2012 ncnr ffo - final.pdf

November 30, 2011

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY (FFO)

National Institute of Standards and Technology Center for Neutron Research (NCNR)

Comprehensive Grant Program

EXECUTIVE SUMMARY

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

States Department of Commerce (DoC)

• Funding Opportunity Title: NIST Center for Neutron Research (NCNR) Comprehensive Grant Program

• Announcement Type: Initial

• Funding Opportunity Number: 2012-NIST-NCNR-01

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

Engineering Research and Standards

• Dates: All proposals, paper and electronic, must be received no later than 3:00 p.m.

Eastern Time on Thursday, March 15, 2012. Proposals received after this deadline will not be reviewed or considered. Review, selection, and award processing is expected to be completed in June 2012. The earliest anticipated start date for awards under this FFO is expected to be July 1, 2012.

• Proposal Submission Address:

- Electronic Submission: www.grants.gov

- Ms. Tanya Burke Paper Submission:

National Institute of Standards and Technology NCNR Comprehensive Grant Program 100 Bureau Drive, Mail Stop 6100 Gaithersburg, MD 20899-6100

Phone: 301-975-4711

• Funding Opportunity Description: The NCNR is soliciting proposals from eligible proposers to support research involving Neutron Research and Spectroscopy specifically aimed at assisting visiting researchers at NCNR, developing new instrumentation for Neutron Research, conducting collaborative research with NIST scientists, and to conduct other outreach and educational activities that advance the use of neutrons by U.S.

academia and industrial scientists.

• Total Amount to be Awarded: Approximately $3,000,000 to fund the first year of new multi-year awards.

http://www.grants.gov/

• Anticipated Amounts: NIST anticipates funding one (1) - three (3) projects for up to five

(5) years in the range of approximately $1,000,000 - $3,000,000 per year, consistent with the multi-year funding policy described in Section II. Award Information, of this FFO.

• Funding Instrument: Cooperative agreement.

• Who is Eligible: Accredited institutions of higher education; hospitals; non-profit organizations; commercial organizations; state, local and Indian tribal governments; foreign governments; organizations under the jurisdiction of foreign governments; and international organizations.

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

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

The statutory authority for the NCNR Comprehensive Grant Program is 15 U.S.C. § 272 (b) and (c).

Program Description: The NCNR Comprehensive Grant Program provides funding to eligible proposers to support research involving Neutron Research and Spectroscopy specifically aimed at assisting visiting researchers at the NCNR, developing new instrumentation for Neutron Research, conducting collaborative research with NIST scientists, and to conduct other outreach and educational activities that advance the use of neutrons by U.S. academia and industrial scientists. This will entail stationing scientific staff at the NCNR who, in collaboration with NIST and visiting scientists, advance these objectives.

Proposers and team members must possess the education, experience, and training to pursue and advance the field of Neutron Scattering efficiently. In addition, the proposer and team members must possess a demonstrated record of excellence in research involving neutron scattering methods.

Examples of jointly-pursued activities under previous cooperative agreements include the integration of expert academia research and technical staff to assist neutron users at the NCNR in conducting their scientific research on various neutron instruments, the design and development of state-of-the-art double-focusing neutron monochromator for use on MACS (the Multi-Analyzer Crystal Spectrometer), studies of advanced applications of neutron residual stress methods, the design and development of a neutron phase space transformation chopper for use on the High-Flux Backscattering Spectrometer (HFBS), and computer modeling studies of neutron scattering measurements from biomolecular systems.

More information about the NCNR is available at www.ncnr.nist.gov.

II. Award Information

1. Funding Instrument

The funding instrument that will be used is a cooperative agreement. The nature of NIST’s http://www.ncnr.nist.gov/

“substantial involvement” will generally be collaboration between NCNR and the recipient scientist in carrying out the scope of work, or specifying direction or redirection of the scope of work due to inter-relationships with other projects requiring such cooperation. Additional forms of substantial involvement that may arise are described in the DoC Grants and Cooperative Agreements Interim Manual, which is available at http://www.osec.doc.gov/oam/grants_management/policy/doc_grants_manual/default.htm.

