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2020-NIST-PSIAP-FR3D-01 Amendment 3

Notice of Funding Opportunity

April 6, 2020

April 6, 2020

AMENDED NOTICE OF FUNDING OPPORTUNITY (NOFO) FOR NIST Public Safety 

Innovation Accelerator Program – First Responder 3D Indoor Tracking Prize

(PSIAP-FR3D)

NIST is issuing this amendment (Amendment 3) to extend the Full Application deadline; 

to make changes associated with that new deadline; and to update hyperlinks in 

previous notices that have become inoperative. 

Because of the revisions, the submission deadline has been extended to Thursday, 

August 20, 2020.

# New 

Page

Section What does the 

revision do?

How does the new paragraph 

now read?

1 3, 24, 

25

Executive 

Summary

and IV.5.

Extends the application 

due date as a result of 

the submission 

instruction revisions and 

shows Grants.gov 

closures.

Applications must be received at 

Grants.gov no later than 11:59 p.m. 

Eastern Time, Thursday, August 20, 

2020. 

Grants.gov system closures are 

updated.

2 3, 31 Executive 

Summary

and V.4.

Revises the dates for 

review, selection, award 

processing and earliest 

award start dates.

NIST expects to complete its 

review, selection of successful 

applicants, and award processing 

by September 2020. NIST expects 

the earliest start date for awards 

under this NOFO to be November 

2020.

3 11, 

12, 

13, 

16,19

IV.2.a, 

IV.3.a.(1); 

IV.3.a.(5); 

IV.3.a.(8); 

IV.3.a.(11).

Updates hyperlinks that 

have become dead.

Instructions SF424 (R&R) 

Application for Federal Assistance; 

Instructions SF424 (R&R) 

Application for Federal Assistance; 

Instructions R&R Other Project 

Information; Instructions R&R 

Budget (Total Fed + Non-Fed) 

Budget; 

https://www.nist.gov/system/files/do

cuments/2018/06/19/final_p_5700.p

df;
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2020-NIST-PSIAP-FR3D-01 Amendment 3

Notice of Funding Opportunity

April 6, 2020

# New 

Page

Section What does the 

revision do?

How does the new paragraph 

now read?

https://www.nist.gov/system/files/do

cuments/2019/11/08/final_o_5701_

ver_2.pdf.

4 32 VI.2.d. Updates the Funding 

Availability and 

Limitation of Liability 

section.

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 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.
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2020-NIST-PSIAP-FR3D-01 Amendment 3

Notice of Funding Opportunity

April 6, 2020

NOTICE OF FUNDING OPPORTUNITY (NOFO)

NIST Public Safety Innovation Accelerator Program – First Responder 3D Indoor

Tracking Prize

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 -

First Responder 3D Indoor Tracking Prize (PSIAP-FR3D) Amended 

• Announcement Type: Amendment

• Funding Opportunity Number: 2020-NIST-PSIAP-FR3D-01

• Assistance Listings (CFDA Numbers): 11.609, Measurement and Engineering 

Research and Standards

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

Eastern Time, Monday, December 15, 2019. Full Applications must be received at 

grants.gov no later than 11:59 p.m. Eastern Time, Thursday, August 20, 2020. 

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 at the following times:

From 12:01 Eastern Time Saturday To 6:00 a.m. Eastern Time Monday

April 18, 2020 April 20, 2020

May 16, 2020 May 18, 2020

June 20, 2020 June 22, 2020

July 18, 2020 July 20, 2020

August 15, 2020 August 17, 2020

Applications cannot be submitted when Grants.gov is closed.

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

processing by September 2020. NIST expects the earliest start date for awards under 

this NOFO to be November 2020.

• Application Submission Address: Applications must be submitted using 

Grants.gov.
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2020-NIST-PSIAP-FR3D-01 Amendment 3

Notice of Funding Opportunity

April 6, 2020

• Funding Opportunity Description: The NIST Public Safety Innovation 

Accelerator Program is seeking applicants with expertise in prize competitions to 

collaborate with technical experts from NIST, industry/academia, and public safety 

to serve as Prize Administrator in developing and implementing the First 

Responder 3D Indoor Tracking (FR3D) Prize. The FR3D Prize competition aims 

to achieve game-changing performance of sensors and systems for localization 

and tracking of first responders operating indoors in a variety of building 

environments without any benefit of pre-deployed dedicated infrastructure. The 

PSIAP seeks to attract experts and innovators from industry and academia to 

focus on this difficult challenge by offering a monetary prize purse and unique 

opportunities for live testing and evaluation. Administration of the FR3D Prize will 

include all aspects of prize development, project management, and execution. 

• Anticipated Amounts: In FY2020, NIST anticipates funding a single award up to 

$4,000,000 per year with a project period of performance of 2 years. Total funding 

for this program is anticipated to be approximately $8,000,000. This total includes 

funds for both competition administration and the prize awards for competitors.

• Funding Instrument: Cooperative Agreement

• Eligibility: This NOFO is open to U.S. institutions of higher education, non-profit 

organizations, and for-profit organizations. 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. However, voluntary committed cost-share (e.g., inkind contributions from partners) may be included in project budgets and will be 

considered as part of the selection factors in Section V.2.b.(3).(c) of this NOFO.

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

has a public website (https://www.nist.gov/ctl/pscr/psiap-first-responder-3dindoor-tracking) that provides a “Frequently Asked Questions” page and other 

information pertaining to this Funding Opportunity. Any amendments to this 

NOFO will be announced through Grants.gov.

