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May 29, 2015

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY (FFO)

Economic Analysis of the National Need for Technology Infrastructure to

Support the Materials Genome Initiative (MGI)

EXECUTIVE SUMMARY

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

United States Department of Commerce (DoC)

• Funding Opportunity Title: Economic Analysis of the National Need for 

Technology Infrastructure to Support the Materials Genome Initiative (MGI)

• Announcement Type: Initial

• Funding Opportunity Number: 2015-NIST-TPO-01

• Catalog of Federal Domestic Assistance (CFDA) Number: 11.609, Measurement

and Engineering Research and Standards

• Dates: Applications must be received electronically through Grants.gov no later than 

11:59 p.m. Eastern Time, Tuesday, July 28, 2015. Applications received after this

deadline will not be reviewed or considered. The earliest anticipated start date for an

award under this FFO is expected to be January 2016.

• Application Submission Address: Applications will only be accepted using 

Grants.gov.

• Funding Opportunity Description: NIST is soliciting applications from eligible

applicants to assess the economic impacts of meeting the Nation’s need for 

technology infrastructure to support the Materials Genome Initiative (MGI). Advanced 

materials are essential to economic security and human well-being, with applications 

in industries aimed at addressing challenges in clean energy, national security, and 

human welfare, yet it can take 20 or more years to move a material after initial 

discovery to the market. This prospective (strategic planning) study involves, at a 

minimum, expertise in the following disciplines: technology assessment, high-tech 

industry behavioral and structural analyses, microeconomic modeling of complex 

technology development and commercialization patterns, high-tech industry survey 

and data collection techniques, and quantitative and qualitative analyses of 

technology infrastructure gaps that are inhibiting the advancement of technologies. 

The goal of the analysis is to identify gaps in the Nation’s technology infrastructure 

needed to support the MGI and estimate the economic value of eliminating these gaps. 

The specific goals of this study are to: (1) assess the technological and economic 

trends in the research, development, adoption and deployment of MGI related 
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technologies, including demonstrated and anticipated adopters of MGI technology; 

(2) assess gaps in the technology infrastructure associated with the efficient 

domestic development of highly complex emerging materials research technologies; 

(3) assess qualitatively these gaps in terms of industry investment criteria and 

research mechanisms used, (4) determine the quantitative empirical rankings of the 

economic benefit of eliminating these gaps based on novel data and modelling; and 

(5) assess the implied U.S. and international government policy responses, specific 

to phases in the R&D cycle, technology transfer efforts and subsequent scale-up 

(capital formation).

• Anticipated Amounts: NIST anticipates making one (1) award in the range of 

approximately $200,000 per year for up to two years, consistent with the multi-year 

funding policy described in Section II.2. of this FFO. Proposed funding levels must be 

consistent with project scope. NIST will consider applications with lower funding 

amounts.

• Funding Instrument: Cooperative agreement.

• Who Is Eligible: Eligibility for the program listed in this FFO is unrestricted, that is, 

open to all non-Federal entities. Eligible applicants include accredited institutions of 

higher education; non-profit organizations; for-profit organizations incorporated in the 

United States; and state, local, territorial and Indian tribal governments within the 

United States. An eligible organization may work individually or include proposed 

subawardees, contractors or other collaborators in a project, effectively forming a 

team or consortium. An eligible organization may only submit one application. 

Federal agencies may participate in projects but may not receive NIST funding.

• Cost Sharing Requirements: This Program does not require cost sharing.

FULL ANNOUNCEMENT TEXT

I. Program Description

The statutory authority for the Economic Analysis of the National Need for Technology 

Infrastructure to Support the Materials Genome Initiative (MGI) is 15 U.S.C. § 272(b) 

and (c).

1. Funding Opportunity Description. NIST is soliciting applications from eligible 

applicants to assess the economic impacts of meeting the Nation’s need for 

technology infrastructure to support the Materials Genome Initiative (MGI). 

Advanced materials are essential to economic security and human well-being, with 

applications in industries aimed at addressing challenges in clean energy, national 

security, and human welfare, yet it can take 20 or more years to move a material 

after initial discovery to the market. 
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This prospective (strategic planning) study involves, at a minimum, expertise in the 

following disciplines: technology assessment, high-tech industry behavioral and 

structural analyses, microeconomic modeling of complex technology development 

and commercialization patterns, high-tech industry survey and data collection 

techniques, and quantitative and qualitative analyses of technology infrastructure 

gaps that are inhibiting the advancement of technologies. The goal of the analysis 

is to identify gaps in the Nation’s technology infrastructure needed to support the 

MGI and estimate the economic value of eliminating these gaps. The specific goals 

of this study are to: (1) assess the technological and economic trends in the

research, development, adoption and deployment of MGI related technologies, 

including demonstrated and anticipated adopters of MGI technology; (2) assess 

gaps in the technology infrastructure associated with the efficient domestic 

development of highly complex emerging materials research technologies; (3) 

assess qualitatively these gaps in terms of industry investment criteria and research 

mechanisms used; (4) determine the quantitative empirical rankings of the 

economic benefit of eliminating these gaps based on novel data and modelling; and 

(5) assess the implied U.S. and international government policy responses, specific 

to phases in the R&D cycle, technology transfer efforts and subsequent scale-up 

(capital formation).

The applicant should focus on infratechnologies and technology platforms, as 

defined below in Section I.2.f. of this FFO and consider approaches to evaluate 

these platforms using measurement and test methods, science and engineering 

data, modeling and simulation, functional interfaces and performance metrics in the 

context of the MGI (see Section I.2.a. of this FFO). The applicant also should 

consider expected trajectories particularly for emerging technology platforms. The 

applicant should aim to characterize technology life cycles with an emphasis on the 

roles and current status of technical infrastructure (technology platforms, and 

measurement and other infratechnologies and associated standards) and relate this 

information to metrics related to potential gains in economic efficiency from larger 

and better focused investments in such infrastructure. 

A complete successful project will include an industry and technical gap analysis, 

the development of a methodology for empirically estimating the quantitative value 

of eliminating these gaps, and an approach that is able to guide the design of novel 

data collection strategies, as applicable to the MGI. Under an award for this 

Program, the applicant should expect to collaborate with NIST on its data 

collections, analyses, and the dissemination of results to the public via publications 

in the scientific literature and on publically available websites. NIST will obtain 

appropriate Office of Management and Budget clearance for any collection of 

information that is subject to the Paperwork Reduction Act.