2. Multi-Year Funding Policy

When a proposal for a multi-year award is approved, funding will usually be provided for only the first year of the program. If a project is selected for funding, NIST has no obligation to provide any additional funding in connection with that award. Continuation of an award to increase funding or extend the period of performance is at the sole discretion of NIST.

Continued funding will be contingent upon satisfactory performance, continued relevance to the mission and priorities of the NCNR, and the availability of funds.

3. Funding Availability

NIST plans that a total of $3,000,000 may be made available in FY 2012 to award one (1) – three (3) multi-year awards to eligible proposers for the first year. New awards are expected to range from approximately $1,000,000 to $3,000,000 and with project performance periods of up to five (5) years, consistent with the multi-year funding policy described in Section II. Award Information of this FFO. Therefore, proposers may propose multi-year projects for up to five (5) years at no more than $3,000,000 per year.

III. Eligibility Information

1. Eligible Proposers

Eligible proposers are accredited institutions of higher education; hospitals; non-profit organizations; commercial organizations; state, local and Indian tribal governments; foreign governments; organizations under the jurisdiction of foreign governments; and international organizations.

2. Cost Sharing or Matching

The NCNR Comprehensive Grant Program does not require cost sharing.

3. Other

Pre-Proposals. NIST is not accepting pre-proposals or white papers under the NCNR Comprehensive Grant Program.

IV. Application/Proposal and Submission Information

1. Address to Request Application Package

The standard application package, consisting of the standard forms, i.e., SF-424, SF-424A, SF- 424B, SF-LLL, and the CD-511, is available at www.grants.gov.

http://www.osec.doc.gov/oam/grants_management/policy/doc_grants_manual/default.htm

For proposers without Internet access, the standard application package may be requested by contacting:

Ms. Tanya Burke National Institute of Standards and Technology NCNR Comprehensive Grant Program 100 Bureau Drive, Mail Stop 6100 Gaithersburg, MD 20899-6100

Phone: 301-975-4711

2. Content and Format of Application/Proposal Submission

a. Required Forms and Documents

(1) SF-424, Application for Federal Assistance. The SF-424 must be signed by an authorized representative of the proposer organization. The FFO number 2012-NIST- NCNR-01 must be identified in item 12 of the SF-424. 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 of no more than five (5) 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 responsive to the program description (see Section I. of this FFO) and the evaluation criteria (see Section V.I. of this FFO). It should include an in-depth description of the project scope, its goals, the methods to be used, its schedule, the personnel working on the project and their qualifications, and the institutional capabilities of the proposer.

(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. Successful proposers will be required to obtain such a rate.

If submitting the proposal electronically via Grants.gov, 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. Proposers 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 indicating a proposal is received does not provide information about whether attachments have been received.

If submitting a proposal by paper, all of the required proposal documents should be submitted in the order listed above.

b. Proposal Format

(1) Double-sided copy. For paper submissions, print on both sides of the paper (front to back counts as two (2) pages).

(2) E-mail submissions. Will not be accepted.

(3) Facsimile submissions (fax). Will not be accepted.

(4) Figures, graphs, images, and pictures. Should be of a size that is easily readable or viewable and may be landscape orientation.

(5) Font. Easy to read font (10-point minimum). Smaller type may be used in figures and tables but must be clearly legible.

(6) Line spacing. Single.

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

(8) Number of paper copies. For paper submissions, one (1) signed stapled original and two (2) stapled copies. If original proposal is in color, the two (2) copies must also be in color. If submitting electronically via Grants.gov, paper copies are not required.

(9) Page layout. Portrait orientation only (except figures, graphs, and pictures (see IV.2.b.(4)).

(10) Page Limit. Twenty-five (25) pages.

Page limit includes: Table of contents (if included), Technical Proposal, including Executive Summary, management information and qualifications, resumes, figures, graphs, tables, images, and pictures.