NIST will host a webinar on October 24, 2019 to provide general information 

regarding this NOFO, offer general guidance on preparing applications, and 

answer questions. 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.
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2020-NIST-PSIAP-FR3D-01 Amendment 3

Notice of Funding Opportunity

April 6, 2020

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 ‘FR3D’ in the subject line.

Table of Contents

Program Description ................................................................................................ 5

Federal Award Information.................................................................................... 10

Eligibility Information ............................................................................................ 10

Application and Submission Information.............................................................. 11

Application Review Information ............................................................................ 26

Federal Award Administration Information........................................................... 32

Federal Awarding Agency Contacts ................................................................... 45

Other.................................................................................................................. 46

FULL ANNOUNCEMENT TEXT

Program Description

The statutory authority for the NIST Public Safety Innovation Accelerator Program 

(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 communications 

and operations. PSCR created the 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.

One of the critical technology gaps identified early on by public safety stakeholders was 

the inability to locate and track first responders while operating indoors. Every year, 

firefighters die, are seriously injured, or have a ‘near-miss’ because they become lost, 

separated, or difficult to locate inside buildings or houses. Every day, law enforcement 

officers enter buildings, often alone, with their precise whereabouts unknown. Both 

disciplines rely on a mix of training, intuition, and communication to get them in and out 

of buildings safely, but the ability to locate and track first responders operating indoors 

under difficult conditions remains a ‘Holy Grail’ for the public safety community. 

To address this gap, the PSIAP is seeking to enter into a cooperative agreement with 

an organization possessing expertise in prize competitions to collaborate with technical 

experts from NIST, industry/academia, and public safety to serve as Prize Administrator 
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2020-NIST-PSIAP-FR3D-01 Amendment 3

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April 6, 2020

(PA) and be responsible for developing and implementing the First Responder 3D 

Indoor Tracking (FR3D) Prize. The FR3D Prize aims to achieve game-changing 

performance of sensors and systems for localization and tracking of first responders 

operating indoors in a variety of building environments without any benefit of predeployed dedicated infrastructure. The PSIAP seeks to attract experts and innovators 

from industry and academia to focus on this difficult challenge by offering a monetary 

prize purse and unique opportunities for live testing and evaluation. Administration of 

the FR3D Prize will include all aspects of prize development, project management, and 

execution. 

A. Background and Objectives

The intricately related fields of indoor mapping, localization, and navigation are all 

experiencing rapid growth as industries like retail, health care, entertainment, 

logistics, and manufacturing, along with giant technology companies and network 

operators, seek to understand where people and inventory are at any moment to 

deliver optimized location-based services. Though people spend an average of 87% 

of their time indoors, an indoor equivalent to the ubiquitous Global Positioning 

System (GPS) has yet to emerge. In the meantime, proprietary solutions based on a 

variety of technologies are emerging in a race to inventory the indoor world and 

capture market share, resulting in a fractured market. 

Even with this growth, a solution that meets the challenging requirements of first 

responders has yet to arise. First responders need indoor positioning systems that 

are extremely accurate; ‘infrastructure-free’, i.e. not dependent on pre-deployed 

infrastructure (e.g., Wi-Fi access points or Bluetooth beacons) or surveys (e.g. RF or 

geomagnetic fingerprinting); can be readily integrated into daily operations; and will 

work in any type of building, while having the ability to withstand the harsh 

environments found in fires and other public safety incidents. Given the constraints of 

typical public safety budgets, these solutions must also be affordable. Unfortunately, 

these requirements are far beyond those of current commercial applications. 

To initially address this gap, the PSIAP made eight financial assistance awards in 

2017 for research and development focused on the first responder use case1. 

Through these awards and additional technology scouting a few trends have been 

identified: 1) inertial-based systems are attracting significantly more attention, largely 

driven by their pairing with visual sensors for new use cases in augmented and virtual 

reality, and autonomous systems; 2) while the inertial sensors themselves are 

improving, new approaches to sensor processing, largely fueled by machine learning, 

are advancing much faster; 3) map-matching techniques optimized for indoor 

localization (as opposed to GPS-based road navigation) when combined with inertial 

and other sensors offer a potential 2-10X improvement; and 4) to be successful for 

1 For more information on these awards, see https://www.nist.gov/ctl/pscr/psiap-2017-location-basedservices.
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April 6, 2020

public safety applications, systems will need to employ a multi-sensor fusion 

approach and be highly optimized to take advantage of first responder behavior, 

equipment, and operations. 

Left on it its own, it is possible that industry could eventually produce adequate 

solutions in 15 – 20 years. However, the PSIAP believes that it can rapidly accelerate 

this timeline through a prize competition that will incentivize, captivate, and challenge 

the field to pivot towards developing indoor positioning solutions built for first 

responders. The ultimate goal for the FR3D Prize is to demonstrate indoor 

localization and tracking of first responders within 1-meter accuracy in a 

variety of buildings without any pre-deployed infrastructure. This level of 

performance, though ambitious, is the requirement given to PSCR by the first 

responder community and will be considered, along with current state of the art,

when establishing thresholds for prize awards. 

From the PSIAP’s perspective, a successful FR3D competition would also: a) result 

in game-changing performance of indoor localization and tracking capabilities for first 

responders; b) benchmark performance of best-in-class sensors and algorithms and 

identify the most promising technologies for future investment; c) create valuable 

datasets to enable follow-on research; and d) increase the visibility of the problem to 

attract additional investment for top performers to further develop and scale their 

technology for widespread use. 