2. Background Information. Background information on the MGI and relevant topical 

areas in the context of this FFO is provided below. Additional information on the 

MGI can be found at the following websites: https://mgi.nist.gov/ and 

http://www.whitehouse.gov/mgi.
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a. The MGI. The Office of Science and Technology Policy (OSTP) and Office of 

Management and Budget (OMB) have called for focused support of Research and 

Development (R&D) in “advanced manufacturing to strengthen U.S. leadership.”1 A 

recent report by the President’s Council of Advisors on Science and Technology 

(PCAST) and the President’s Innovation and Technology Advisory Committee 

(PITAC) emphasizes the critical importance of advanced manufacturing in driving 

knowledge production and innovation in the United States. The PCAST researched 

the current state of manufacturing and concluded that U.S. leadership in 

manufacturing is declining and that this is detrimental to the well-being of the Nation 

overall. 

To complement investments in advanced manufacturing, President Obama 

announced the creation of the MGI in 2011.2 This multi-agency effort aims to 

catalyze a new era of policies, resources and infrastructure that support American 

institutions as they dramatically cut the time it takes to bring critical material 

innovations to market. Since the MGI’s launch in 2011, the Federal Government has 

invested over $250 million in new R&D and innovation infrastructure that will help 

anchor emerging industrial sectors in the United States that depend on advanced 

materials. These investments span federal agencies and include numerous 

industry-led public-private partnerships. MGI activities will accelerate the 

development and adoption of cutting edge technologies critical to the ultimate 

success of a recently launched Institute for Manufacturing Innovation.3 This 

infrastructure promises to accelerate the development of new high tech materials 

that can help address a broad range of national goals in the domains of energy, 

health, transportation, food and agriculture, and national defense. 

The MGI aims to significantly reduce the time and cost needed to discover, develop, 

manufacture, and deploy advanced materials by replacing traditional trial and error 

approaches with a robust, reliable and open materials innovation infrastructure. This 

infrastructure couples reliable materials data and materials simulations to carefully 

designed experiments and enables access to the results of these techniques 

through advanced methods in data exchange and quality assessment. Finally, the 

developed infrastructure should enable new methods and metrologies based on the 

availability of this infrastructure, such as “data-driven” materials science. This 

materials innovation infrastructure will enable industrial researchers to effectively 

																																																												 1 See for	example:		https://www.whitehouse.gov/sites/default/files/microsites/ostp/pcast-advancedmanufacturing-june2011.pdf;	

https://www.whitehouse.gov/sites/default/files/microsites/ostp/pcast_amp_steering_committee_report_final_jul

y_27_2012.pdf;	and	

http://www.whitehouse.gov/sites/default/files/microsites/ostp/PCAST/amp20_report_final.pdf.	 2 See https://www.whitehouse.gov/blog/2011/06/24/materials-genome-initiative-renaissance-americanmanufacturing. 3 In	January	2015,	the	American	Lightweight	Materials	Manufacturing	Innovation	Institute	(ALMMII)	opened	a	new	

innovation	acceleration	center	in	Detroit	and	exhibited	new	technologies	that	use	lightweight	metals	with	a new	

program	name,	Lightweight	Innovations	for	Tomorrow	(LIFT).		See http://lift.technology/technology-development.
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discover the data and models they need, assess the quality of these data and 

models, and use these data and models to maximum effect.

b. MGI and NIST. MGI integrates tools, theories, models, and data from basic 

scientific research with the processing, manufacturing, and deployment of materials. 

The materials innovation infrastructure will enable this integration by providing 

access to digital resources that contain the property data of known materials as well 

as the computational and experimental tools to predict these characteristics for new 

and emerging materials. NIST is now developing the measurement science, tools 

and standards necessary to enable greatly improved efficiency in the Nation's 

development and manufacture of new products and services based on innovative 

materials. This is part of an interagency effort aimed at accelerating industrial 

innovation by significantly reducing the time and cost needed to discover, develop, 

manufacture, and deploy advanced materials through the integration of modeling 

and simulation tools with experimental data and digital data/informatics tools. NIST 

will develop an enhanced materials innovation infrastructure to enable industrial 

researchers to effectively exploit these advances to more rapidly incorporate 

advanced materials into manufactured products. To foster widespread adoption of 

the MGI paradigm both across and within the multitude of materials development 

ecosystems, NIST is establishing the essential data exchange protocols and the 

means to ensure the quality of materials data and models, which will ultimately yield 

new methods, metrologies, and capabilities necessary for accelerated materials 

development. 

c. Stakeholders. The MGI has stakeholders throughout government, academia and 

industry. In particular, NIST has crucial collaboration with the Center for Hierarchical 

Materials Design (CHiMaD), as well as key government agencies, including the 

Department of Energy (DoE), the Department of Defense (DoD), and the National 

Science Foundation (NSF) via the MGI Subcommittee of the National Science and 

Technology Committee (NSTC) and key partners and stakeholders throughout the 

private sector. To date funding from DoE, DoD, and NSF has supported over 500 

research scientists at over 200 companies, universities and national labs. More than 

20 leading universities have agreed to dedicate facilities, tools, and grant access to 

data to realize MGI goals.4

Amongst its many activities, NIST works closely with U.S. manufacturers that 

develop, model, and use advanced materials. Indeed, any organization that makes 

or designs products relies critically upon materials and materials data. NIST also 

works with professional societies (such as the Materials Research Society, The 

Minerals, Metals and Materials Society, and ASM International). These 

organizations and additional professional societies have initiated broad MGI related 

activities among their 60,000+ members, who provide a substantial resource for 

collaboration with universities and industry. 

																																																												 4 See	“FACT	SHEET:	The	Materials	Genome	Initiative	– Three	Years	of	Progress”	at:		

https://www.whitehouse.gov/sites/default/files/microsites/ostp/materials_genome_initiative_-_three_years.pdf.
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d. Stakeholders and Potential Economic Impacts. Analysis of the recently released

MGI Strategic Plan5 demonstrates the potential breadth of the economic impact of 

the MGI. The plan identifies nine grand challenges that will have a critical impact on 

national security, human health and welfare, clean energy systems, and 

infrastructure and consumer goods. To fully realize these impacts, MGI approaches 

will need to address a variety of crosscutting challenges across a range of classes of 

materials and a range of applications. 

Selected classes of materials are provided in Table 1 and mapped to demonstrate 

the potential industries that will be impacted by these classes of materials as a result 

of the MGI. The MGI Strategic Plan explicitly identifies opportunities and recent 

successes across the nearly 20 major industries identified in Table 1. 