Page limit excludes: SF-424, Application for Federal Assistance; SF-424A, Budget Information – Non-Construction Programs; SF-424B, Assurances – Non-Construction Programs; SF-LLL, Disclosure of Lobbying Activities; CD-511, Certification Regarding Lobbying; Budget Narrative; and Indirect Cost Rate Agreement.

(11) Page numbering. Number pages sequentially.

(12) Paper size. 21.6 by 27.9 centimeters (8 ½ by 11 inches).

(13) Proposal language. English.

(14) Staple paper submission. For paper submissions, staple the original signed proposal and each of the two (2) copies securely with one (1) staple in the upper left-hand corner.

(15) Typed document. All proposals, including forms, must be typed.

3. Submission Dates and Times

All proposals must be received by NIST no later than 3:00 p.m. Eastern Time, on Thursday, March 15, 2012. This deadline applies to all modes of proposal submission, including courier services, express mailing, and electronic.

Proposals not received by the specified due date and time will not be considered and will be returned without review. NIST determines whether the proposals submitted by paper have been timely received by the deadline by the date and time receipt they are physically received by NIST at its Gaithersburg, Maryland campus. For electronic submissions, NIST will consider the date and time stamped on the validation generated by www.grants.gov as the official submission time.

NIST strongly recommends that proposers do not wait until the last minute to submit a proposal.

NIST will not make any allowances for late submissions, including but not limited to incomplete Grants.gov registration, delays in mail delivery caused by Federal Government security screening for U.S. Postal Service mail, or for delays by guaranteed express mailing and/or couriers. To avoid any potential processing backlogs due to last minute Grants.gov registrations, proposers are highly encouraged to start their Grants.gov registration process at least four (4) weeks prior to the proposal due date.

Important: All proposers, both electronic and paper submitters, should be aware that adequate time must be factored into proposers’ schedules for delivery of their proposal. Submitters of electronic proposals are advised that volume on Grants.gov may be extremely heavy on the deadline date, and if Grants.gov is unable to accept proposals electronically in a timely fashion, proposers are encouraged to exercise their option to submit proposals in paper format.

Submitters of paper proposals should allow adequate time to ensure a paper proposal will be received on time, taking into account that Federal Government security screening for U.S.

Postal Service mail may delay receipt of mail for up to two (2) weeks and that guaranteed express mailings and/or couriers are not always able to fulfill their guarantees.

In the event of a natural disaster that interferes with timely proposal submissions, NIST may issue an amendment to this FFO to change the proposal submission due date.

4. Executive Order 12372 (Intergovernmental Review of Federal Programs)

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

5. Funding Restrictions

No special restrictions apply.

6. Other Submission Requirements

a. Proposals may be submitted by paper or electronically.

(1) Paper proposals must be submitted in triplicate (an original and two copies) and sent to:

Ms. Tanya Burke National Institute of Standards and Technology NCNR Comprehensive Grant Program 100 Bureau Drive, Mail Stop 6100 Gaithersburg, MD 20899-6100

Phone: 301-975-4711

(2) Electronic proposals must be submitted via Grants.gov at www.grants.gov.

Submitters of electronic proposals should carefully follow specific Grants.gov instructions to ensure the attachments will be accepted by the Grants.gov system. A receipt from Grants.gov indicating a proposal is received does not provide information about whether attachments have been received. For further information or questions regarding applying electronically for the 2012-NIST-NCNR-01 announcement, contact Christopher Hunton by phone at 301-975-5718 or by e-mail at christopher.hunton@nist.gov.

Proposers are strongly encouraged to start early and not wait until the approaching due date before logging on and reviewing the instructions for submitting a proposal 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. Proposers must have a Dun and Bradstreet Data Universal Numbering System (DUNS) number and must be registered with the Federal Central Contractor Registry and with a Credential Provider, as explained on the Grants.gov Web site. After registering, it may take several days or longer from the initial log-on before a new Grants.gov system user can submit a proposal. Only authorized individual(s) will be able to submit the proposal, and the system may need time to process a submitted proposal. Proposers should save and print the proof of submission they receive from Grants.gov. If problems occur while using Grants.gov, the proposer 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.

