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NIST Public Safety Innovation Accelerator Program – i-Axis

Notice of Funding Opportunity

August 21, 2018

August 21, 2018

NOTICE OF FUNDING OPPORTUNITY (NOFO)

NIST Public Safety Innovation Accelerator Program (PSIAP) – i-Axis

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 

– i-Axis

• Announcement Type: Initial

• Funding Opportunity Number: 2018-NIST-PSIAP-I-AXIS

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

Research and Standards

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

Eastern Time, Friday, October 19, 2018. 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 from 12:01 a.m. Eastern Time, Saturday, September 15, 2018 

until 6:00 a.m. Eastern Time Monday, September 17, 2018.

Applications cannot be submitted when Grants.gov is closed. NIST expects to 

complete its review, selection of successful applicants, and award processing by

February 2019. NIST expects the earliest start date for awards under this NOFO 

to be March 2019.

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

Application Documents, of this NOFO with great attention. Applicants should 

carefully follow the instructions and recommendations regarding attachments and 

use the Download Submitted Forms and Applications feature on www.grants.gov 

to check that all required attachments were contained in their submission. 

Applications submitted without the required documents will not pass the Initial 

Administrative Review, described in Section V.3.a. of this NOFO. 

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

applicants are required to have a current registration in both the electronic 
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August 21, 2018

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

registration process in the SAM.gov (see Section IV.3. and Section IV.7.a.(2). of 

this NOFO) often takes between three and five business days and may take as 

long as two weeks; and (3) applicants will receive e-mail notifications over a 

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

systems before the applicant learns via a validation or rejection notification 

whether NIST has received the application. (See Grants.gov for full information 

on application and notification through Grants.gov). Please note that a federal 

assistance award cannot be issued if the designated recipient’s registration in the 

System for Award Management (SAM.gov) is not current at the time of the 

award.

• Application Submission Address: Applications must be submitted using 

Grants.gov.

• Funding Opportunity Description: The NIST Public Safety Innovation 

Accelerator Program is seeking applications from organizations with significant 

geospatial expertise and experience working with public safety to conduct

activities that will allow first responders to rapidly and successfully incorporate 

new and emerging indoor mapping, tracking, navigation, and location-based 

services capabilities into their day-to-day operations. 

• Anticipated Amounts: In FY2019, NIST anticipates up to $600,000 may be 

available to fund a single award with project performance period of up to three (3) 

years.

• Funding Instrument: Grant or cooperative agreement, as appropriate. 

• Eligibility: This NOFO is open to all non-Federal entities. Eligible applicants 

include institutions of higher education, non-profit organizations, for-profit 

organizations, state and local governments, Indian tribes, hospitals, foreign 

public entities, and foreign governments. 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. 

NIST will only consider one application per applicant; however, an applicant 

entity may be proposed as a sub-recipient, contractor, or unfunded collaborator 

within applications submitted by other entities. 

• Cost Sharing Requirements: Matching funds are not required, however, 

voluntary committed cost-share (e.g., in-kind contributions from partners) may be 
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Notice of Funding Opportunity

August 21, 2018

included in project budgets and will be considered as part of the selection factors 

in Section V.2. of this NOFO.

• Public Website and Frequently Asked Questions (FAQs): NIST has a public 

website (pscr.gov) that provides information pertaining to this Funding 

Opportunity1. NIST anticipates that a “Frequently Asked Questions” section or 

other resource materials will be maintained and updated on the website as 

needed to provide additional guidance and clarifying information that may arise 

related to this Funding Opportunity. Any amendments to this NOFO will be 

announced through Grants.gov.

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

may be posted on pscr.gov. 

Table of Contents

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

II. Federal Award Information...................................................................................... 6

III. Eligibility Information ............................................................................................... 7

IV. Application and Submission Information ................................................................. 7

V. Application Review Information............................................................................. 18

VI. Federal Award Administration Information ............................................................ 23

VII. Federal Awarding Agency Contacts...................................................................... 31

VIII. Other Information.................................................................................................. 31

FULL ANNOUNCEMENT TEXT

I. Program Description

The statutory authority for the NIST Public Safety Innovation Accelerator Program is 15 

U.S.C. § 3706 and 47 U.S.C. § 1443.

The NIST PSIAP is seeking applications from eligible organizations to conduct activities 

that will allow first responders to rapidly and successfully incorporate new and emerging 

indoor mapping, tracking, navigation, and location-based services capabilities into their 

day-to-day operations. 

A. Background

 1 Refer to Section VII. of this NOFO, Federal Awarding Agency Contacts, Programmatic and Technical 

Questions, if this link is no longer working or more information is needed.
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Notice of Funding Opportunity

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The Public Safety Communications Research (PSCR) division, aligned under the NIST

Communications Technology Laboratory, conducts research for the first responder 

community. The PSIAP – i-Axis opportunity is one of several current opportunities within 

the NIST PSCR program. More information about PSCR can be found at pscr.gov.

Location-based services (LBS) can be loosely defined as the provisioning of customized 

information, features, or services based on a user’s current or projected location. PSCR 

initiated a strategic planning effort in 2014 with the involvement of first responders, 

government officials, industry leaders, and academia, at which LBS was identified as 

one of three key portfolios for research and development (R&D) investment. As a result, 

PSCR formed an LBS working group. 