Table 1: Selected Materials Classes and Their Potential Impact on Industry

Industry Impacted

Materials 

Classes

Oil and Gas ExtractionMining (except Oil and Gas)Utilities Construction of BuildingsHeavy and Civil Engineering ConstructionFood ManufacturingPetroleum and Coal Products Manufact.Chemical ManufacturingPlastics and Rubber Products Manufact.Primary Metal ManufacturingFabricated Metal Product ManufacturingMachinery ManufacturingComputer/Electronic Product Manufact.Electrical Equip., Appliance Manufact.Transportation Equipment ManufacturingMiscellaneous ManufacturingHealth Care and Social AssistancePublishing Industries (Software)

Bio Materials x x x x x

Catalysts x x x x x x x x

Polymer 

Composites x x x x x x x x

Correlated 

Materials x x x x

Electronic and 

Photonic 

Materials x x x x

Energy Storage 

Systems x x x x x x x x x

Lightweight and 

Structural 

Materials x x x x x x x x x x x

Organic x x x x x x x

																																																												 5 See https://mgi.nist.gov/sites/default/files/factsheet/mgi_strategic_plan_-_dec_2014.pdf.
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Electronic 

Materials 

Polymers x x x x x x x x x

Source: NIST analysis of OSTP Materials Genome Initiative Strategic Plan5.

A recent National Academies study provided evidence of the benefits of MGI case

studies6, including reduced R&D costs and cycle times, reduced needs for testing 

and evaluation of novel materials, and improved product performance. A rate of 

return of at least 7:1 is noted for applications of materials in gas turbine 

manufacturing, aerospace vehicle design, automobile engine design, jet engine 

design and metal fabrication.

e. Underinvestment. Even with the demonstrated impacts noted above, significant 

research has documented the systematic underinvestment in the types of technical 

infrastructure needed to realize the aims of the MGI. This underinvestment has

caused a complex web of economic problems that systematically decrease private 

sector returns and diminish private incentives to invest in this technical 

infrastructure. Notably, in the case of a revolutionary approach such as envisioned 

in the MGI, prior analysis that identifies uncertainty, or “industry’s limited 

confidence,” in results derived from MGI models and data is a driving force behind 

the limited adoption of MGI approaches. Akerlof7 shows how uncertainty can 

diminish the expected value of innovations and in extreme cases eliminate private 

investment incentives completely. This demonstrates the inefficiency of purely 

private MGI research and development efforts. Critical technology infrastructure is 

needed to overcome such barriers to investment in MGI technologies. This 

infrastructure is equally valuable to all stakeholders (non-rival) and must be available 

to all stakeholders (non-excludable) to realize its full economic benefit. In the case 

of the MGI, technical infrastructure that assures the quality and reliability of materials 

data and modelling is critically important to both materials developers and the 

manufacturers that will employ these novel materials in the products that they 

manufacture. 

f. Technology Infrastructure is the broad base of quasi-public technologies 

(technologies with varying degrees of public good content) and technical knowledge 

that supports firms’, universities’, and laboratories’ research, production, distribution 

and marketing of novel and improved products, processes, and services (e.g., higher 

quality, more effective, more efficient, more productive). It is composed of two 

elements: infratechnologies and technology platforms.8 For the purposes of this 

																																																												 6 Integrated	Computational	Materials	Engineering:			A	Transformational Discipline	for	Improved	Competitiveness	

and	National	Security,	2008,	http://www.nap.edu/catalog/12199/integrated-computational-materialsengineering-a-transformational-discipline-for-improved-competitiveness.	 7 Akelof,	George	(1970).		The	Market	for	Lemons:	Quality	Uncertainty	and	the	Market	Mechanism,	The	Quarterly	

Journal	of	Economics,	volume	84,	number	3,	488-500.		See	

http://www.jstor.org/stable/1879431?seq=1#page_scan_tab_contents. 8 For	a	more	thorough	explanation	of	technology	infrastructure	and	its	components,	please	see	Gregory	Tassey	
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FFO, these terms are defined as follows:

• Infratechnologies are a varied set of “technical tools” that include measurement 

and test methods, artifacts such as standard reference materials that allow these 

methods to be used efficiently, scientific and engineering databases, process 

models, and the technical basis for both physical and functional interfaces 

between components of systems technologies such as factory automation and 

communications. As Tassey writes “collectively [infratechnologies] constitute a 

diverse technical infrastructure, various types of which are applied at each stage 

of economic activity.”9 Infratechnologies affect the development of technology 

platforms and proprietary technologies. They also support efficient R&D, 

production, and market transactions.

• Technology platforms are precompetitive proofs-of-concept that demonstrate 

the potential commercial viability of a new or improved product, process, or 

service. Technology platforms will often be foundational to multiple products and 

processes, generally from multiple firms.

Firms and other stakeholders employ these technical tools –infratechnologies– to 

increase the efficiency of their R&D efforts as they develop and deploy 

proprietary technologies that build off of these technology platforms. Firms and 

their customers further rely upon a perhaps distinct set of infratechnologies that 

ensure the quality and reliability of innovative products and process lowering the 

barriers to adoption and deployment. 

g. Technology Infrastructure Needs. For the purposes of this FFO, within the current 

Technology Infrastructure, there are several key needs that act as critical technology 

infrastructure barriers that are essential to overcome. Overcoming these barriers 

offers the opportunity to reverse the trend of transferring both product and 

production technologies, with the associated creative expertise, overseas to lowerwage regions. It can enable U.S. companies to move from an economies-of-scale 

focus to an economies-of-scope focus and revitalize the industrial base of small and 

medium manufacturers. These changes are essential if the United States is to 

compete successfully as mass-customization becomes the driver of global 

competitiveness. 

Key needs are listed below for both infratechnologies and technology platforms:

• Infratechnology Needs

• New data models, representations, and exchange protocols to improve 

																																																																																																																																																																																																			

(1997).	The	Economics	of	R&D	Policy,	Quorum	Books,	Westport	and	Gregory	Tassey	(2007),	The	Technology	

Imperative,	Edward	Elgar,	Northhampton.9 Gregory	Tassey	(2005).	Underinvestment	in	Public	Good	Technologies,	

Journal	of	Technology	Transfer,	30	1-2	89-113. 9 Gregory	Tassey	(2005).	Underinvestment	in	Public	Good	Technologies,	Journal	of	Technology	Transfer,	30	1-2	89-

113.
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ease of use of materials data. 

• Curation infrastructure for materials data and models.

• Measurement science to perform verification, validation, and uncertainty 

quantification of materials models and simulations.

• Predictive materials models, incorporating uncertainty budgets, and ability 

to be integrated through standards and platforms.

• Validation approaches for physical and chemical properties data and 

mechanisms of the material system.

• Standards and methodology for sharing predictive algorithms and 

computational methods.

• Software, algorithm and model performance standards.

• Validation approaches for materials performance models.

• Materials property data measured as a function of key variables such as 

composition and processing history.

• In situ characterization techniques to determine the properties of materials 

during processing.

• Computational tools for the rapid screening of materials over a wide range 

of length and time scales.

• Technology Platform Needs

• New simulation software platforms and an assessment of these platforms.

• Robust user friendly software tools.

• Predictive algorithms that model behavior and properties across multiple 

spatial and temporal aspects.

• Materials behavior and performance models with significantly improved 

accuracy relative to what is available today.