B. Prize Competition

The PA will, in collaboration with NIST, develop and implement a prize competition 

that considers the trends identified through PSCR’s initial research activities and 

meets the objectives described above. While there are many ways to structure the 

competition, PSCR believes that a prize competition design based on the ‘build 

prototypes and launch pilots’2 model will be the most effective. Other organizations 

have run prize challenges related to indoor localization in the past and are typically 

held in conjunction with technical conferences. These competitions3 are well-run but

tend to be more ‘academic’ in nature and offer small prize payouts, e.g. $1,000. 

Beyond offering a prize purse several orders of magnitude larger, the FR3D Prize will 

be unique from these challenges in several other respects, including a focus on: 1) 

infrastructure-free approaches; 2) realistic first responder movements and scenarios; 

3) and novel sensor suites and algorithms that are optimized for first responder 

equipment, behavior, and operations.

2 The craft of incentive prize design: lessons from the public sector. Deloitte University Press. 

https://www2.deloitte.com/insights/us/en/topics/social-impact/the-craft-of-incentive-prize-design.html

3 Examples include the International Conference on Indoor Positioning and Indoor Navigation (IPIN) and 

the Microsoft Indoor Localization Competition held in conjunction with the International Conference on 

Information Processing in Sensor Networks (IPSN). 
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The PA will plan and execute live events where active first responders, equipped with 

the appropriate hardware, will go through different operational scenarios to test an 

individual competitor’s solution. Note that because PSCR expects many competitors 

to employ ‘cooperative localization’ techniques, i.e. jointly estimating the position of 

each user based on data from other users, each scenario will require multiple first 

responders performing a coordinated scenario at the same time. All test events shall 

take place in facilities and locations to be arranged for by the PA. Based on PSCR’s 

research, we believe these facilities should be representative of (at a minimum): 1) a 

three-story detached home with a full basement completely below-grade; 2) a large 

commercial/industrial facility; and 3) a large two or three story high-school. The 

reasoning behind these facilities is that the first two are typical structures where 

firefighter fatalities and near-misses have occurred due to the lack of an indoor 

tracking capability, while the third is a high priority for law enforcement responding to 

active shooter incidents. Effects, props, and actors may be used to heighten the 

sense of reality during the testing, however their effects on the test methodology 

should be well understood. In addition, the PA will handle all the logistics planning 

and management to accommodate all the competitors, event participants, media, and 

invited guests from government and industry.

In order to study the potential impact that possession of building maps could have on 

indoor tracking of first responders during an operation, the PA will need to obtain 

both 2D floorplans and 3D point clouds of each event facility for use by competitors. 

Applicants are strongly encouraged to consider a test design that will enable the 

comparison of performance achieved with and without these maps. 

Given the unique opportunity that the FR3D events will present to collect valuable 

data, applicants are strongly encouraged to consider a test design that will enable or 

require raw data from each individual sensor and solution to be recorded. This data 

could be used for future research or possibly as inputs to a second ‘track’ in the 

competition focused exclusively on identifying the best algorithms that can take

advantage of the raw sensor data. The applicant must specifically address how 

these, or any other datasets created during the competition will be collected, 

organized, and disseminated to the research community in the Data Management 

Plan (see Section IV.3.a.11).

PSCR expects the PA to 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. 

The PA, in collaboration with NIST, will develop competition criteria 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. 
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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 FR3D Prize. Competition criteria may be both performance-based and marketbased, and examples include accuracy, latency, availability, continuity, size, weight, 

power, cost, prior performance, potential improvement, feasibility, and potential for 

scaling the technology. The PA must consult ISO/IEC 18305:2016 Test and 

Evaluation of Localization and Tracking Systems when developing performancebased criteria. 

PSCR expects that budgeted costs for prize administration, i.e. total cost to execute 

the competition excluding the prize awards, should not exceed 30% of the total of this 

financial assistance award; however, this is not a strict requirement. Applicants 

should be sure to justify the balance of administrative vs. award costs in the budget 

narrative. 

The PA, in collaboration with NIST, will determine the distribution and amount of prize 

awards. PSCR anticipates that the awards will be structured in a way that 

encourages competitors to continue developing their solutions as they advance 

through multiple phases for a chance to compete for a grand prize. In addition, the 

PSIAP anticipates the PA will successfully pursue supplementary financial/resource 

support and non-monetary incentives to attract high-quality competitors. Examples of 

non-monetary incentives could include mentorship, collaboration, and exposure to 

potential investors. 

The PA will be responsible for administering the monetary awards to competitors. If 

any budgeted funding is not needed or used, or no competition participant is eligible 

for grand prize award(s) (e.g., no competitor exceeds a performance metric 

threshold(s) during the final test and evaluation stage), the unused funds will not be 

considered reimbursable costs and will be de-obligated from this financial assistance 

award and returned to NIST.

The PA, in collaboration with NIST, 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, NIST 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 schedule and serve as project manager of the entire 

competition and all associated tasks. The PA will develop a marketing and outreach 

plan to attract competitors and create exposure for the event.
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The PA will provide the necessary qualified personnel, facilities planning, on-site 

coordination and logistics, supplementary equipment and supplies, services, 

subcontractors, 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 Act. 

The PA will be required to attend the annual Public Safety Broadband Stakeholder 

Meetings held each year during the term of the award to meet with stakeholders and 

present key plans, results, and outcomes to date.

Federal Award Information

Funding Instrument

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

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

with the recipient in developing and executing the approved scope of work, in 

accordance with 2 CFR § 200.24. 

Multi-Year Funding Policy

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

provided for only the first year of the project. 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 

the Public Safety Communications Research Division, and the availability of funds. 