The working group’s inputs, along with industry forecasts, were utilized to create a 20-

year technology roadmap for the benefit of the entire public safety community2. As a 

follow-up, an LBS R&D Summit3 was held to further discuss and prioritize the scope of 

work identified in the technology roadmap. Attendees were instructed to identify the 

most pressing technology gaps currently limiting the use of LBS in the public safety 

arena, and then to prioritize these challenges based on five investment criteria –

leverage, feasibility, impact on public safety processes, rewards/results, and 

uniqueness to public safety – that were developed in close collaboration with FirstNet 

and the Public Safety Advisory Committee (PSAC). The summit identified six problem 

statements around the areas of: indoor 3D geolocation, mapping, interoperability, 

standardization, power consumption, and wearable devices.

As the LBS portfolio evolved, it became clear through continuous stakeholder 

engagement, technology landscape assessments, and industry roadmaps that the goals 

of the LBS portfolio should be further refined to focus exclusively on how to map, track, 

and navigate indoors. In addition to funding internal research, in 2017 and 2018 PSCR 

has invested approximately $10M in external research through grants and contracts to 

address aspects related to the portfolio goals.

B. Research Opportunity

The ability to locate, track, and inform first responders while indoors under difficult 

conditions remains a ‘Holy Grail’ sought by the public safety community. Law 

enforcement officers enter buildings every day, often alone and in potential peril, without

the benefits of indoor tracking. Firefighters continue to die or become seriously injured 

each year because they become lost, disoriented, or difficult to locate in emergency 

situations.

 2 Location-Based Services R&D Roadmap; NIST Technical Note 1883; 

http://nvlpubs.nist.gov/nistpubs/TechnicalNotes/NIST.TN.1883.pdf

3 2015 Location-Based Services R&D Summit; 

http://nvlpubs.nist.gov/nistpubs/TechnicalNotes/NIST.TN.1914.pdf
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The intricately related fields of indoor mapping, localization, and navigation are all 

experiencing rapid growth as technology companies, network operators, and the 

manufacturing, service, and retail industries seek to understand where people and 

inventory are at any moment to deliver optimized location-based services, 

entertainment, or asset-tracking. Despite this growth, a solution that meets the 

challenging requirements of first responders has yet to emerge.

Recognizing the challenges inherent to LBS, PSCR’s strategic investments to this point 

have largely focused on R&D needed to bridge the technology gaps that exist in 

bringing a solution for indoor mapping and tracking of first responders within reach. 

Simultaneously, industry is investing billions of dollars on creating an ‘internet of things’ 

that will enable the operation of ‘smart homes’, and ‘smart cities’, which will generate an 

unprecedented amount of data and information that could be useful for public safety

purposes. Conceptually, this data could be thought of as a fourth dimension, or an 

information axis (i-axis), potentially adding an additional layer of complexity to the 

challenges first responders face in understanding the physical indoor environments in 

which they are operating. As these technologies mature, however, there is an essential

question that must be addressed: How will public safety organizations utilize all of these

new indoor technologies (i.e. mapping, localization, and navigation) and data sources to 

effectively improve their operations? 

Successful public safety operations are built on a foundation of carefully constructed 

policies, detailed standard operating procedures, and extensive training. Thus, 

regardless of the pace of innovation and technology advancement, the integration of 

new capabilities and information is an inherently protracted process. In many cases, 

the most basic questions related to operational and information needs, use 

cases, standard operating procedures and policies, and best practices are not 

addressed or even asked until a technology emerges. PSIAP i-Axis therefore 

seeks to initiate a multi-year outreach effort that will work with public safety 

practitioners to answer these questions and accelerate the adoption of potentially 

transformational location-based technologies, information, and services into their

decision-support systems.

Interested and qualified applicants should propose a cohesive, comprehensive, and 

innovative plan to conduct interactive workshops, summits, exercises, training, and any 

other activities required to understand how the public safety community can best utilize 

emerging technologies related to indoor mapping, tracking, and navigation, as well as 

the wealth of data generated by smart buildings and smart homes. The proposed

activities should result in technical outputs like standard operating procedures, best 

practices guides, implementation templates and toolkits, education and training 

materials, capability assessment tools, and/or qualifications and credentialing programs. 

As much as possible, the proposed activities should be driven by state, local, and tribal 

practitioners representing all disciplines (law enforcement, fire, and EMS), 

demographics (urban, suburban, and rural), and regions of the U.S, and the technical

outputs should be made broadly available to the entire public safety stakeholder 
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community. Further, applicants must describe the methods and metrics they will use to 

assess the project’s impact both during and after the period of performance; these 

metrics will be used by the PSIAP to assess the program’s impact on public safety 

stakeholders. 

Applicants must possess significant subject matter expertise related to geographic 

information systems and location-based services and be able to demonstrate a 

substantial track record of working with public safety organizations to gather and turn 

requirements related to geospatial data into the types of technical outputs discussed 

above.

The PSIAP recognizes that operational demands and limited budgets typically preclude 

public safety entities from dedicating resources to participate in R&D activities. 

Therefore, if necessary, applicants may include funding in their proposed budget for 

non-federal first responders and public safety personnel to actively participate within 

their project. Please note that Federal entities are not eligible to receive funding under 

this NOFO, though they may participate as unfunded collaborators.

Applicants should plan to disseminate the results of their project to public safety and 

relevant R&D communities through other activities, including conference presentations, 

publications, training, and/or data sets. Applicants may include funding in their proposed 

budget that would support the dissemination of the results and lessons of their PSIAP –

i-Axis efforts to the public safety stakeholder community. In addition, recipients will be 

required to attend the PSCR Public Safety Broadband Stakeholder Meetings each June 

during the term of the award to meet with stakeholders and present key plans and 

findings of their work to date. 