• Predictive materials models, incorporating uncertainty budgets, and ability 

to be integrated through standards and platforms.

II. Federal Award Information

1. Funding Instrument. The funding instrument that will be used is a cooperative 

agreement. The nature of NIST’s “substantial involvement” will generally be 

collaboration between NIST and the recipient organizations. This includes NIST 

collaboration with a recipient on the scope of work. Additional forms of substantial 

involvement that may arise are described in Chapter 5.C of the Department of 

Commerce (DoC) Grants and Cooperative Agreements Manual, which is available 

at http://go.usa.gov/SNJd . Please note the DoC Grants and Cooperative 

Agreements Manual is expected to be updated after publication of this funding 

announcement and before October 1, 2015. Refer to Section VII. of this FFO, 

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

information at this link and it is no longer working or you need more information.

2. 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. 
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Recipients will be required to submit detailed budgets and budget narratives prior to 

the award of any continued funding. Continued funding for the remaining years of 

the project will be awarded by NIST on a non-competitive basis, and may be 

adjusted higher or lower from year-to-year of the award, contingent upon satisfactory 

performance, continued relevance to the mission and priorities of the program, and 

the availability of funds. Continuation of an award to extend the period of 

performance and/or to increase or decrease funding is at the sole discretion of NIST.

3. Funding Availability. NIST anticipates making one (1) award in the range of 

approximately $200,000 per year for up to two years, consistent with the multi-year 

funding policy described in Section II.2. of this FFO. Proposed funding levels must 

be consistent with project scope. NIST will consider applications with lower funding 

amounts. 

III. Eligibility Information

1. Eligible Applicants. Eligibility for the program listed in this FFO is unrestricted, that 

is, open to all non-Federal entities. Eligible applicants include accredited institutions 

of higher education; non-profit organizations; for-profit organizations incorporated in 

the United States; and state, local, territorial and Indian tribal governments within the 

United States. An eligible organization may work individually or include proposed 

subawardees, contractors or other collaborators in a project, effectively forming a 

team or consortium. An eligible organization may only submit one application. 

Federal agencies may participate in projects but may not receive NIST funding.

2. Cost Sharing or Matching. This Program does not require cost sharing.

IV. Application Submission Information

1. Address to Request Application Package. The application package is available 

at www.grants.gov. Applicants may also request an application package by 

contacting the point of contact for Programmatic and Technical Questions listed in 

Section VII. of this FFO. 

2. Content and Form of Application Submission

a. Required Application Forms and Documents

The following are required for a complete application: 

(1) SF-424, Application for Federal Assistance. The SF-424 must be signed 

by an authorized representative of the applicant organization.

SF-424, Item 12, should list the FFO number 2015-NIST-TPO-01. 
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SF-424, Item 18, should list the total budget information for the duration of the 

project for multi-year applications.

The list of certifications and assurances referenced in Item 21 of the SF-424 

is contained in the SF-424B. 

(2) SF-424A, Budget Information - Non-Construction Programs. The budget 

should reflect anticipated expenses for each year of the project for no more 

than two (2) years, considering all potential cost increases, including cost of 

living adjustments. 

(3) SF-424B, Assurances - Non-Construction Programs

(4) CD-511, Certification Regarding Lobbying 

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

(6) Technical Proposal. The Technical Proposal is a word-processed document

of no more than twenty (20) pages responsive to the program description (see

Section I. of this FFO) and the evaluation criteria (see Section V.1. of this

FFO). The technical proposal should contain the following information:

(a) Executive Summary. An executive summary of the proposed

approach, consistent with the evaluation criteria (see Section V.1. of

this FFO). The executive summary should include information

indicating how each evaluation criterion and its sub-factors are

addressed. A table can be helpful in providing this information. The

executive summary should not exceed two (2) pages.

(b) Project Approach. A description of the applicant’s approach to 

clearly address the program goals (see Section I. of this FFO) and the 

methodology that will be used to specifically assess:

• industry trends and identify gaps in the technology 

infrastructure, 

• the economic impact, quantitatively and qualitatively, of 

eliminating the gaps in the technology infrastructure, 

• the implied government policy responses with respect to targets 

of specific phases in the R&D cycle, technology transfer efforts 

and subsequent scale-up, and 

• the impacts throughout the supply chain and over the entire 

innovation lifecycle.

This section should address the Project Approach evaluation criterion 

(see Section V.1.a. of this FFO).
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(c) Statement of Work. A complete statement of work covering all 

aspects of the project describing a schedule of measurable events and 

milestones as well as measurable performance objectives that can be 

used to determine the success of the project. In particular, the 

following should be described:

• the methodologies that will be used to manage the project,

• the milestones for project tasks and how the milestones will 

permit the applicant to assess incremental progress of the 

project and fit into the overall schedule for the project,

• the tasks and activities to implement the proposed project 

objectives, and

• the key project risks and the risk response strategies to address 

these risks.

This section should address the Statement of Work evaluation criterion 

(see Section V.1.b. of this FFO).

(d) Dissemination of Results Plan. The description of how data and 

results from the project will be disseminated in the scientific literature 

and on publically available websites. This section should specifically 

explain how the applicant plans to distribute materials from the project, 

including results and interpretation of the project results, in the form of 

publications in the scientific literature and on publically available 

websites. 

This section should address the Dissemination of Results Plan

evaluation criterion (see Section V.1.c. of this FFO).

(e) Qualifications. A description of the qualifications of the key personnel, 

the time commitments of the key personnel, and how the project staff‘s 

qualifications will enable them to conduct the project work. In 

particular, the following should be described, as applicable, for key 

personnel:

• any past experience with evaluating the economic impact of the 

technology infrastructure,

• any past experience in the following disciplines: technology 

assessment, high-tech industry behavioral and structural 

analyses, microeconomic modeling of complex technology 

development and commercialization patterns, high-tech industry 

survey and data collection techniques, and quantitative and 

qualitative analyses of technology infrastructure gaps that are 

inhibiting the advancement of technologies (if an applicant as an 

organization cannot demonstrate expertise in these disciplines, 

the applicant should include a plan showing how the applicant 
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will obtain such expertise to meet the objectives of this FFO),

and

• any previously demonstrated ability to achieve positive

outcomes in endeavors with program objectives that are similar 

to those of this FFO as described in Section I. of this FFO.

(f) Resumes of key personnel may be included, but are not required. 

Resumes are not included in the page count of the Technical Proposal. 

If resumes are included, resumes are to be a maximum of two pages 

each. Additional pages beyond the two pages per resume will not be 

considered during the evaluation of the application.

This section should address the Qualifications evaluation criterion (see 

Section V.1.d. of this FFO).

(7) Budget Narrative. There is no set format for the Budget Narrative; however, 

it should provide a detailed breakdown of each of the object class categories 

as reflected on the SF-424A.

