is due within 120 days after the end of 

the project period.

(2) Research Performance Progress Report (RPPR). Each award 

recipient will be required to submit a RPPR on a quarterly basis for the 

periods ending March 31, June 30, September 30 and December 31 of 

each year. Reports will be due within 30 days after the end of the 

reporting period. The RPPR shall conform to the requirements in 2 

C.F.R. § 200.329 (http://go.usa.gov/xkVgP) and Department of 

Commerce Financial Assistance Standard Terms and Conditions,

Section A.01.

A final RPPR shall be submitted within 120 days after the expiration 
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date of the award, and publication citation information as well as links 

to publicly available data shall be submitted as soon as they become 

available. 

If a recipient’s Data Management Plan (DMP) has changed since their 

last submission of an RPPR, the recipient must include their revised 

DMP with the next RPPR following the revision to the DMP. The 

revised DMP must include all the requirements described in Section 

IV.2.a.(12). of this NOFO.

(3) Patent and Property Reports. From time to time, and in accordance 

with the Uniform Administrative Requirements and other terms and 

conditions governing the award, the recipient may need to submit 

property and patent reports.

(4) Recipient Integrity and Performance Matters. In accordance with 

section 872 of Public Law 110-417 (as amended; see 41 U.S.C. 2313), 

if the total value of a recipient’s currently active grants, cooperative 

agreements, and procurement contracts from all Federal awarding 

agencies exceeds $10,000,000 for any period of time during the period 

of performance of an award made under this NOFO, then the recipient 

shall be subject to the requirements specified in Appendix XII to 2 

C.F.R. Part 200, http://go.usa.gov/cTBwC, for maintaining the currency 

of information reported to SAM that is made available in FAPIIS about 

certain civil, criminal, or administrative proceedings involving the 

recipient.

b. Audit Requirements. The Department of Commerce Financial Assistance 

Standard Terms and Conditions, Section D.01, and 2 C.F.R. Part 200 Subpart 

F, adopted by the Department of Commerce through 2 C.F.R. § 1327.101, 

require any non-Federal entity (i.e., including non-profit institutions of higher 

education and non-profit organizations) that expends Federal awards of 

$750,000 or more in the recipient’s fiscal year to conduct a single or program

specific audit in accordance with the requirements set out in the Subpart. 

Additionally, unless otherwise specified in the terms and conditions of the 

award, entities that are not subject to Subpart F of 2 C.F.R. Part 200 (e.g., 

for-profit commercial entities) that expend $750,000 or more in DOC funds 

during their fiscal year must submit to the Grants Officer either: (i) a financial 

related audit of each DOC award or subaward in accordance with Generally 

Accepted Government Auditing Standards; or (ii) a project specific audit for 

each award or subaward in accordance with the requirements contained in 2 

C.F.R. § 200.507. Applicants are reminded that NIST, the Department of 

Commerce Office of Inspector General, or another authorized Federal agency 

may conduct an audit of an award at any time.
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c. Federal Funding Accountability and Transparency Act of 2006. In 

accordance with 2 C.F.R. Part 170, all recipients of a Federal award made on 

or after October 1, 2010, are required to comply with reporting requirements 

under the Federal Funding Accountability and Transparency Act of 2006 

(Public Law No. 109-282). In general, all recipients are responsible for 

reporting sub-awards of $25,000 or more. In addition, recipients that meet 

certain criteria are responsible for reporting executive compensation. 

Applicants must ensure they have the necessary processes and systems in 

place to comply with the reporting requirements should they receive funding. 

Also see the Federal Register notice published September 14, 2010, at 75 FR 

55663 available here http://go.usa.gov/hKnQ.

VII.Federal Awarding Agency Contacts

Questions should be directed to the following:

Subject Area Point of Contact

Programmatic and Technical Questions E-mail: pscr@nist.gov with ‘AI3’ in subject 

line

Technical Assistance with Grants.gov 

Submissions

grants.gov

Phone: 800-518-4726

E-mail: support@grants.gov 

Grant Rules and Regulations Grants Officer: Scott McNichol

Phone: 303-497-3444

E-mail: scott.mcnichol@nist.gov

VIII. Other Information

1. Personal and Business Information

The applicant acknowledges and understands that information and data 

contained in applications for financial assistance, as well as information and data 

contained in financial, performance and other reports submitted by applicants, 

may be used by the Department of Commerce in conducting reviews and 

evaluations of its financial assistance programs. For this purpose, applicant 

information and data may be accessed, reviewed and evaluated by Department 

of Commerce employees, other Federal employees, and also by Federal agents 

and contractors, and/or by non-Federal personnel, all of whom enter into 

appropriate conflict of interest and confidentiality agreements covering the use of 

such information. As may be provided in the terms and conditions of a specific 

financial assistance award, applicants are expected to support program reviews 

and evaluations by submitting required financial and performance information 

and data in an accurate and timely manner, and by cooperating with Department 
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of Commerce and external program evaluators. In accordance with 2 C.F.R. § 

200.303(e), applicants are reminded that they must take reasonable measures to 

safeguard protected personally identifiable information and other confidential or 

sensitive personal or business information created or obtained in connection with 

a Department of Commerce financial assistance award.

In addition, Department of Commerce regulations implementing the Freedom of 

Information Act (FOIA), 5 U.S.C. Sec. 552, are found at 15 C.F.R. Part 4, Public 

Information. These regulations set forth rules for the Department regarding 

making requested materials, information, and records publicly available under the 

FOIA. Applications submitted in response to this Federal Funding Opportunity 

may be subject to requests for release under the Act. If an application contains 

information or data that the applicant deems to be confidential commercial 

information that should be exempt from disclosure under FOIA, that information 

should be identified, bracketed, and marked as Privileged, Confidential, 

Commercial or Financial Information. In accordance with 15 CFR § 4.9, the 

Department of Commerce will protect from disclosure confidential business 

information contained in financial assistance applications and other 

documentation provided by applicants to the extent permitted by law.

2. Public Website

NIST PSCR has a public website, (www.nist.gov/ctl/pscr/fundingopportunities/grants-and-cooperative-agreements/psiap-artificial-intelligence-iot),

that provides information pertaining to this Funding Opportunity5. Any 

amendments to this NOFO will be announced through Grants.gov.

Applicants must submit all questions pertaining to this funding opportunity in 

writing to pscr@nist.gov with ‘AI3’ in the subject line. 

3. Webinar Information Session:

NIST PSCR will host a webinar to provide general information regarding this 

NOFO, offer general guidance on preparing applications, and answer any 

questions. Proprietary technical discussions about specific project ideas will not 

be permitted and NIST staff will not critique or provide feedback on specific 

project ideas while they are being developed by an applicant or brought forth 

during the webinar or at any time before the deadline for all applications. 

However, questions about the 2021-NIST-PSIAP-AI3-01 eligibility requirements, 

evaluation and award criteria, selection process, and the general characteristics 

of a competitive application can be addressed at the webinar and by e-mail to 

pscr@nist.gov as described in the previous paragraph. There is no cost to attend 

the webinar, but participants must register in advance. Participation in the

5 Refer to Section VII. of this NOFO, Federal Awarding Agency Contacts, Programmatic and Technical 

Questions, if more information is needed.
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webinar is not required and will not be considered in the application review and 

selection process. Additional information on this AI3 NOFO and webinar is 

available at www.nist.gov/ctl/pscr/funding-opportunities/grants-and-cooperativeagreements/psiap-artificial-intelligence-iot.