II. Federal Award Information

1. Funding Instrument

The funding instrument used in this program will be a grant or cooperative agreement, 

as appropriate. If a cooperative agreement is used, the nature of NIST’s “substantial 

involvement” will generally include collaboration with the recipient in implementing the 

approved scope of work.

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. 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 PSIAP – i-Axis, and the 
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availability of funds. Under this NOFO, NIST may elect to fully fund an award or to fund 

an award in accordance with the multi-year funding policy.

3. Funding Availability

In FY2019, NIST anticipates up to $600,000 may be available to fund a single award 

with project performance period of up to three (3) years.

III. Eligibility Information

1. Eligible Applicants

This NOFO is open to all non-Federal entities. Eligible applicants include institutions of 

higher education, non-profit organizations, for-profit organizations, state and local 

governments, Indian tribes, hospitals, foreign public entities, and foreign governments. 

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. 

NIST will only consider one application per applicant; however, an applicant entity may 

be proposed as a subrecipient, contractor, or unfunded collaborator within applications 

submitted by other entities.

2. Cost Sharing or Matching

Matching funds are not required, 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. of this NOFO.

IV. Application and Submission Information

1. Address to Request Application Package

The application package is available at Grants.gov under Funding Opportunity Number 

2018-NIST-PSIAP-I-AXIS.

2. Content and Form of Application Submission

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

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

authorized representative of the applicant organization.

• SF-424, Item 8.d Zip/Postal Code field should reflect the zip code + 4 (##### 

- ####) format.
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• Item 12, should list the NOFO number 2018-NIST-PSIAP-I-AXIS. 

• SF-424, Item 18, field a., should list the total Federal budget amount 

requested for the entire project.

• If the applicant includes voluntary committed cost share, SF-424, Item 18, 

field b., should list the applicant’s anticipated voluntary committed cost share 

for the entire project.

• For SF-424, Item 21, the list of certifications and assurances is contained in 

the SF-424B. 

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

should reflect anticipated expenses for the project, considering all potential cost 

increases, including cost of living adjustments. 

The Grant Program Function or Activity on Section A, Line 1, Column (a) should 

be entered as “Public Safety Communications Research Grant Program”. The 

Catalog of Federal Domestic Assistance Number on Line 1, Column (b) should 

be entered as “11.609”. Line 1, Column (e) should reflect the anticipated federal 

expenses for the full term of the project. If the applicant intends to include 

voluntary committed cost share, that voluntary committed cost share for the full 

term of the project should be reflected on Section A, Line 1, Column (f).

Use Section B – Budget Categories to reflect the budget breakdown by year. 

Column (1) should be used for the first year. Column (2) should be used for the 

second year. Column (3) should be used for the third year.

Section C, line 8., column (b) of the SF-424A should reflect the applicant’s 

anticipated voluntary committed cost share for the full term of the project. 

Enter a quarterly breakdown of the first year’s budget of federal funds in Section 

D, line 13. 

Section E, line 16, column (b) should reflect the second year’s budget of federal 

funds. Enter the third year’s budget of federal funds in column (c).

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

(4) CD-511, Certification Regarding Lobbying. Enter “2018-NIST-PSIAP-I-AXIS”

in the Award Number field. Enter the title of the application used in field 15 of the 

SF-424, or an abbreviation of that title, in the Project Name field.

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

(6) Project Summary. The project summary must be a quad chart consisting of the 

following four sections, clockwise from top-left: 1) a problem statement; 2) the 

concept of the proposed project; 3) the potential impact of the project; 4) key 
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milestones and/or deliverables. The project summary must not exceed one (1) 

page. Any material provided beyond the one (1) page limit will be redacted and 

not provided to the reviewers.

(7) Technical Proposal. The Technical Proposal is a document that is responsive to 

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

(see Section V.1. of this NOFO). Any material provided beyond the specified 

page limits (see Section IV.2.c.(4) of this NOFO) will be redacted and not 

provided to the reviewers. The Technical Proposal must contain the following 

information:

(a) Project Description. This is a detailed description of the proposed project 

and potential impacts. This section should include a:

(i) Detailed description of the approach to address the goals and 

requirements of this NOFO and how the proposed activities will impact 

and benefit public safety.

(ii) Proposed list of technical outputs, details on how these outputs will be 

made available to the broader public safety and R&D communities, and 

how their adoption and impact will be tracked. 

This section will be evaluated in accordance with the Technical Merit

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

(b) Project Execution. This section should provide clear and quantifiable goals, 

milestones, timelines, and methods to assess progress and performance

towards achieving the objectives in the Technical Proposal. In addition, this 

section should describe the cost effectiveness and value of the proposed 

project in terms of meeting the stated objectives.

This section will be evaluated in accordance with the Project Execution

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

(c) Qualifications. This section should provide detailed examples

demonstrating: 

(i) Qualifications of the individuals, teams, and organizations that will be 

executing or supporting the proposed project relative to the program 

goals.

(ii) Demonstrated success executing projects similar in scope and magnitude 

to the proposed project, including any examples of working with a broad 

cross-section of public safety practitioners.

(iii) Access to the necessary staff, equipment, facilities, support, and 

resources to accomplish the proposed objectives. 
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This section will be evaluated in accordance with the Qualifications evaluation 

criterion (see Section V.1.c. of this NOFO). 