Information essential to successful submission of proposals on the Grants.gov system is detailed in the For Applicants section found in red on the left side of the www.grants.gov home page, and all potential proposers should pay close attention to the information contained therein. The All About Grants, Applicant FAQs, and Submit Application FAQs sections found under the Applicant Resources option are particularly important.

Refer to important information in Section IV.3. Submission Dates and Times, to help ensure your proposal is received on time.

b. Any amendments to this FFO will be announced through Grants.gov. Proposers can sign up for Grants.gov FFO amendments, while proposers without access to the Internet may call Ms. Tanya Burke at 301-975-4711, to request copies.

mailto:christopher.hunton@nist.gov mailto:support@grants.gov

V. Application/Proposal Review Information

1. Evaluation Criteria

The evaluation criteria that will use in evaluating the proposals are as follows:

a. Qualifications and experience of the Principal Investigator in neutron scattering research, as demonstrated by extensive publications and invited lectures in condensed matter physics, chemistry, material science, macromolecular science or related fields. (0-10 percent)

b. Qualifications and experience of the proposer’s proposed staff in neutron scattering research or in related scientific or engineering areas that are key to the activities contained in the proposal, as demonstrated by resumes of staff proposed for this program. (0-30 percent)

c. Quality of the proposed research and development plan and its potential impact on neutron scattering science, particularly in the areas of macromolecular science, condensed matter physics, and chemistry (0-20 percent)

d. Quality of the plan in terms of providing research assistance to U.S. neutron researchers using the NCNR facilities, including related training, education, and outreach. (0-30 percent)

e. Quality of the plan to integrate the proposer’s staff effectively into the activities of the NCNR facility, including establishing robust communications between the proposer and the NCNR.

(0-10 percent)

2. Selection Factors

The Selecting Official shall select proposals for award based upon the rank order of the proposals, and may select a proposal out of rank based on one or more of the following selection factors:

a. The availability of Federal funds.

b. Whether the project duplicates other projects funded by DoC or by other Federal agencies.

c. Proposer’s performance under current or previous Federal financial assistance awards.

3. Review and Selection Process

a. Initial Administrative Review of Proposals. An initial review of timely received proposals will be conducted to determine eligibility, completeness, and responsiveness to this FFO and the scope of the stated program objectives. Proposals determined to be ineligible, incomplete, and/or non-responsive based on this FFO may be eliminated from further review.

b. Full Review of Eligible, Complete, and Responsive Proposals. Proposals determined to be eligible, complete, and responsive will proceed for full reviews in accordance with the review and selection process below:

Each NCNR Comprehensive Grant Program proposal will be reviewed by at least four independent, objective NIST scientists and in some cases other Federal employees, who are knowledgeable in the subject matter of this FFO and its objectives and who are able to conduct a review based on the evaluation criteria (see Section V.1. of this FFO). Based on the average of the reviewers’ scores, a rank order will be prepared and provided to the Selecting Official for further consideration.

The Selecting Official, who is the NCNR Director, will 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 proposers that have been selected to receive awards, which may include requesting that the proposer remove certain costs. Additionally, NIST may request that the proposer modify objectives or work plans and provide supplemental information required by the agency prior to award. NIST also reserves the right to reject a proposal where information is uncovered that raises a reasonable doubt as to the responsibility of the proposer. NIST may select part, some, all, or none of the proposals. The final approval of selected proposals and issuance of awards will be by the NIST Grants Officer. The award decisions of the NIST Grants Officer are final.

4. Anticipated Announcement and Award Date

Review, selection, and award processing is expected to be completed in June 2012. The earliest anticipated start date for awards made under this FFO is expected to be July 1, 2012.

5. Additional Information

a. Proposal Replacement Pages. Proposers may not submit replacement pages and/or missing documents once a proposal has been submitted. Any revisions must be made by submission of a new proposal that must be received by NIST by the submission deadline.

b. Notification to Unsuccessful Proposers. Unsuccessful proposers will be notified in writing.

c. Retention of Unsuccessful Proposals. One (1) of each non-selected proposal will be retained for three (3) years for record keeping purposes and the other two (2) copies will be destroyed. After three (3) years the remaining copy will be destroyed.