Under this NOFO, NIST may elect to fully fund awards or to fund awards in 

accordance with the Multi-Year Funding Policy.

Funding Availability

In FY2020, NIST anticipates funding a single award up to $4,000,000 per year with 

a project period of performance of 2 years. Total funding for this program is 

anticipated to be approximately $8,000,000. This total includes funds for both 

competition administration and the prize awards for competitors. 

Eligibility Information

Eligible Applicants

This NOFO is open to U.S. institutions of higher education, non-profit 

organizations, and for-profit organizations. NIST will not be accepting proposals 
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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 or Matching

Non-federal cost share is not required for awards issued pursuant to this NOFO. 

However, voluntary committed cost-share (e.g., in-kind contributions from 

partners) may be included in project budgets and will be considered as part of the 

selection factors in Section V.2.b.(3)(c) of this NOFO.

Application and Submission Information

Address to Request Application Package

The application package is available at grants.gov under Funding Opportunity 

Number 2020-NIST-PSIAP-FR3D-01. 

Content and Form of Pre-Application Submission – Pre-Application 

Package

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 SF-424B (item b.(3) below).

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

(item b.(6) below) is applicable, attach it to field 18. 

SF-424 (R&R), Item 20. Attach the Pre-Application Narrative to this item.

Instructions for filling in the SF-424 (R&R) can be found in the 2020-NISTPSIAP-FR3D-01 Application Instructions document found on Grants.gov, as 

well as at Instructions SF424 (R&R) Application for Federal Assistance. 

Pre-Application Narrative

A word-processed document of no more than five (5) pages including graphs, 

charts, or other data. The Pre-Application Narrative should describe the 

proposed project and degree of alignment with the goals of this NOFO. Enough

information should be provided to address the Pre-Application evaluation 
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criteria (see Section V.1.b. of this NOFO). Applicants are required to describe 

succinctly:

The proposed approach to developing and implementing the prize 

competition to meet the goals of this NOFO;

The key shortcomings, limitations, and challenges associated with the 

proposed approach;

The potential impact that the proposed project would have on indoor 

localization for first responders, as well as stimulating additional R&D and 

market investment; and

The qualifications, experience, and capabilities of the applicant as it 

applies to executing prize competitions or technology demonstrations 

similar in magnitude, complexity, and risk.

Content and Form of Full Application Submission

Required Forms and Documents

SF-424 Research & Related (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 SF-424B (item 3 below).

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

(item (6) below) is applicable, attach it to field 18. 

Instructions for filling in the SF-424 (R&R) can be found in the 2020-NISTPSIAP-FR3D-01 Application Instructions document found on Grants.gov, as 

well as at Instructions SF424 (R&R) Application for Federal Assistance. 

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;
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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. 

Instructions for completing the Research & Related Budget (Total Fed + NonFed) form can be found in the 2020-NIST-PSIAP-FR3D-01 Application 

Instructions document on Grants.gov.

SF-424B, Assurances – Non-Construction Programs

The SF-424B is required for all applicants that have not updated their System 

for Award Management (SAM.gov) entity registration since February 2, 2019 

to include the Federal financial assistance certifications and representations 

(certs and reps). If an applicant has updated their SAM.gov entity registration 

since February 2, 2019 to include the certifications and representations, then 

the SF-424B is not required. 

CD-511, Certification Regarding Lobbying

Enter “2020-NIST-PSIAP-FR3D-01” in the Award Number field. Enter the title 

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

Research and Related Other Project Information

Answer the highlighted questions and use this form to attach the Project 

Narrative (item (7) below), the Indirect Cost Rate Agreement (item (9) below), 

and the Data Management Plan (item (11) below). Instructions for completing 

the Research and Related Other Project Information can be found in the 

2020-NIST-PSIAP-FR3D-01 Application Instructions document on 

Grants.gov, as well as at Instructions R&R Other Project Information.

Please note that the Project Summary/Abstract field (line #7), which has a 

place to attach an optional Project Summary/Abstract, is not relevant to this 

competition. However, to avoid getting a validation error in grants.gov,

applicants will be required to attach a blank page to this field. Applicants are 

not required to write or provide a Project Summary/Abstract, but they will be 
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required to attach a blank form for the submission or else the application will 

be rejected by grants.gov.

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

Project Narrative

The Project Narrative is a document that is responsive to the program 

description (see Section I. of this NOFO) and the evaluation criteria (see 

Section V.2.b. of this NOFO). Any material provided beyond the specified 

page limits (see Section IV.3.c.(4) of this NOFO) will be redacted and not 

provided to the reviewers. The page limits include all tables, charts, graphs,

figures, maps, photos, graphics, and citations. Resumes and CVs do not 

count toward page limits. Applicants should consider the weighting of each of 

the evaluation criteria (see Section V.2.b. of this NOFO) when preparing the 

Project Narrative. The Project Narrative must contain the following three

sections:

Cover page

The cover page must include:

(i) The name, address, and contact information of the applicant 

institution, partner organizations, and the principal investigator;

(ii) The project title; and

(iii) Any statements regarding confidentiality.

Table of contents

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, competition criteria 

and performance metrics, monetary awards, marketing and 

outreach, event management, information sharing and

management, and close-out.

(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.
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This section will be evaluated in accordance with the Technical Merit 

evaluation criteria (see Section V.2.b.(1).(a) of this NOFO).

Project Execution

This is a detailed description of the plan to execute 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 table identifying major risks and key 

performance indicators during each phase of the prize competition,

and their corresponding mitigation strategies. 

This section will be evaluated in accordance with the Project Execution 

evaluation criteria: (see Section V.2.b.(1).(b) of this NOFO).