(8) Resume(s). Resumes are required for all key personnel, including the principal 

investigator/project lead. Awardees are advised that any changes to individuals 

deemed ‘key personnel’, including disengagement from the project for more than 

three months or a 25% reduction of effort, will require prior approval, in writing, 

by the NIST Grants Officer. 

This section will be evaluated in accordance with the Qualifications evaluation 

criterion (see Section V.1.c. of this NOFO). There are no page limits for resumes. 

However, any material considered inappropriate for inclusion in a resume (e.g. 

supplementary text for another section) will be redacted and not provided to the 

reviewers.

(9) Budget Narrative. The Budget Narrative must provide a detailed breakdown of 

each of the object class categories as reflected on the SF-424A. The budget 

justification should address all the budget categories (personnel, fringe benefits, 

equipment, travel, supplies, other direct costs and indirect costs) for which 

Federal funds are requested. 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. Information on cost allowability is available in the Uniform Administrative 

Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 

C.F.R. Part 200 (http://go.usa.gov/SBYh), which apply to awards in this program. 

Voluntary committed cost share must be included in the appropriate categories. 

Information needed for each category is as follows:

(a) Personnel. At a minimum, the budget justification for all personnel 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.

(b) Fringe Benefits. Fringe benefits should be identified separately from salaries 

and wages and based on rates determined by organizational policy. The 

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

should not be charged under another cost category.

(c) Travel. For 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 and 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 
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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), 

recipients will be required to attend the PSCR Public Safety Broadband 

Stakeholder Meetings (PSBSM) to meet with stakeholders and present key 

plans and findings of their work to date. Recipients must send a minimum of 

one team member to each event during the term of the grant. The PSCR 

PSBSMs are held each June in the continental United States and are typically 

four days in length. The dates and locations of the PSBSM for 2019 – 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.

(d) Equipment. 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. Any items 

that do not meet the threshold for equipment can be included under the 

supplies line item. 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.

(e) Supplies. Supplies are defined as all tangible personal property other than 

those described in equipment (see Section IV.2.a.(9)(d) of this NOFO). 

Provide a list of each supply necessary for the project, 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.

(f) Contracts/Subawards. Each contract or subaward should be treated as a 

separate item. 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.

(g) Construction. Applications to PSIAP – i-Axis may not include construction 

costs as part of their budget.

(h) Other Direct Costs. For costs that do not easily fit into the other cost 

categories, e.g. publishing fees or software distribution expenses, please list 
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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. 

This section will be evaluated in accordance with the Project Execution

evaluation criteria (see Section V.1.b. of this NOFO). It will also be reviewed to 

determine if all costs are reasonable, allocable, and allowable under 2 C.F.R. 

Part 200 Subpart E, Cost Principles.

(10) 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 (http://go.usa.gov/xXRxK). 

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 and budget narrative 

portion of the application.

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

funded and unfunded entities that will have an active role in executing the 

activities outlined in the Technical Proposal. 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 sufficient 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.1.c.) of this NOFO).

(12) Data Management Plan. Consistent with NIST Policy 5700.004, Managing 

Public Access to Results of Federally Funded Research, and NIST Order 

 4http://www.nist.gov/data/upload/Final-P-5700.pdf
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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 two 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).

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 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) (available at http://go.usa.gov/3sZvQ).

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

application.

The sufficiency of the DMP will be considered as part of the administrative review 

(see Section V.3.a. of this NOFO); however, the DMP will not be evaluated 

against any evaluation criteria.

b. Attachment of Required Documents

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.(12) 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 using Grants.gov will receive a series of e-mail 

 5http://www.nist.gov/data/upload/Final-O-5701_0.pdf

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

7http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm
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messages over a period of up to two business days before learning whether a Federal 

agency’s electronic system has received its application.

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

Applications” option to check that their application’s required attachments were 

contained in their submission.

After submitting the application, follow the directions found at this link, 

https://go.usa.gov/xQqeh in the Grants.gov Online Users Guide.

If any, or all, of the required attachments are absent from the submission, follow the 

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

presence of the required attachments. 

If the directions found at https://go.usa.gov/xQqeh 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, except for Federal holidays. Help Desk service will resume 

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

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

procedures at the Grants.gov site (http://go.usa.gov/cjamz). It can take up to two 

business days for an application to fully move through the Grants.gov system to NIST.

NIST uses the Tracking Numbers assigned by Grants.gov,and does not issue Agency 

Tracking Numbers.

c. Application Format

(1) Paper, 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. Any figures, graphs, 

images, or pictures will count towards the page limit for the Technical Proposal.

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

and tables but must be clearly legible.

(4) Page Limits. See the table below:

Section Page Limit

Project Summary 1

Technical Proposal 20

Data Management Plan 2
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(5) Page Limit Excludes: SF-424, Application for Federal Assistance; SF-424A, 

Budget Information – Non-Construction Programs; SF-424B, Assurances – NonConstruction Programs; CD-511, Certification Regarding Lobbying; SF-LLL, 

Disclosure of Lobbying Activities; Resumes of key personnel; Budget Narrative; 

Indirect Cost Rate Agreement, and Letters of Commitment.

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

(7) Application language. English.

d. 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 new application that is received by NIST 

before the submission deadline.

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

f. Statement of Intent. To assist NIST in gauging interest and planning for the 

evaluation process all potential applicants are strongly encouraged to send an e-mail 

to pscr@nist.gov with ‘iAxis’ in the subject line indicating intent to apply. The 

statement of intent will only be used for competition planning purposes; it will not be 

used as part of the evaluation process or to eliminate any applicants from 

consideration under this NOFO. An applicant will receive full consideration under this 

NOFO if they do not submit a statement of intent. 

g. Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, 

Unpaid Federal Tax Assessments and Delinquent Federal Tax Returns. In 

accordance with Federal appropriations law, an authorized representative of the 

selected applicant(s) may be required to provide certain pre-award certifications 

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

assessments, and delinquent Federal tax returns.