VI. Award Administration Information

1. Award Notices. Successful proposers will receive an award from the NIST Grants Officer.

The award cover page, i.e., CD-450, Financial Assistance Award is available at http://ocio.os.doc.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/content/dev01_ 002513.pdf and the DoC Financial Assistance Standard Terms and Conditions (March 2008), which may be updated by the time of award, are available at http://www.osec.doc.gov/oam/archive/docs/GRANTS/DOC%20STCsMAR08Rev.pdf.

http://ocio.os.doc.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/content/dev01_002513.pdf http://ocio.os.doc.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/content/dev01_002513.pdf http://www.osec.doc.gov/oam/archive/docs/GRANTS/DOC%20STCsMAR08Rev.pdf

2. Administrative and National Policy Requirements

a. DoC Pre-Award Notification Requirements. The DoC Pre-Award Notification Requirements for Grants and Cooperative Agreements, which are contained in the Federal Register notice of February 11, 2008 (73 FR 7696), are applicable to this FFO and are available at http://www2.ntia.doc.gov/files/DOC_pre-award_notification_requirements_73_FR_7696.pdf.

b. Employer/Taxpayer Identification Number (EIN/TIN), Dun and Bradstreet Data Universal Numbering System (DUNS), and Central Contractor Registration (CCR). All proposers for Federal financial assistance are required to obtain a universal identifier in the form of DUNS number and maintain a current registration in the CCR database. On the form SF-424 items 8.b. and 8.c., the proposer’s 9-digit EIN/TIN and 9-digit DUNS number must be consistent with the information in CCR (www.ccr.gov) and Automated Standard Application for Payment System (ASAP). For complex organizations with multiple EIN/TIN and DUNS numbers, the EIN/TIN and DUNS numbers MUST be the numbers for the applying organization. Organizations that provide incorrect/inconsistent EIN/TIN and DUNS numbers may experience significant delays in receiving funds if their proposal is selected for funding. Confirm that the EIN/TIN and DUNS number are consistent with the information on the CCR and ASAP.

Per the requirements of 2 C.F.R. Part 25, each proposer must:

(1) Be registered in the CCR before submitting a proposal;

(2) Maintain an active CCR registration with current information at all times during which it has an active Federal award or a proposal under consideration by an agency; and

(3) Provide its DUNS number in each application or proposal it submits to the agency.

See also the Federal Register notice published on September 14, 2010, at 75 FR 55671.

c. Collaborations with NIST Employees. All proposals should include a description of any work proposed to be performed by an entity other than the proposer, and the cost of such work should ordinarily be included in the budget.

If a proposer 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 proposal prior to the merit review.

d. Use of NIST Intellectual Property. If the proposer anticipates using any NIST-owned intellectual property to carry out the work proposed, the proposer 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 proposer intends to use NIST-owned intellectual property, the proposer 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, 15 C.F.R. § 14.36, and in Section B.21 of the DoC Pre-Award Notification http://www2.ntia.doc.gov/files/DOC_pre-award_notification_requirements_73_FR_7696.pdf http://www2.ntia.doc.gov/files/DOC_pre-award_notification_requirements_73_FR_7696.pdf http://www.ccr.gov/

Requirements, 73 FR 7696 (February 11, 2008). Questions about these requirements may be directed to the Chief Counsel for NIST, (301) 975-2803.

Any use of NIST-owned intellectual property by a proposer is at the sole discretion of NIST and will be negotiated on a case-by-case basis if a project is deemed meritorious. The proposer 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.

e. Research Projects Involving Human Subjects, Human Tissue, Data or Recordings

Involving Human Subjects. Any application that includes research involving human subjects, human tissue/cells, data or recordings involving human subjects must meet 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. In addition, any such application that includes research 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 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 research involves human subjects. If NIST determines that your research project involves human subjects, you 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 under the award until the NIST Grants Officer issues written approval. Retroactive approvals are not permitted.