Qualifications

This is a detailed description of the applicant's relevant qualifications and 

experience 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, including access to the equipment, facilities, and 

resources necessary to accomplish the proposed objectives.

(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 crosssection of experts from across academia, industry, and the public 

sector to create a clear and concise plan that achieved highreaching goals. 
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This section will be evaluated in accordance with the Qualifications 

evaluation criteria (see Section V.2.b.(1).(c) of this NOFO).

Budget Narrative and Justification

There is no set format for the Budget Narrative and Justification; however, 

further explanation must be provided for the specific cost categories and line 

items identified in the Instructions R&R Budget (Total Fed + Non-Fed) 

Budget, as well as any other information you deem necessary for NIST’s 

consideration. The Budget Justification or Budget Narrative must be attached 

to the Research & Related Budget (Total Fed + Non-Fed).

The written justification should include the necessity and the basis for the 

cost. Proposed funding levels must be consistent with the project scope, and 

only allowable costs should be included in the budget. Applicants should use 

the Budget Narrative and Justification section to clearly indicate the cost 

effectiveness and value of the proposal in terms of meeting the goals of this 

NOFO. 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, which will apply to awards in this 

program.

This section will be evaluated in accordance with the Project Execution

evaluation criteria (see Section V.2.b.(1).(b) of this NOFO).

Information needed for each category is as follows:

Senior/Key Person

At a minimum, the budget justification should 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. Resumes or CVs 

may be included for Senior/Key Persons.

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.

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

proposed project and the work to be performed. Resumes or CVs may be 

included for Other Personnel.

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.

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 Other Direct Costs

section, in the Research & Related Budget (Total Fed + Non-Fed) form 

(see Section IV.3.a.(2)).

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 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. 

As described in the Program Description (see Section I. of this NOFO), the 

PA will be required to attend the PSCR Public Safety Broadband 

Stakeholder Meetings (PSBSM) to meet with stakeholders and present 

key plans, results, and outcomes of their work to date. The PSBSM are 

held each summer in the continental United States and are typically three 

days in length. The dates and locations of the PSBSM for 2020 – 2022 

have not been determined at this time. Applicants should factor in the cost 

for attending this event in their budget narrative and SF-424A form.
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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.

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.

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.3.a.(9) of this NOFO.

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 the Department of Commerce 

Financial Assistance Standard Terms and Conditions dated April 30, 2019.
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Alternatively, in accordance with 2 C.F.R. § 200.414(f), applicants that have 

never received a negotiated indirect cost rate may elect to charge indirect 

costs to an award pursuant to a de minimis rate of 10 percent of modified 

total direct costs (MTDC), in which case a negotiated indirect cost rate 

agreement is not required. 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.

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 also specify any 

voluntary committed cost-share, including the specific services and/or 

products to be used in the project. Letters of Commitment must be signed by 

an individual with authority to legally bind the organization to its commitment. 

Letters of Commitment will be evaluated in accordance with the 

Qualifications evaluation criteria (see Section V.2.b.(1).(c) of this NOFO). 

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

Data Management Plan

Consistent with NIST Policy 5700.004, Managing Public Access to Results of 

Federally Funded Research, and NIST Order 5701.005, Managing Public 

Access to Results of Federally Funded Research, applicants must include a 

Data Management Plan (DMP).

The DMP is a supplementary document of not more than four pages that 

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, and a plan 

describing whether and how data generated by the identified activities will be 

reviewed and made available to the public. As long as the DMP meets these 

NIST requirements, it may take the form specified by the applicant’s 

institution or some other entity (e.g., the National Science Foundation6 or the 

National Institutes of Health7). 

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

5 https://www.nist.gov/system/files/documents/2019/11/08/final_o_5701_ver_2.pdf 

6 http://www.nsf.gov/bfa/dias/policy/dmp.jsp

7 http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm
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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).

Reasonable costs for data preservation and access may be included in the 

application.

This section will be evaluated in accordance with the Project Execution

evaluation criteria (see Section V.2.b.(1).(b) of this NOFO).

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.” 

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. Reference the guidance provided as it contains information to 

assist with accurately completing the form.
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Attachment of Required Documents

Items IV.3.a.(1) through IV.3.a.(5) above are part of the standard application 

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

process. 

Item IV.3.a.(6), 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.3.a.(6), 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.3.a.(7), 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.3.a.(8), the Budget Narrative and Justification, should be attached to 

field L (Budget Justification) of the Research and Related Budget (Total Fed + 

Total Non-Fed) form by clicking on “Add Attachment”.

Items IV.3.a.(9), the Indirect Cost Rate Agreement; IV.3.a.(10), Letters of 

Commitment; and IV.3.a.(11), the Data Management Plan, 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.3.a.(12), 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.

Item IV.3.a.(13), the Current and Pending Support Form, 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.

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 at 

www.grants.gov 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 

using Grants.gov will receive a series of e-mail messages over a period of up to 
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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 the Grants.gov help page are not effective, please 

contact the Grants.gov Help 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.

Application Format

Paper, E-mail and facsimile (fax) submissions

Will not be accepted.

Font

Easy to read font (12-point minimum). Smaller type may be used in figures, 

margins, and tables, but must be clearly legible. 

Figures, Graphs, Images, and Pictures

Should be of a size that is easily readable or viewable, may be in any

orientation, and will count towards the page limits detailed below.
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Page Limits

Page limits for the Pre-application Narrative and Project Narrative are 

specified in the tables below. Unless otherwise specified, page limits do not 

apply to other required documents submitted in response to this NOFO, 

however these documents, e.g. resumes, must not contain any supplemental 

information directly supporting the pre-application and project narratives.