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

Pursuant to 2 C.F.R. part 25, applicants and recipients (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 NOFO, NIST may determine that the applicant is not qualified to 
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receive a Federal award and use that determination as a basis for making a Federal 

award to another applicant.

4. Submission Dates and Times

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

Friday, October 19, 2018. NIST will consider the date and time recorded by Grants.gov 

as the official submission time. Applications received after this deadline will not be 

reviewed or considered. Paper applications will not be accepted.

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

Grants.gov system is expected to be closed for routine maintenance from 12:01 a.m. 

Eastern Time, Saturday, September 15, 2018 until 6:00 a.m. Eastern Time Monday, 

September 17, 2018. Applications cannot be submitted when Grants.gov is closed. 

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

are required to have a current registration in both the electronic System for Award 

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

SAM.gov (see Sections IV.3. and IV.7.a.(2). of this NOFO) often takes between three 

and five business days and may take as long as two weeks; and (3) applicants will 

receive e-mail notifications over a period of up to two business days as the application 

moves through intermediate systems before the applicant learns via a validation or 

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

information on application and notification through Grants.gov.). Please note that a 

Federal assistance award cannot be issued if the designated recipient’s registration in 

the System for Award Management (SAM.gov) is not current at the time of the award.

5. Intergovernmental Review

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

6. Funding Restrictions

Applications for product development and/or commercialization are not considered 

responsive to this NOFO. Profit or fee is not an allowable cost.

7. Other Submission Requirements

a. Applications must be submitted electronically via Grants.gov.

(1) Applicants should carefully follow specific Grants.gov instructions to ensure that 

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

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

about whether attachments have been received. For further information or 

questions regarding applying electronically for the 2018-NIST-PSIAP-I-AXIS
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announcement, contact Leon Sampson by phone at 301-975-3086 or by e-mail 

at grants@nist.gov.

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

approaching due date before logging on and reviewing the instructions for 

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

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

all goes well, the registration process takes three to five business days. If 

problems are encountered, the registration process can take up to two weeks or 

more. Applicants must have a valid unique entity identifier number and must 

maintain a current registration in the Federal government’s primary registrant 

database, the System for Award Management (https://www.sam.gov/), as 

explained on the Grants.gov Web site (also see Section IV.3. of this NOFO).

After registering, it may take several days or longer from the initial log-on before 

a new Grants.gov system user can submit an application. Only individuals 

authorized as organization representatives will be able to submit the application, 

and the system may need time to process a submitted application. Applicants 

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

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

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

assistance. If calling from within the United States or from a U.S. territory, 

please call 800-518-4726. If calling from a place other than the United States or 

a U.S. territory, please call 606-545-5035. Assistance from the Grants.gov Help 

Desk will be available around the clock every day, except for Federal holidays. 

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

holidays. For assistance using Grants.gov, the applicant may also contact 

support@grants.gov.

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

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

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

exceptionally useful sources of information, Applicant Actions and Applicant 

Resources, which applicants are advised to review.

(4) 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.

(5) Applicants should pay close attention to the guidance 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.
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(6) 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.

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

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

of receipt and an application tracking number. If an applicant does not see this 

confirmation and tracking number, the application has not been received. After 

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

it may be “validated” or “rejected with errors”. To know whether the 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 the application before 

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

be forwarded to NIST by Grants.gov.

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

help ensure the application is received on time.

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

Grants.gov. Applicants may sign up on Grants.gov to receive amendments by e-mail 

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

V. Application Review Information

1. Evaluation Criteria

Applications will be evaluated per the following evaluation criteria. 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. 

Evaluation 

Criteria

Maximum 

Points Weight

Total

Technical

Merit 10 4 40

Project 

Execution 10 2 20

Qualifications 10 4 40

Maximum

score:

100
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For example, an application receiving criterion scores of 8, 7, and 10, (respectively) 

would receive a total score of 86 according to the following calculation: (8x4) + (7x2) + 

(10x4) = 86. 

a. Technical Merit: Reviewers will evaluate:

(1) The extent to which the proposal demonstrates a clear understanding of the 

program goals.

(2) The extent to which the approach is cohesive, comprehensive, innovative, 

feasible, and likely to achieve the NOFO’s stated objectives.

(3) The likelihood and extent to which the proposal will make a positive impact on 

public safety and the R&D community.

(4) The extent to which the outputs will be available, traceable, and extendable for

the public safety and R&D communities.

b. Project Execution: Reviewers will evaluate:

(1) The feasibility and appropriateness of the proposed goals, milestones, timelines, 

and methods that would be used to assess project performance.

(2) The appropriateness and cost effectiveness of the budget with respect to 

executing the proposed project.

(3) The degree to which the budget reflects a clear understanding of the objectives 

of the NOFO.

c. Qualifications: Reviewers will evaluate:

(1) The relevance and the appropriateness of the qualifications and experience of 

the key personnel and technical experts participating in the project, and the 

likelihood that they will be able to fulfill the objectives of this NOFO.

(2) The applicant’s access to the necessary staff, equipment, facilities, support, and 

resources to accomplish the proposed objectives. 