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

budget, provide a copy of the approved negotiated agreement if this rate was 

negotiated with a cognizant Federal audit agency. If the rate was not 

established by a cognizant Federal audit agency, provide a statement to this 

effect. If the successful applicant includes indirect costs in the budget and 

has not established an indirect cost rate with a cognizant Federal audit 

agency, the applicant will be required to obtain such a rate in accordance with 

Section B.06 Indirect or Facilities and Administrative Costs of the Department 

of Commerce Financial Assistance Standard Terms and Conditions 

(December 26, 2014), available at http://go.usa.gov/hKbj .

Items IV.2.a.(1) through IV.2.a.(5) above are part of the standard application package in

Grants.gov and can be completed through the download application process. Items

IV.2.a.(6) through IV.2.a.(8) must be completed and attached by clicking on “Add

Attachments” found in item 15 of the SF-424, Application for Federal Assistance.

This will create a zip file that allows for 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 will receive email notifications 

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

systems before the applicant learns via a “validation” or a rejection notification whether 

NIST has received the application. Validation completes the submission process.
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b. Application Format

(1) E-mail and Facsimile (fax) Submissions. Will not be accepted.

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

readable or viewable and may be landscape orientation.

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

figures and tables but must be clearly legible.

(4) Line Spacing. Applicants may use single spacing or double spacing. 

(5) Margins. One (1) inch top, bottom, left, and right.

(6) Page layout. Portrait orientation only except for figures, graphs, images, and 

pictures. 

(7) Page Limit. The Technical Proposal for Applications is limited to 20 pages.

Page limit includes: Table of contents (if included), Technical Proposal, 

including all sections, figures, graphs, tables, images, and pictures.

Page limit excludes: SF-424, Application for Federal Assistance; SF424A, Budget Information – Non-Construction Programs; SF-424B, 

Assurances – Non-Construction Programs; CD-511, Certification 

Regarding Lobbying; SF-LLL, Disclosure of Lobbying Activities; Resumes, 

Budget Narrative; and Indirect Cost Rate Agreement.

(8) Page numbering. Number pages sequentially.

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

(10) Application language. English.

c. Application Replacement Pages. Applicants may not submit replacement pages 

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

must be made by submission of a new application that must be received by NIST by 

the submission deadline.

d. Pre-Applications. NIST is not accepting pre-applications or white papers under this

FFO.

e. 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 
15

regarding federal felony and federal criminal tax convictions, unpaid federal tax 

assessments, and delinquent federal tax returns.

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

to 2 C.F.R. part 25, applicants and recipients (as the case may be) 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 FFO, NIST may determine that the applicant is not 

qualified to receive a Federal award and use that determination as a basis for 

making a Federal award to another applicant. 

4. Submission Dates and Times. Applications must be received by NIST, 

electronically through Grants.gov, no later than 11:59 p.m. Eastern Time, Tuesday, 

July 28, 2015. Applications received after this deadline will not be reviewed or

considered. The earliest anticipated start date for an award under this FFO is

expected to be January 2016.

Applications not received by the specified due date and time will not be considered 

and will be returned without review. The date and time stamped on the validation 

generated by www.grants.gov will be considered as the official submission time that 

the application was received by NIST. Applicants are cautioned that the validation 

process may take up to two full business days after the application is submitted to 

www.grants.gov.

NIST strongly recommends that applicants do not wait until the last minute to submit 

an application. NIST will not make any allowances for late submissions resulting 

from an applicants’ inability to register with Sam.gov or Grants.gov in a timely 

manner. The responsibility for ensuring a complete application is received by NIST 

by the deadline is the sole responsibility of the applicant. To avoid any potential 

processing backlogs due to last minute Grants.gov registrations, applicants are 

strongly encouraged to start their Grants.gov registration process at least four (4) 

weeks prior to the application due date.

When developing your submission timeline, keep in mind that (1) a free annual 

registration process in the electronic System for Award Management (SAM) 

(see Section IV.3. of this FFO) may take between three and five business days 

or as long as more than two weeks, and (2) applicants using Grants.gov will 

receive a series of receipts over a period of up to two business days before 

learning via a validation or rejection whether a Federal agency’s electronic 

system has received its application.
16

5. Intergovernmental Review. Applications under this Program are not subject to 

Executive Order 12372.

6. Funding Restrictions. Profit or fee is not an allowable cost.

7. Other Submission Requirements

a. Applications must be submitted electronically through www.grants.gov . NIST 

will not accept applications submitted by mail, facsimile, or e-mail.

(1) Electronic applications must be submitted via Grants.gov at www.grants.gov, 

under announcement 2015-NIST-TPO-01.

a) Applicants should carefully follow specific Grants.gov instructions to ensure 

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

from Grants.gov indicating an application is received does not provide 

information about whether attachments have been received. For further 

information or questions regarding applying electronically for the 2015-NISTTPO-01 announcement, contact Christopher Hunton by phone at 301-975-

5718 or by e-mail at christopher.hunton@nist.gov.

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

approaching due date before logging on and reviewing the instructions for 

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

process must be completed before a new registrant can apply electronically. 

If all goes well, the registration process takes three (3) to five (5) business 

days. If problems are encountered, the registration process can take up to 

two (2) weeks or more. Applicants must have a valid unique entity identifier 

number and must maintain a current registration in the Federal government’s 

primary registrant database, the System for Award Management 

(https://www.sam.gov/), as explained on the Grants.gov Web site. See also

Section IV.3. of this FFO. After registering, it may take several days or longer 

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

application. Only authorized individual(s) will be able to submit the 

application, and the system may need time to process a submitted 

application. Applicants should save and print the proof of submission they 

receive from Grants.gov. If problems occur while using Grants.gov, the 

applicant is advised to (a) print any error message received and (b) call 

Grants.gov directly for immediate assistance. If calling from within the United 

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

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

5035. Assistance from the Grants.gov Help Desk will be available around the 

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

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

assistance using Grants.gov, you may also contact support@grants.gov.
17

c) To find instructions on submitting an application on Grants.gov, Applicants 

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

www.grants.gov home page. Clicking on the “Applicants” tab produces the 

“Grant Applicants” page.

a. In addition to following the “Steps” and instructions described in the 

“Applicant Actions” section and its sub-categories, further detailed 

instructions are described in “Applicant Resources” and all of its 

subcategories. This appears in the box near the top left of the Grant 

Applicants page. Applicants should follow the links associated with 

each subcategory.

b. Applicants will receive a series of receipts during the validation

process, which may take up to two business days before the 

application is either validated as electronically received by the Federal 

agency system, or rejected by it. Closely following the detailed 

information in these subcategories will increase the likelihood of 

acceptance of the application by the Federal agency’s electronic 

system. 

c. Your application must be both received and validated by Grants.gov 

prior to the application deadline. Your application is “received” when 

Grants.gov provides you a confirmation of receipt and an application 

tracking number. If you do not see this confirmation and tracking 

number, your application has not been received. After your application 

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

be “validated” or “rejected with errors.” To know whether your 

application was rejected with errors and the reasons why, you 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,” you may still seek to correct the errors and resubmit your 

application before the deadline. If you do not correct the errors, your 

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

d. Applicants should pay close attention to the instructions under 

“Applicant FAQs,” as it contains information important to successful 

submission on Grants.gov, including essential details on the naming 

conventions for attachments to Grants.gov applications.