Pre-Applications

Section Page 

Limit

Required or 

Optional

Pre-Application Narrative 

(including any graphs, charts, 

or other data)

5 Required

Full Application 

Page layout

The Project Narrative must be in portrait orientation.

Page size

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

Application Language

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. 

Application Replacement Pages

Applicants may not submit replacement pages and/or missing documents once 

an application has been submitted. Revisions can only be made by submitting a 

complete application to Grants.gov before the submission deadline.

Section Page 

Limit

Required or 

Optional

Cover Page 1 Required

Table of Contents 1 Required

Project Description 15 Required

Project Execution 5 Required

Qualifications 5 Required
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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.

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 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.

Submission Dates and Times

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

Time, Monday, December 15, 2019. Full-Applications must be received at

grants.gov no later than 11:59 p.m. Eastern Time, Thursday, August 20, 2020. 

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 at the following times:

From 12:01 Eastern Time Saturday To 6:00 a.m. Eastern Time Monday

April 18, 2020 April 20, 2020

May 16, 2020 May 18, 2020

June 20, 2020 June 22, 2020

July 18, 2020 July 20, 2020

August 15, 2020 August 17, 2020

Applications cannot be submitted when Grants.gov is closed.
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Intergovernmental Review

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

Funding Restrictions

Profit or fee is not an allowable cost.

How to Submit

Applications must be submitted via grants.gov.

Instructions on Applying

Instructions on applying and other resources for applicants, including important 

FAQs, may be found under the “Applicants” tab on grants.gov. 

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

approaching due date before logging on and attempting to submit an application 

through Grants.gov. Applicants must be registered on Grants.gov registration 

before they can apply. The registration process typically takes three (3) to five 

(5) business days, but applicants should err on the side of caution and budget 

two (2) weeks if they do not have a current, active Grants.gov registration. 

Applicants must have a unique entity identifier number (formerly DUNS) and 

also be currently registered in the U.S. Government’s System for Award 

Management (See also Section IV.4 of this NOFO). 

Only authorized individual(s) will be able to submit an application, and the 

system may need time to process a submitted application. The application must 

be both received and validated by Grants.gov. 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. 

Closely following the detailed information in these subcategories will increase 

the likelihood of acceptance of the application by the Federal agency’s 

electronic system. 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.

Note that a receipt from grants.gov indicating that an application has been 

received does not provide information about whether specific attachments have 

been received. Applicants should consult the “Attachments” section of the 

Applicant FAQs to help ensure their attachments are received. 

After the application has been received, it must still be validated. During this 

process, it may be “validated” or “rejected with errors.” To know whether the 
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application was rejected with errors and the reasons why, 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 your 

application before the deadline. If the applicant does not correct the errors, the 

application will not be forwarded to NIST by Grants.gov.

Applicants should save and print the proof of submission they receive from 

Grants.gov

Help

If applicants encounter problems while using Grants.gov, the applicant is 

advised to print any error message(s) received and contact Grants.gov 

Applicant Support directly for immediate assistance either by e-mail 

(support@grants.gov) or phone (800-518-4726 with U.S; +1-606-545-5035 

outside U.S.). Applicant Support is available 24 hours every day, except for 

U.S. Federal holidays after which it will resume at 7:00 a.m. Eastern Time the 

following day.

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.

Application Review Information

Proposals, reports, documents and other information related to pre-applications 

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

reviewed and considered by Federal employees, Federal agents and contractors, 

and/or by non-Federal personnel who have entered into conflict of interest and 

confidentiality agreements covering such information, when applicable.

Evaluation Criteria, Review and Selection Process – Pre-applications

Initial Screening of Pre-applications

Pre-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 (see Section I of this NOFO). Pre-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 a Pre-application that is missing nonsubstantive information, the absence of which may easily be rectified during the 

review process. 
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Evaluation Criteria, Review of Eligible Pre-applications, and Invitation to 

Submit Full Applications

Pre-applications that are determined to be eligible, complete, and responsive 

will be reviewed by an Evaluation Panel according to the criteria listed below:

The likelihood that the proposed approach will meet the goals of this 

NOFO and have the desired impact.

The relevance and extent of the applicant's qualifications, experience, 

and capabilities as it applies to executing prize competitions or 

technology demonstrations similar in magnitude, complexity, and risk.

The Evaluation Panel will be composed of three (3) or more independent, 

objective Federal employees with relevant professional and technical expertise, 

who are knowledgeable in the subject matter of this NOFO. The Evaluation 

Panel members will review the Pre-applications but will not use specific 

numerical weights. The Evaluation Panel members will discuss their individual 

reviews and conduct a final “yes or no” vote based on the evaluation criteria 

and the following standard: “Whether the Pre-Application provides sufficient 

evidence that the proposed project and applicant have a reasonable chance of 

meeting the Goal(s) and objectives identified in this NOFO.” Applicants whose

Pre-Applications receive “yes” votes from a majority of the Evaluation Panel will 

be invited to submit a Full Application.

Evaluation Criteria, Review and Selection Process – Full Applications

Initial Screening of Full Applications

Full 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 (see Section I of this NOFO). Full 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 a Full Application that is missing nonsubstantive information, the absence of which may easily be rectified during the 

review process. 

NIST will only review Full Applications submitted by applicants who were invited 

to submit Full Applications at the conclusion of the Pre-application stage. Any 

Full Application received in the absence of an invitation by NIST will be deemed 

ineligible and eliminated from the competition without further review. 