(3) Letters of Commitment for the appropriateness of the partnership, the relevance 

of their expertise, and their ability to contribute effectively to the project. 

2. Selection Factors 

The Selecting Official, the Chief of the PSCR Division, shall generally select and 

recommend the most meritorious applications for an award based upon the final 

adjectival ratings prepared by the Evaluation Panel and one or more of the seven (7)

selection factors listed 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:
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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.

f. Diversity of entity types within the PSCR R&D portfolio.

g. Geographic diversity within the PSCR R&D portfolio.

3. Review and Selection Process

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

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

and considered by Federal employees, or non-Federal personnel who have entered into 

conflict of interest and confidentiality agreements covering such information, when 

applicable.

a. Initial Administrative Review of Applications. Applications received by the 

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

to this NOFO and to the scope of the stated program objectives (see Section I. of 

this NOFO). Applications determined to be ineligible, incomplete, and/or 

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

discretion, may continue the review process for an application that is missing nonsubstantive information, the absence of which may easily be rectified during the 

review process.

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

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

reviews in accordance with the review and selection process below: 

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

employees or non-Federal personnel, with appropriate professional and technical 

expertise relating to the topics covered in this NOFO, will evaluate and score 

each eligible, complete, and responsive application based on the evaluation 

criteria (see Section V.1. of this NOFO). While every application will have at least 

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

specialized expertise is needed to evaluate an application. During the review 

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

will be determined on an individual basis. Reviewers may consult as a panel with 

Federal or non-Federal subject-matter experts to seek clarification or explanation 

of specific issues identified during the initial review process. Applications will be 

ranked by averaging the scores of all reviewers for each application. 
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(2) 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 (see Section V.2. of this NOFO) for further 

deliberation, considering: 

(a) All application materials. 

(b) Results of the merit reviewers’ evaluations, including scores and written 

assessments.

(c) Any relevant publicly available information. 

(d) Any clarifying information obtained from the applicants.

The adjectival ratings are:

Outstanding

Very Good 

Average

Deficient

For decision-making purposes, applications receiving the same adjectival rating 

will be considered to have an equivalent ranking, although their review scores 

may not necessarily be the same. 

(3) Selection. The Selecting Official, 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 seven (7) selection factors described in Section V.2. of this NOFO. 

The Selecting Official retains the discretion to select and recommend an 

application out of order (i.e., from a lower adjectival category) based on one or 

more of the selection factors.

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

to receive an award, which may include requesting that the applicant removes 

certain costs. Additionally, NIST may request that a successful applicant modify 

objectives or work plans and provide supplemental information required by the 

agency prior to award. 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. 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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c. Federal Awarding Agency Review of Risk Posed by Applicants. After 

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

Management Division (GMD) performs pre-award risk assessments in accordance 

with 2 C.F.R. § 200.205, 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 $150,000), NIST GMD will 

review and consider the publicly available information about that applicant in the 

Federal Awardee Performance and Integrity Information System (FAPIIS). An 

applicant may, at its discretion, review and comment on information about itself 

previously entered into FAPIIS by a Federal awarding agency. As part of its review 

of risk posed by applicants, NIST GMD will consider any comments made by the 

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

business ethics, and record of performance under Federal awards. Upon completion 

of the pre-award risk assessment, the Grants Officer will make a responsibility 

determination concerning whether the applicant is qualified to receive the subject 

award and, if so, whether appropriate specific conditions that correspond to the 

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

4. Anticipated Announcement and Award Date

Review of Applications, selection of the successful applicant, and award processing is 

expected to be completed by February 2019. The earliest start date for an award under 

this NOFO is expected to be March 2019.

5. Additional Information

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

who conduct project work at NIST will be expected to be 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.

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

by e-mail and will have the opportunity to receive a debriefing after the opportunity is 

officially closed. 

c. Retention of Unsuccessful Applications. Unsuccessful applications will be 

retained in accordance with the General Record Schedule 1.2/021.
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VI. Federal Award Administration Information

1. Federal Award Notices

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

2. Administrative and National Policy Requirements

a. Uniform Administrative Requirements, Cost Principles and Audit 

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

adopted Uniform Administrative Requirements, Cost Principles, and Audit 

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

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

b. Department of Commerce Financial Assistance Standard Terms and 

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

the Financial Assistance Standard Terms and Conditions in effect on the date of 

award. The current version, dated March 31, 2017, is accessible at 

http://go.usa.gov/xXRxK. Refer to Section VII. of this NOFO, Federal Awarding 

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

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

the Pre-Award Notification Requirements for Grants and Cooperative Agreements 

dated December 30, 2014 (79 FR 78390), accessible at http://go.usa.gov/hKkR. 

Refer to Section VII. of this NOFO, Federal Awarding Agency Contacts, Grant Rules 

and Regulations, if you need more information.

d. Limitation of Liability. In no event will NIST or the Department of Commerce 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.

e. Collaborations with NIST Employees. If an applicant proposes collaboration with 

NIST, the statement of work should include a statement of this intention, a 

description of the collaboration, and prominently identify the NIST employee(s) 

involved, if known. Any collaboration by a NIST employee must be approved by 

appropriate NIST management and is at the sole discretion of NIST. Prior to 

beginning the merit review process, NIST will verify the approval of the proposed 

collaboration. Any unapproved collaboration will be stricken from the application 

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

approved by appropriate NIST management will not make an application more or 

less favorable in the competitive process.

f. Use of NIST Intellectual Property. If the applicant anticipates using any NISTowned intellectual property to carry out the work proposed, the applicant should 
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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 March 31, 2017, accessible at http://go.usa.gov/xXRxK.