All applicants should be aware that adequate time must be factored into applicants’ 

schedules for delivery of their application. Applicants are advised that volume on 

Grants.gov may be extremely heavy leading up to the deadline date.

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

ensure your application is received on time. 
18

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

Grants.gov. Applicants may sign up for Grants.gov FFO amendments or may 

request copies from Dr. Gary Anderson by telephone at (301) 975-5238 or by e-mail 

to gary.anderson@nist.gov. 

V. Application Review Information

1. Evaluation Criteria. The evaluation criteria that will be used in evaluating 

applications are as follows:

a. Project Approach. (0 – 35 points sub-criteria i. through iv. below receive 

equal weight). Reviewers will evaluate the extent to which the applicant’s 

proposed approach clearly addresses the program goals (see Section I. of this 

FFO) and the extent to which the proposed methodologies will efficiently and 

effectively do the following:

i. assess industry trends and identify gaps in the technology 

infrastructure,

ii. assess the economic impact, quantitatively and qualitatively, of 

eliminating the gaps in the technology infrastructure, 

iii. assess the implied government policy responses with respect to 

targets of specific phases in the R&D cycle, technology transfer efforts 

and subsequent scale-up, and 

iv. assess the impacts throughout the supply chain and over the entire 

innovation lifecycle.

b. Statement of Work. (0 – 35 points) Reviewers will assess the extent to which 

the applicant’s schedule of measurable events and milestones as well as the 

measurable performance objectives contribute to the evaluation of the success of 

the project. In particular, reviewers will evaluate the extent to which the following 

aspects of the statement of work contribute to the overall management of the 

project by the applicant:

• the methodologies used to manage the project,

• the milestones and how well the milestones will permit the applicant to assess 

incremental progress of the project and fit into the overall schedule for the 

project,

• the tasks and activities implementing the proposed project objectives, and

• the key project risks and how well the risk response strategies will allow the 

applicant to address these risks.

c. Dissemination of Results Plan. (0 – 10 points) Reviewers will evaluate the 

extent to which the applicant’s approach should result in preparing and 

publishing data and results from the project in the scientific literature and on 

publically available websites.
19

d. Qualifications. (0 - 20 points) Reviewers will evaluate the extent to which the 

qualifications of the key personnel, the time commitments of the key personnel, 

and the project staff‘s qualifications will enable them to conduct the project work. 

In particular, the following aspects for key personnel will be assessed and 

evaluated for the extent to which these factors will contribute to success of the 

project:

• any past experience with evaluating the economic impact of the technology 

infrastructure,

• any past experience in the following disciplines: technology assessment, 

high-tech industry behavioral and structural analyses, microeconomic 

modeling of complex technology development and commercialization 

patterns, high-tech industry survey and data collection techniques, and 

quantitative and qualitative analyses of technology infrastructure gaps that 

are inhibiting the advancement of technologies (if an applicant as an 

organization cannot demonstrate expertise in these disciplines, the 

reviewers will evaluate the applicant’s plan showing how the applicant will

obtain such expertise to meet the objectives of this FFO), and

• any previously demonstrated ability to achieve positive outcomes in

endeavors with program objectives that are similar to those of this FFO as 

described in Section I. of this FFO.

2. Selection Factors. The Selecting Official, who is the Director of the Technology 

Partnerships Office, or designee, shall select applications for an award based upon

the rank order of the applications (see Section V.3. of this FFO) and may select an

application out of rank based on one or more of the following selection factors:

a. The results of the reviewers’ evaluations.

b. The objectives as set forth in the Program Description (see Section I. of this 

FFO).

c. Whether the project duplicates other projects funded by NIST, DoC, or by other

Federal agencies.

d. The availability of Federal funds.

3. Review and Selection Process

Proposals, reports, documents and other information related to applications submitted 

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

and considered by Federal employees, Federal agents and contractors, and/or by nonFederal personnel who have entered into nondisclosure agreements covering such 

information when applicable.
20

a. Initial Administrative Review of Applications. An initial review of timely received 

applications will be conducted to determine eligibility, completeness, and 

responsiveness to this FFO and the scope of the stated program objectives. 

Applications determined to be ineligible, incomplete, and/or non-responsive may be 

eliminated from further review. However, NIST, in its sole discretion, may continue 

the review process for an application that is missing non-substantive information 

which may easily be rectified or cured.

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

that are determined to be eligible, complete, and responsive will proceed for full 

reviews in accordance with the review and selection process below.

At least three (3) independent, objective reviewers knowledgeable about the 

scientific areas described in the application will conduct a technical review of each 

application, based on the evaluation criteria (see Section V.1. of this FFO). All 

reviewers will be federal employees. Based on the reviewers’ scores, a rank order 

will be prepared and provided to the Selecting Official for further consideration. The 

Selecting Official will then select funding recipients based upon the rank order and 

the selection factors (see Section V.2. of this FFO).

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

Negotiations 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 required by the agency prior to award. For 

international applications, NIST will follow applicable U.S. laws and policies. 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 particular application. The 

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

Grants Officer. The award decisions of the Grants Officer are final.

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

applications are proposed for funding by the selecting official, the NIST Grants 

Management Division performs administrative reviews, 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. Upon review of these factors, if appropriate, special conditions that 

correspond to the degree of risk may be applied to the award. 

4. Anticipated Announcement and Award Dates. Review, selection, and award 

processing is expected to be completed by December 2015. The earliest anticipated 

start date for awards made under this FFO is expected to be January 2016.

5. Additional Information 
21

a. Notification to Unsuccessful Applicants. Unsuccessful applicants will be notified 

in writing.

b. Retention of Unsuccessful Applications. An electronic copy of each non-selected 

application will be retained for three (3) years for record keeping purposes. After 

three (3) years, it will be destroyed.

VI. Federal Award Administration Information

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

NIST Grants Officer. The award cover page, i.e., CD-450, Financial Assistance 

Award is available at http://go.usa.gov/SNMR.

2. Administrative and National Policy Requirements 

a. Uniform Administrative Requirements, Cost Principles and Audit 

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

adopted Uniform Administrative Requirements, Cost Principles, and Audit 

Requirements for Federal Awards at 2 C.F.R. Part 200, which apply to awards in this 

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

b. Department of Commerce Financial Assistance Standard Terms and 

Conditions. The Department of Commerce Financial Assistance Standard Terms 

and Conditions (December 26, 2014) will apply to this award and are accessible at: 

http://go.usa.gov/hKbj.