NIST will accept applications that include research activities involving human subjects that have been or will be approved by an Institutional Review Board (IRB) currently registered with the Office for Human Research Protections (OHRP) within the DHHS and that will be performed by entities possessing a currently valid Federal wide Assurance (FWA) on file from OHRP that is appropriately linked to the cognizant IRB for the protocol. NIST will not issue a single project assurance (SPA) for any IRB reviewing any human subjects protocol proposed to NIST. Information regarding how to apply for an FWA and register and IRB with OHRP can be found at http://www.hhs.gov/ohrp/assurances/index.html.

Generally, NIST does not fund research involving human subjects in foreign countries.

NIST will consider, however, the use of preexisting tissue, cells, or data from a foreign source on a limited basis if all of the following criteria are satisfied:

(1) the scientific source is considered unique,

(2) an equivalent source is unavailable within the United States,

(3) an alternative approach is not scientifically of equivalent merit, and

(4) the specific use qualifies for an exemption under the Common Rule.

http://www.hhs.gov/ohrp/assurances/index.html

Any award issued by NIST is required to adhere to all Presidential policies, statutes, guidelines and regulations regarding the use of human embryonic stem cells. The DoC follows the NIH Guidelines by supporting and conducting research using only human embryonic stem cell lines that have been approved by NIH in accordance with the NIH Guidelines. Detailed information regarding NIH Guidelines for stem cells is located on the NIH Stem Cell Information website: http://stemcells.nih.gov. The DoC will not support or conduct any type of research that the NIH Guidelines prohibit NIH from funding. The DoC will review research using human embryonic stem cell lines that it supports and conducts in accordance with the Common Rule and NIST implementing procedures, as appropriate.

Any request to support or conduct research using human embryonic stem cell lines not currently approved by the NIH, will require that the owner, deriver or licensee of the human embryonic stem cell line apply for and receive approval of the registration of the cell line through the established NIH application procedures:

http://hescregapp.od.nih.gov/NIH_Form_2890_Login.htm. Due to the timing uncertainty associated with establishing an embryonic stem cell line in the NIH registry, the use of existing human embryonic stem cell lines in the NIH Embryonic Stem Cell Registry may be preferred by applicants or current award recipients. The NIH Embryonic Stem Cell Registry is located at: http://grants.nih.gov/stem_cells/registry/current.htm.

An applicant or current award recipient proposing to use a registered embryonic stem cell line will be required to document an executed agreement for access to the cell line with the provider of the cell line, and acceptance of any established restrictions for use of the cell line, as may be noted in the NIH Embryonic Stem Cell Registry.

If the applicant’s proposal includes exempt and/or non-exempt research activities involving human subjects the following information is required in the proposal:

(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 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 FWAs or IRB registrations are being applied for, that should be clearly stated.

Additional documentation may be requested, as warranted, during review of the applicant’s proposal, but 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;

http://stemcells.nih.gov/ http://hescregapp.od.nih.gov/NIH_Form_2890_Login.htm http://grants.nih.gov/stem_cells/registry/current.htm

(3) A copy of any IRB-required application information, such as documentation of approval of special clearances (i.e. biohazard, HIPAA, etc.) conflict-of-interest letters, or special training requirements;

(4) A brief description of what portions of the IRB submitted protocol are specifically included in the applicant’s proposal submitted to NIST, if the protocol includes tasks not applicable to the proposal, or if the protocol is supported by multiple funding sources.

For protocols with multiple funding sources, NIST will not approve the study without a nonduplication-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 issued, a draft of the proposed protocol may be requested.

(6) Any additional clarifying documentation that NIST may request during review of proposals to perform the NIST administrative review of research involving human subjects.

f. Research Projects Involving Vertebrate Animals. Any application that includes research involving live vertebrate animals 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 that are being cared for, euthanized, or used by the project participants to accomplish research goals, teaching, or testing. These regulations also do not apply to obtaining animal materials from commercial processors of animal products or to animal cell lines or tissues from tissue banks.