Any use of NIST-owned intellectual property by a recipient of an award under this 

announcement is at the sole discretion of NIST and will be negotiated on a case-bycase 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 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 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 from or about human subjects, must satisfy the 

requirements of the Common Rule for the Protection of Human Subjects (“Common 

Rule”), codified for the Department of Commerce at 15 C.F.R. Part 27. Research 

activities involving human subjects that fall within one or more of the classes of 

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

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

includes research activities on these subjects must be in compliance with all 

applicable statutory requirements imposed upon the Department of Health and 

Human Services (DHHS) and other Federal agencies, all regulations, policies and 

guidance adopted by DHHS, the Food and Drug Administration (FDA), and other 

Federal agencies on these topics, and all Executive Orders and Presidential 

statements of policy on applicable topics. (Regulatory Resources: 

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

regulations, but may not include all applicable regulations and policies).

NIST uses the following Common Rule definitions for research and human subjects 

research:

Research: A systematic investigation, including research development, testing and 

evaluation, designed to develop or contribute to generalizable knowledge. Activities 

which meet this definition constitute research for purposes of this policy, whether or 
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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 obtains data through intervention or 

interaction with the individual or identifiable private information. 

(1) Intervention includes both physical procedures by which data 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 which 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. 

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 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 OHRPissued 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 Human Subjects Protection Office (HSPO) 
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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 

HSPO) under 15 C.F.R. § 27.112 (Review by Institution). If the NIST HSPO 

determines that an application includes research activities that potentially involve 

human subjects, the applicant will be required to provide additional information to 

NIST for review and approval. The documents required for funded proposals are 

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

proposal review process; however, the Grants Officer may allow final versions of 

certain required documents to be produced at an appropriate designated time 

post-award. Research involving human subjects may not start until the NIST 

Grants Officer issues an award explicitly authorizing such research. In addition, 

all amendments, modifications, or changes to approved research and requests 

for continuing review and closure will be reviewed by the NIST HSPO. 

3) Required documents for proposal review. All applications involving human 

subject 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:

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

additional documentation as may be deemed necessary by NIST to review 

and/or support a determination that the activity/task in the application is 

not research as defined in the Common Rule. 

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

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

determination documentation must be provided to NIST. The applicant 

 8 Conducting an “administrative review” means that the NIST HSPO will review and verify the performing 

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

In addition, for non-exempt human subjects research, the NIST HSPO will review and confirm that the 

research and performing institution(s) are in compliance with 15 C.F.R. Part 27, which means HSPO 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 an appropriate continuing review at least annually.
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participant(s) is not required to establish a relationship with a cognizant 

IRB if they do not have one.

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

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

under the Common Rule in the applicable NIST financial assistance program or

project.

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

be research and involves human subjects, but is determined to be not human 

subjects research (or research not involving human subjects) under the 

Common Rule, the following information may be requested for that 

activity/task:

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

additional documentation as may be deemed necessary by NIST to review 

and/or support a determination that the activity/task in the application is 

not research as defined in the Common Rule. 

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

determination that the activity/task is research not involving human 

subjects, a copy of that determination documentation must be provided to 

NIST. The applicant participant(s) is not required to establish a 

relationship with a cognizant IRB if they do not have one.

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

NIST to include exempt research activities, 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(b), (c) and (d)):

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

conducted.

(2) The name(s) of the institution(s) providing the biological materials or data 

from human subjects.

(3) 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 pre-existing samples (i.e., will proposed research collect only 

information without personal identifiable information, will biological 

materials or data be de-identified and when and by whom was the deidentification performed, how were the materials or data originally 

collected).
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(4) 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.

(5) Any additional clarifying documentation that NIST may deem necessary in 

order to make a determination whether the activity/task or use of biological 

materials or data from human subjects is exempt under the Common 

Rule.

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

research activities (exempt or non-exempt) involving human subjects, 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:

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

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

registration number(s).

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

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

research activity/task, linked to the cognizant IRB.

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

involving human subjects.

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

If the application includes research activities involving human subjects to be 

performed in the first year of an award, additional documentation may be 

requested by NIST during pre-award review for those performers, and may 

include the following for those research activities: 

(1) A 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 IRBrequired interim reporting or continuing review requirements.

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

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

etc.) conflict-of-interest letters, or special training requirements.
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(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-offunding letter indicating that no other federal funds will be used to support 

the tasks proposed under the proposed research or ongoing project

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

issued, a draft of the proposed protocol.

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

review process to perform the NIST administrative review of research 

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

Institution)).

This clause reflects the existing NIST policy and requirements for Research Involving 

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

policy current at time of award may be incorporated into the award.

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

incorporated into the award.

For more information regarding research projects involving human subjects, contact 

Anne Andrews, Director, NIST Human Subjects Protection Office (e-mail: 

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

3. Reporting

a. Reporting Requirements. The following reporting requirements described in 

Sections A.01, Reporting Requirements, of the Department of Commerce Financial 

Assistance Standard Terms and Conditions dated March 31, 2017, accessible at 

http://go.usa.gov/xXRxK, apply to awards in this program:

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

Federal Financial Report on a quarterly basis for the periods ending March 31, 

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

within 30 days after the end of the reporting period 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.