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

Department of Commerce Pre-Award Notification Requirements for Grants and 

Cooperative Agreements, 79 FR 78390 (December 30, 2014), are applicable to this 

FFO and are available at http://go.usa.gov/hKkR.

d. Funding Availability and Limitation of Liability. Funding for the program listed in 

this FFO is contingent upon the availability of appropriations. In no event will NIST 

or the Department of Commerce be responsible for application preparation costs if 

this program fails to receive funding or is cancelled because of agency priorities. 

Publication of this FFO does not oblige NIST or the Department of Commerce to 

award any specific project or to obligate any available funds.

e. Collaborations with NIST Employees. 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 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 
22

NIST employee must be approved by appropriate NIST management and is at the 

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

the approval of the proposed collaboration. Any unapproved collaboration will be 

stricken from the application prior to the merit review. Any collaboration with an 

identified NIST employee that is approved by appropriate NIST management will not 

make an application more or less favorable in the competitive process. 

f. Use of NIST Intellectual Property. If the applicant anticipates using any NISTowned 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 D.03 of the Department of Commerce Financial Assistance 

Terms and Conditions dated December 26, 2014, found at http://go.usa.gov/hKbj. 

Questions about these requirements may be directed to 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 in the course of 

an award made pursuant to this FFO, 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 solely by NIST, and include the 

possibility of NIST putting the intellectual property into the public domain.

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

Recordings Involving Human Subjects Including Software Testing. Any 

application that includes research activities involving human subjects, human 

tissue/cells, or data or recordings involving human subjects, including software 

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

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

at 15 C.F.R. Part 27. Research activities involving human subjects who fall within 

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

the requirements of the applicable subpart. In addition, any such application that 

includes research activities on these topics must be in compliance with any statutory 

requirements imposed upon the Department of Health and Human Services (DHHS) 

and other Federal agencies regarding these topics, all regulatory policies and 

guidance adopted by DHHS, the Food and Drug Administration, and other Federal 
23

agencies on these topics, and all Executive Orders and Presidential statements of 

policy on these topics. 

NIST reserves the right to make an independent determination of whether an 

applicant’s activities include research involving human subjects. NIST policy also 

requires a NIST administrative review for research involving human subjects 

approved by a non-NIST Institutional Review Board (IRB). (15 C.F.R. § 27.112 

Review by Institution.) If NIST determines that an application includes research 

activities which involve human subjects, the applicant will be required to provide 

additional information for review and approval. If an award is issued, no research 

activities involving human subjects shall be initiated or costs incurred for those 

activities under the award until the NIST Grants Officer issues written approval. 

Retroactive approvals are not permitted.

Organizations that have an IRB are required to follow the procedures of their 

organization for approval of exempt and non-exempt research activities that involve 

human subjects, if the application is funded. Both domestic and foreign 

organizations performing 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. 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. 

The applicant should clearly indicate in the application, by separable task, all 

research activities believed to be exempt or non-exempt research involving 

human subjects and the expected institution(s) where the research activities 

involving human subjects may be conducted, and which institutions are 

expected to be engaged in the research activities.

If an activity/task involves data obtained through intervention or interaction with living 

individuals or identifiable private information obtained from or about living individuals 

but the applicant participant(s) believes that the activity/task is not research as 

defined under the Common Rule, the following information may be requested for that 

activity/task:

(1) Justification, including the rationale for the determination and in some cases 

additional documentation, to support a determination that the activity/task in 

the application is not research as defined in the Common Rule. See 15 C.F.R. 

§ 27.102 Definitions.

(2) If the applicant participant(s) uses a cognizant IRB that provides a 

determination that the activity/task is not research, a copy of that 
24

determination documentation will be required by NIST. The applicant 

participant(s) is not required to establish a relationship with a cognizant IRB if 

they do not have one, but if the applicant participant(s) has a cognizant IRB 

that requires review of the activity/task, or the applicant participant(s) elects to 

obtain IRB review, a copy of the IRB approval/determination documentation 

will be required by NIST.

NIST will review the information submitted and may coordinate further with the 

applicant before determining whether the activity/task will be defined as research for 

purposes of implementing the Common Rule in the applicable NIST financial 

assistance program or project.

If the application appears to NIST to include exempt research activities, and the 

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

or data 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. § 27.101 To what does this policy apply?):

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

conducted; and/or from which biological materials or data from human 

subjects will be provided.

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

materials or data from human subjects to be collected/provided, not preexisting samples (i.e., will proposed research collect only information without 

personal identifiable information, will biological materials or data be deidentified and when and by whom was the de-identification performed, how 

were the materials or data originally collected).

(3) For pre-existing biological materials or data from human subjects, provide 

copies of the consent forms used for collection and a description of how the

materials or data were originally collected and stripped of personal identifiers. 

If copies of consent forms are not available, explain.

(4) Any additional clarifying documentation that NIST may request during the 

review process in order to make a determination that the activity/task or use 

of biological materials or data from human subjects is exempt under the 

Common Rule (see 15 C.F.R. § 27.101 To what does this policy apply?). 

If the application appears to NIST to include research activities (exempt or nonexempt) involving human subjects, and the performer of the activity has a cognizant 

IRB registered with OHRP, the following information may be requested during the 

review process:

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

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

registration number(s);

(3) The FWA number of the applicant linked to the cognizant IRB(s);
25

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

activity/task, linked to the cognizant IRB;

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

human subjects;

(6) The IRB approval date (if currently approved for exempt or non-exempt 

research);

(7) If any of the engaged organizations has applied for or will apply for an FWA or 

IRB registration, those details should be clearly provided for each engaged 

organization.

Additional documentation may be requested by NIST for performers with a

cognizant IRB during review of the application, and may include the following for

research activities involving human subjects that are planned in the first year of the

award:

(1) A signed (by the study principal investigator) copy of each applicable final 

IRB-approved protocol;

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

name of the institution housing each applicable IRB, provides the start and 

end dates for the approval of the research activities, and any IRB-required 

interim reporting or continuing review requirements;

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

approval of special clearances (i.e., biohazard, HIPAA, etc.) conflict-ofinterest letters, or special training requirements;

(4) A brief description of what portions of the IRB submitted protocol are 

specifically included in the application submitted to NIST, if the protocol 

includes tasks not included in the application, or if the protocol is supported 

by multiple funding sources. For protocols with multiple funding sources, 

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

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

proposed under the proposed research or ongoing project;

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

issued, a draft of the proposed protocol may be requested;

(6) Any additional clarifying documentation that NIST may request during the 

review process to perform the NIST administrative review of research 

involving human subjects. (See 15 C.F.R. § 27.112 Review by Institution.)