Evaluation Criteria and Review of Eligible Full Applications

All Full Applications that are determined to be eligible, complete, and 

responsive will proceed for full review in accordance with the review and 

selection processes set forth below.
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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 Full Application based on the evaluation 

criteria below.

Technical Merit

Reviewers will evaluate the: 

(i) Extent to which the proposal demonstrates a clear understanding of 

this NOFO. 

(ii) 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. 

(iii)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.

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

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

public safety, and the R&D community. 

Project Execution

Reviewers will evaluate the:

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

supports the objectives of this NOFO.

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

deliverables, milestones, risk management, and data management 

plan for achieving the goals of the prize competition. 

(iii)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 – in 

particular, the ratio of prize awards to administrative costs. 

Qualifications

Reviewers will evaluate the:

(i) 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.
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(ii) Applicant’s access to the necessary equipment, facilities, and 

resources to accomplish the proposed objectives.

(iii)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. 

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

their integration in the project execution and letters of commitment. 

Total scores will be calculated out of a maximum of 100 points according to the 

individual points and weights associated with each criterion in the table below.

Criteria Basis Points Weight Total Points / 100

Technical Merit Project Description 10 5 50

Project Execution Project Execution, 

Budget Narrative 10 3 30

Qualifications Qualifications 10 2 20

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 subjectmatter experts to seek clarification or explanation of specific issues identified 

during the initial review process. Applications will be ranked by averaging the 

scores of all reviewers for each application.

Evaluation Panel

Following the merit review, an evaluation panel consisting of 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 deliberation, 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.
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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.

Selection

The Selecting Official, Chief of the PSCR Division, will make the final award 

recommendation 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 below. The Selecting Official also 

retains the discretion to select and recommend applications out of order (i.e. 

from a lower adjectival category) based on one or more of the following 

selection factors:

(a) Results of the merit reviewers’ evaluations.

(b) The availability of funding.

(c) The extent to which matching funds and/or in-kind contributions 

(voluntary committed cost share) would help ensure potential success 

of the project.

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

Federal agencies.

(e) Alignment with the NOFO objectives.

NIST reserves the right to negotiate the budget costs with the applicants that 

have been selected to receive awards, 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 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.
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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. § 200.205, 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 special conditions that 

correspond to the degree of risk posed by the applicant should be applied to an 

award.

Anticipated Announcement and Award Dates

Review of Applications, selection of successful applicants, and award processing 

is expected to be completed by September 2020. The earliest start date for 

awards under this NOFO is expected to be November 2020.

Additional Information 

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 safety-conscious, 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.

Notification to Unsuccessful Applicants

Unsuccessful applicants will be notified by e-mail and will have the option to 

receive a debriefing after the opportunity is officially closed. Applicants must 

submit their 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.
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Retention of Unsuccessful Applications

Copies of each unsuccessful application will be retained in accordance with the 

General Record Schedule 1.2/021.

Federal Award Administration Information

Federal Award Notices

Successful applicants will receive an award package from the NIST Grants Officer. 

Administrative and National Policy Requirements

Uniform Administrative Requirements, Cost Principles and Audit 

Requirements

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

Uniform Administrative Requirements, Cost Principles, and Audit Requirements 

for Federal Awards at 2 C.F.R. Part 200, which apply to awards made pursuant 

to this NOFO. Refer to http://go.usa.gov/SBYh and http://go.usa.gov/SBg4. 

Department of Commerce Financial Assistance Standard Terms and 

Conditions

The Department of Commerce will apply the Financial Assistance Standard 

Terms and Conditions in effect on the date of award to any award made under 

this NOFO. The current version is dated April 30, 2019. Refer to Section VII of 

this NOFO, Federal Awarding Agency Contacts, Grant Rules and Regulations, 

if you need more information.

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, to any award made 

under this NOFO. Refer to Section VII of this NOFO, Federal Awarding Agency 

Contacts, Grant Rules and Regulations, if you need more information.

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 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. 

Collaborations with NIST Employees

All applications should include a description of any work proposed to be 

performed by an entity other than the applicant, and the cost of such work 
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should ordinarily be included in the budget. 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.

Use of NIST Intellectual Property

If the applicant anticipates using any NIST-owned intellectual property to carry 

out the work proposed, the applicant should identify such intellectual property. 

This information will be used to ensure that no NIST 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 NIST-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 (April 30, 2019). Questions about these 

requirements may be directed to the Chief Counsel for NIST, (301) 975-2803, 

nistcounsel@nist.gov. 

Any use of NIST-owned intellectual property by an applicant is at the sole 

discretion of NIST and will be negotiated on a case-by-case basis 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 one.

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

award made pursuant to this NOFO, the United States government may retain 

its ownership rights in any such invention. Licensing or other disposition of 

NIST's rights in such inventions will be determined by NIST.

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, 
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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, 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. 
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(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 

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 review8 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 

8 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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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. 

(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 

requested for that activity/task:

(i) 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. 

(ii) 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:
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(i) 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. 

(ii) 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 applies (see 15 C.F.R. § 

27.104(b) and (d)):

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

be conducted.

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

information from human subjects.

(iii) 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).

(iv) 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.

(v) 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 
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subjects, and the proposed performer of the activity has a cognizant 

IRB registered with OHRP, and linked to their Federalwide Assurance, 

the following information may be requested during the review process:

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

conducted.

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

IRB registration number(s).

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

IRB(s).

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

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

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

research involving human subjects.

(vi) The IRB approval date (if currently approved for exempt or nonexempt research).