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

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

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

June 30, September 30, and December 31 of each year. Technical progress 

reports shall contain information as prescribed in 2 C.F.R. § 200.328 
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(http://go.usa.gov/xkVgP) and Department of Commerce Standard Terms and 

Conditions, Section A.01 (https://go.usa.gov/xXRxK). Reports will be due within 

30 days after the end of the reporting period. A final technical report 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.2.a.(12) of this NOFO.

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

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

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

property and patent reports.

(4) Recipient Integrity and Performance Matters. In accordance with section 872 

of Public Law 110-417 (as amended; see 41 U.S.C. 2313), if the total value of a 

recipient’s currently active grants, cooperative agreements, and procurement 

contracts from all Federal awarding agencies exceeds $10,000,000 for any 

period of time during the period of performance of an award made under this 

NOFO, then the recipient shall be subject to the requirements specified in 

Appendix XII to 2 C.F.R. Part 200, http://go.usa.gov/cTBwC, for maintaining the 

currency of information reported to SAM that is made available in FAPIIS about 

certain civil, criminal, or administrative proceedings involving the recipient.

b. Audit Requirements. The Department of Commerce Financial Assistance 

Standard Terms and Conditions, Section D.01.b.1., and 2 C.F.R. Part 200 Subpart 

F, adopted by the Department of Commerce through 2 C.F.R. § 1327.101, require 

any non-Federal entity (e.g., including non-profit institutions of higher education and 

non-profit organizations) that expends Federal awards of $750,000 or more in the 

recipient’s fiscal year to conduct a single or program-specific audit in accordance 

with the requirements set out in the Subpart. Additionally, unless otherwise specified 

in the terms and conditions of the award, entities that are not subject to Subpart F of 

2 C.F.R. Part 200 (e.g., for-profit commercial entities) that expend $750,000 or more 

in DOC funds during their fiscal year must have an audit conducted for that year in 

accordance with program guidance. 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 (Public Law No. 109-282). In general, 
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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.

4. Award Management and Public Engagement

Publication and Technology Transfer. Each award recipient is expected to present the 

results of their work in appropriate professional literature and conferences in order to 

make the findings broadly available. Data supporting any findings or conclusions shall 

be made available in a manner consistent with the Data Management Plan. Award 

recipients are expected to fulfill their obligations consistent with Section C.03 Intellectual 

Property Rights of the Department of Commerce Financial Assistance Standard Terms 

and Conditions. See Section VI.2.b. of this NOFO.

VII. Federal Awarding Agency Contacts

Questions should be directed to the following:

Subject Area Point of Contact

Programmatic and Technical Questions E-mail: pscr@nist.gov with ‘iAxis’ in 

subject line

Technical Assistance with Grants.gov 

Submissions

Leon Sampson

Phone: 301-975-3086

Fax: 301-975-6368

E-mail: grants@nist.gov

Or

Grants.gov

Phone: 800-518-4726

E-mail: support@grants.gov 

Grant Rules and Regulations Scott McNichol

Phone: 303-497-3444

Fax: 303-497-5470

E-mail: scott.mcnichol@nist.gov

VIII. Other Information

1. Personal and Business Information
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The applicant acknowledges and understands that information and data contained in 

applications for financial assistance, as well as information and data contained in 

financial, performance and other reports submitted by applicants, may be used by the 

Department of Commerce in conducting reviews and evaluations of its financial 

assistance programs. For this purpose, applicant information and data may be 

accessed, reviewed and evaluated by Department of Commerce employees, other 

Federal employees, and also by Federal agents and contractors, and/or by non-Federal 

personnel, all of whom enter into appropriate conflict of interest and confidentiality

agreements covering the use of such information. As may be provided in the terms and 

conditions of a specific financial assistance award, applicants are expected to support 

program reviews and evaluations by submitting required financial and performance 

information and data in an accurate and timely manner, and by cooperating with 

Department of Commerce and external program evaluators. In accordance with 2 

C.F.R. § 200.303(e), applicants are reminded that they must take reasonable measures 

to safeguard protected personally identifiable information and other confidential or 

sensitive personal or business information created or obtained in connection with a 

Department of Commerce financial assistance award.

In addition, Department of Commerce regulations implementing the Freedom of 

Information Act (FOIA), 5 U.S.C. Sec. 552, are found at 15 C.F.R. Part 4, Public 

Information. These regulations set forth rules for the Department regarding making 

requested materials, information, and records publicly available under the FOIA. 

Applications submitted in response to this Federal Funding Opportunity may be subject 

to requests for release under the Act. If an application contains information or data that 

the applicant deems to be confidential commercial information that should be exempt 

from disclosure under FOIA, that information should be identified, bracketed, and 

marked as Privileged, Confidential, Commercial or Financial Information. In accordance 

with 15 CFR § 4.9, the Department of Commerce will protect from disclosure 

confidential business information contained in financial assistance applications and 

other documentation provided by applicants to the extent permitted by law.

2. Public Website, and Frequently Asked Questions (FAQS)

NIST PSCR has a public website (pscr.gov) that provides information pertaining to this 

Funding Opportunity9. NIST anticipates that a “Frequently Asked Questions” section or 

other resource materials will be maintained and updated on the website as needed to 

provide additional guidance and clarifying information that may arise related to this 

Funding Opportunity. Any amendments to this NOFO will be announced through 

Grants.gov.

 9 Refer to Section VII. of this NOFO, Federal Awarding Agency Contacts, Programmatic and Technical 

Questions, if more information is needed.
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Applicants must submit all questions pertaining to this funding opportunity in writing to 

pscr@nist.gov with ‘iAxis’ in the subject line. Questions submitted to NIST may be 

posted on pscr.gov.