This clause reflects the existing NIST policy 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 Jason Boehm, Director, NIST Program Coordination Office (e-mail: 
26

jason.boehm@nist.gov; phone: (301) 975-8678.

h. Research Applications Involving Live Vertebrate Animals. Any application that 

includes research activities involving live vertebrate animals, that are being cared 

for, euthanized, or used by participants in the application to accomplish research 

goals, teaching, or testing, must be in compliance with 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. In addition, such applications must meet the 

requirements of the Animal Welfare Act (7 U.S.C. § 2131 et seq.), 9 C.F.R. Parts 1, 

2, and 3, and if appropriate, 21 C.F.R. Part 58. These regulations 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 

items from animal material suppliers (e.g., tissue banks), such as cell lines and 

tissue samples, or from commercial food processors, where the vertebrate animal 

was euthanized for food purposes and not for sample collection. NIST does require 

documentation for obtaining custom samples from live vertebrate animals from 

animal material suppliers and other organizations (i.e., universities, companies, and 

government laboratories, etc.). Custom samples includes samples from animal 

material suppliers, such as when a catalog item indicates that the researcher is to 

specify the characteristics of the live vertebrate animal to be used, or how a sample 

is to be collected from the live vertebrate animal. 

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.

NIST reserves the right to make an independent determination of whether an 

applicant’s research activities involve live vertebrate animals or custom samples 

from live vertebrate animals. If NIST determines that the application includes 

research activities or custom samples involving live vertebrate animals, you will be 

required to provide additional information for review and approval. If an award is 

issued, no research activities involving live vertebrate animals subjects shall be 

initiated or costs incurred under the award until the NIST Grants Officer issues 

written approval.

If the applicant’s application appears to include research activities or custom sample 

collections involving live vertebrate animals the following information may be 

requested during the application review process:

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

and/or custom samples collected;

(2) The assurance type and number, as applicable, for the cognizant Institutional 

Animal Care and Use Committee (IACUC) where the research activity is 

located. [For example: Animal Welfare Assurance from the Office of 
27

Laboratory Animal Welfare (OLAW) should be indicated by the OLAW 

assurance number, i.e. A-1234; an USDA Animal Welfare Act certification 

should be indicated by the certification number i.e. 12-R-3456; and an 

Association for the Assessment and Accreditation of Laboratory Animal Care 

(AAALAC) should be indicated by AAALAC.]

(3) The IACUC approval date (if currently approved);

(4) If the review by the cognizant IACUC is pending, the estimated start date for 

research involving vertebrate animals;

(5) If any assurances or IACUCs need to be obtained or established, that should 

be clearly stated.

Additional documentation may be requested by NIST during review of the application 

and may include the following for research activities and/or custom sample 

collections involving live vertebrate animals that are planned in the first year of the 

award:

(1) A signed (by the Principal Investigator) copy of the IACUC approved Animal 

Study Application (ASP);

(2) Documentation of the IACUC approval indicating the approval and expiration 

dates of the ASP; and

(3) If applicable, a non-duplication-of-funding letter if the ASP is funded from 

several sources.

(4) If a new ASP will only be submitted to an IACUC if an award from NIST 

issued, a draft of the proposed ASP may be requested.

(5) Any additional clarifying documentation that NIST may request during review 

of applications to perform the NIST administrative review of research 

involving live vertebrate animals.

For more information regarding research projects involving live vertebrate animals, 

contact Linda Beth Schilling, Chair, NIST Animal Care & Use Committee (e-mail: 

linda.schilling@nist.gov; phone: 301-975-2887).

3. Reporting

 

a. Reporting Requirements. The following reporting requirements described in 

Sections A.01 Performance (Technical) Reports and B.02 Financial Reports of the 

Department of Commerce Financial Assistance Standard Terms and Conditions 

dated December 26, 2014, http://go.usa.gov/hKbj, apply to awards in this program:

(1) Financial Reports. Each award recipient will be required to submit an SF-425, 

Federal Financial Report on a semi-annual basis for the periods ending March 31 

and September 30 of each year. Reports will be due within 30 days after the end 

of the reporting period to the NIST Grants Officer and Grants Specialist named in 

the award documents. A final financial report is due within 90 days after the end 

of the project period.
28

(2) Performance (Technical) Reports. Each award recipient will be required to 

submit a technical progress report to the NIST Grants Officer and the Federal 

Program Officer on a quarterly basis for the periods ending March 31, June 30, 

September 30, and December 31 of each year. Reports will be due within 30 

days after the end of the reporting period. A final technical progress report shall 

be submitted within 90 days after the expiration date of the award. Technical 

progress reports shall contain information as prescribed in 2 C.F.R. § 200.328. It 

should also provide overall assessment of program activities and explore 

opportunities to improve program effectiveness. 

(3) Patent and Property Reports. From time to time, and in accordance with the 

Uniform Administrative Requirements (see Section VI.2. of this FFO) and other 

terms and conditions governing the award, the recipient may need to submit 

property and patent reports. 

b. Audit Requirements. 2 C.F.R. Part 200, Subpart F, adopted by the Department of 

Commerce through 2 C.F.R. § 1327.101 requires any non-Federal entity (i.e., 

including non-profit institutions of higher education and other non-profit 

organizations) that expends Federal awards of $750,000 or more in the recipient’s 

fiscal year to conduct a single or program-specific audit in accordance with the 

requirements set out in the Subpart. 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.

c. Federal Funding Accountability and Transparency Act of 2006. In accordance 

with 2 C.F.R. Part 170, all recipients of a Federal award made on or after October 1, 

2010, are required to comply with reporting requirements under the Federal Funding 

Accountability and Transparency Act of 2006 (Pub. L. No. 109-282). In general, all 

recipients are responsible for reporting sub-awards of $25,000 or more. In addition, 

recipients that meet certain criteria are responsible for reporting executive 

compensation. Applicants must ensure they have the necessary processes and 

systems in place to comply with the reporting requirements should they receive 

funding. Also see the Federal Register notice published September 14, 2010, at 75 

FR 55663 available here http://go.usa.gov/hKnQ.

VII. Federal Awarding Agency Contacts

 Subject Area Point of Contact

Programmatic and Technical 

Questions:

Dr. Gary Anderson

Phone: 301-975-5238

E-mail: gary.anderson@nist.gov 

Technical Assistance with 

Grants.gov Submissions

Christopher Hunton

Phone: 301-975-5718

E-mail: christopher.hunton@nist.gov
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 Subject Area Point of Contact

Or

Grants.gov

Phone: 800-518-4726

E-mail: support@grants.gov

Grant Rules and Regulations Husai Rahman

Phone: 301-975-4355

E-mail: husai.rahman@nist.gov