(vii) 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: 

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

(ii) 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.

(iii) 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.

(iv) 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.
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(v) If a new protocol will only be submitted to an IRB if an award 

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

(vi) 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.

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).

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-anduse-of-laboratory-animals-eighth. 

(1) Administrative Review. NIST reserves the right to conduct an 

administrative review9 of all applications that potentially include research 

9 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, 
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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 pre-review 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 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 

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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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 include 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. 

(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 free-living 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:

(i) Requirement for Assurance. An applicable assurance for the 

care and uses 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:

(a) Animal Welfare Assurance from the Office of Laboratory 

Animal Welfare (OLAW) indicated by the OLAW assurance 

number, i.e., A-1234; 

(b) USDA Animal Welfare Act certification indicated by the 

certification number, i.e., 12-R-3456; 
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(c) 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

(d) 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).

(ii) Documentation of Research Review by an IACUC: If the 

applicant’s application appears to include research activities, 

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:

(a) The name(s) of the institution(s) where the research 

involving live vertebrate animals will be conducted and/or 

custom samples collected.

(b) 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.]

(c) The IACUC approval date for the Animal Study Protocol 

(ASP) (if currently approved).

(d) If the review by the cognizant IACUC is pending, the 

estimated start date for research involving vertebrate 

animals.

(e) If any assurances or IACUCs need to be obtained or 

established, that should be clearly stated.

(f) 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 
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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:

(a) A copy of the IACUC approved ASP.

(b) Documentation of the IACUC approval indicating the 

approval and expiration dates of the ASP.

(c) If applicable, a non-duplication-of-funding letter if the 

ASP is funded from several sources.

(d) 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.

(e) 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).

Collaborations Making Use of Federal Facilities

All applications should include a description of any work proposed to be 

performed using Federal facilities. 

If an applicant proposes use of NIST facilities, the statement of work should 

include a statement of this intention and a description of the facilities. Any use 

of NIST facilities 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 availability of the facilities and approval of the proposed usage. 

Any unapproved facility use will be stricken from the application prior to the 

merit review. Examples of some facilities that may be available for 

collaborations are listed on the following NIST Web site: 

https://www.nist.gov/labs-major-programs/user-facilities.
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Reporting 

Reporting Requirements

The following reporting requirements described in Sections A.01, Reporting 

Requirements, of the Department of Commerce Standard Terms and 

Conditions, dated April 30, 2019 apply to awards in this program.

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 to the Federal Program 

Officer, NIST Grants Officer, and Grants Specialist named in the award 

documents. Reports will be due within 30 days after the end of the reporting 

period. A final financial report is due within 90 days after the end of the 

project period to the Federal Program Officer, NIST Grants Officer and 

Grants Specialist named in the award documents.

Research Performance Progress Report (RPPR)

Each award recipient will be required to submit a RPPR to the Federal 

Program Officer, NIST Grants Officer and Grants Specialist named in the 

award documents 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. § 200.328) and Department of Commerce 

Financial Assistance Standard Terms and Conditions, Section A.01.

A final RPPR shall be submitted within 90 days after the expiration 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 a technical progress report, the recipient must include their 

revised DMP in the next technical progress report following the revision to 

the DMP. The revised DMP must include all the requirements described in 

Section IV.3.a.(11) of this NOFO.

Patent and Property Reports

From time to time, and in accordance with the Uniform Administrative 

Requirements (see Section VI.2.a. of this NOFO) and other terms and 

conditions governing the award, the recipient may need to submit property 

and patent reports.

Recipient Integrity and Performance Matters
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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.

Audit Requirements

The Department of Commerce Financial Assistance Standard Terms and 

Conditions, Section D.01.b., and 2 C.F.R. Part 200 Subpart F, adopted by the 

Department of Commerce through 2 C.F.R. § 1327.101, require any nonFederal entity (e.g., including non-profit institutions of higher education and nonprofit 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.

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 subawards 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.

Federal Awarding Agency Contacts

Questions should be directed to the following contact persons: 
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Subject Area Point of Contact

Programmatic and Technical 

Questions

E-mail: pscr@nist.gov with ‘FR3D’ in subject line 

Technical Assistance with 

Grants.gov Submissions

Grants.gov

Phone: 800-518-4726

E-mail: support@grants.gov

Grant Rules and Regulations Scott McNichol

Phone: 303-497-3444

E-mail: scott.mcnichol@nist.gov

Human Subjects Research Anne Andrews

Phone: 301-975-5445

E-mail: anne.andrews@nist.gov

Live Vertebrate Animals 

Research

Linda Beth Schilling

Phone: 301-975-2887

E-mail: linda.schilling@nist.gov

Other

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, Federal agents and contractors, and/or nonFederal 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 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 NOFO may be subject to requests for 
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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.

Public Website, and Frequently Asked Questions (FAQS)

NIST has a public website (https://www.nist.gov/ctl/pscr/psiap-first-responder-3dindoor-tracking) that provides a “Frequently Asked Questions” page and other 

information pertaining to this Funding Opportunity. Any amendments to this NOFO 

will be announced through Grants.gov.

NIST will host a webinar on October 24, 2019 to provide general information

regarding this NOFO, offer general guidance on preparing applications, and 

answer questions. 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 ‘FR3D’ in the subject line. Questions submitted to NIST during the webinar or 

by e-mail may be posted on pscr.gov. Discussions about specific project ideas will 

not be permitted during the webinar and NIST staff will not critique or provide 

feedback on specific project ideas while they are being developed by an applicant, 

brought forth during the webinar, or at any time before the deadline for all 

applications.