NIST reserves the right to make an independent determination of whether your research involves live vertebrate animals. If NIST determines that your research project involves 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 proposal includes research activities involving live vertebrate animals the following information is required in the proposal:

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

(2) The assurance type and number, as applicable, for the cognizant IACUC where the research activity is located. [For example: Animal Welfare Assurance from the Office of Laboratory Animal Welfare (OLAW) should be indicated by the OLAW assurance number, i.e. A-1234; an USDA Animal Welfare Act certification should be indicated by the certification number i.e. 12-R-3456; and an Association for the Assessment and Accreditation of Laboratory Animal Care (AAALAC) should be indicated by AAALAC.]

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

(4) If the review by the cognizant Institutional Animal Care and Use Committee (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 will be requested, as warranted, during review of the proposal, but may include the following for research activities 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

Proposal (ASP);

(2) Documentation of the IACUC approval indicating the approval and expiration dates of the ASP; and

(3) If applicable, a nonduplication-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 proposals to perform the NIST administrative review of research involving live vertebrate animals.

g. 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 DoC be responsible for proposal 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 DoC to award any specific project or to obligate any available funds.

h. Collaborations Making Use of Federal Facilities. All proposals should include a description of any work proposed to be performed using Federal facilities.

If a proposer proposes use of NIST facilities, the statement of work should include a statement of this intention and a description of the facilities. Any use of NIST facilities must be approved by appropriate NIST management and is at the sole discretion of NIST. Prior to beginning the merit review process, NIST will verify the availability of the facilities and approval of the proposed usage. Any unapproved facility use will be stricken from the proposal prior to the merit review. Examples of some facilities that may be available for collaborations are listed on the NIST Technology Services Web site, http://www.nist.gov/user-facilities.cfm.

Recipient scientific staff and affiliates who collaborate on the NIST site will be required to comply with all applicable NIST visitor policies, including any applicable safety and information technology security policies

3. Reporting

a. Reporting Requirements. In lieu of the reporting requirements described in Sections A.01

Financial Reports and B.01 Performance (Technical) Reports of the DoC Financial Assistance Standard Terms and Conditions dated March 2008 (http://www.osec.doc.gov/oam/archive/docs/GRANTS/DOC%20STCsMAR08Rev.pdf), the following reporting requirements shall apply:

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

Financial Report in triplicate (an original and two (2) copies), 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.

http://www.nist.gov/user-facilities.cfm http://www.osec.doc.gov/oam/archive/docs/GRANTS/DOC%20STCsMAR08Rev.pdf

(2) Performance (Technical) Report. Each award recipient will be required to submit a technical progress report in triplicate (an original and two (2) copies), 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. A final technical progress report shall be submitted within 90 days after the expiration date of the award. Two (2) copies of the technical progress report shall be submitted to the Project Manager and the original report to the NIST Grants Officer. Technical progress reports shall contain information as prescribed in 15 C.F.R. § 14.51.

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

Administrative Requirements and other terms and conditions governing the award, the recipient may need to submit property and patent reports.

b. OMB Circular A-133 Audit Requirements. Single or program-specific audits shall be performed in accordance with the requirements contained in OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations,” and the related Compliance Supplement. OMB Circular A-133 requires any non-Federal entity (i.e., including non-profit institutions of higher education and other non-profit organizations) that expends Federal awards of $500,000 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 Circular. Proposers are reminded that NIST, the DoC 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. Proposers 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

VII. Agency Contact(s)

Subject Area Point of Contact

Programmatic and technical questions

Dr. Dan Neumann Phone: (301) 975-5252 E-mail: dan@nist.gov

Electronic finalists proposal submission

Christopher Hunton Phone: 301-975-5718 Fax: 301-840-5976 E-mail:

christopher.hunton@nist.gov

Grants rules and regulations James Browning Phone: 301-975-8088 mailto:dan@nist.gov mailto:christopher.hunton@nist.gov

Fax: 301-840-5976 E-mail: james.browning@nist.gov mailto:james.browning@nist.gov