2016-NIST-MSE-01 Amendment 2 APPLICATION INSTRUCTIONS.pdf

APPLICATION INSTRUCTIONS for 2016-

NIST-MSE-01 AMENDMENT 2 GRANTS.GOV

APPLICATIONS

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, with the exception of Federal holidays. Help Desk service will resume at 7:00 a.m. Eastern Time the day after Federal holidays.

Applicants can track their submissions 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; however, applicants can immediately check that they properly submitted the application in Grants.gov by following the Grants.gov procedures cited above.

This document consists of seven important sections:

1) Overview;

2) Required Application Forms and Documents;

3) Application Format;

4) Grants.gov Application Submission Process;

5) Attachment of Required Documents;

6) Verifying the Submission and Tracking the Application; and

7) Submission Date and Time.

https://go.usa.gov/xQqeh mailto:support@grants.gov http://go.usa.gov/cjamz

1) Overview

We strongly recommend that applicants do not wait until the last minute to submit an application. Allowances will not make for any late submissions. To avoid any potential processing backlogs due to last minute Grants.gov registrations, applicants are highly encouraged to begin their Grants.gov registration process early.

When developing your submission timeline, please keep in mind that (1) all applicants are required to have a current registration in the System for Award Management (SAM.gov); (2) the free annual registration process in the electronic System for Award Management (SAM.gov) may take between three and five business days or as long as more than two weeks; and (3) electronic applicants are required to have a current registration in Grants.gov; and (4) applicants using Grants.gov 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.

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.

Applicants will find instructions on registering with SAM.gov as part of the Grants.gov process at:

http://www.grants.gov/web/grants/applicants/organization-registration.html .

All applicants should be aware that adequate time must be factored into an applicant’s schedule for delivery of the application.

Submitters are advised that volume on Grants.gov may be extremely heavy leading up to the deadline date.

2) Required Application 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.”

• SF-424, Item 12, should list the NOFO number 2016-NIST-MSE-01.

http://www.grants.gov/web/grants/applicants/organization-registration.html

• SF-424, Item 18, should list the total budget information for the duration of the project.

• 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, considering all potential cost increases, including cost of living adjustments. For projects that are five (5) years, the applicant should submit two SF-424A forms. The first SF-424A form should cover the first four (4) years of the project and is the SF-424A form that appears as part of the mandatory forms in the Grants.gov application package. The second SF-424A form should be submitted to cover year five (5) of the project, and its submission details are found in in Section IV.2.a.(10). of this FFO.

Do not enter the Grant Program Function or Activity on Line 1 under Column (a), and do not enter the Catalog of Federal Domestic Assistance Number on Line 1 under Column (b).

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; and Column

(4) should be used for the fourth year

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

(4) CD-511, Certification Regarding Lobbying. Enter “2016-NIST-MSE-01” 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) Technical Proposal. The Technical Proposal is a word-processed document responsive to the applicable program description(s) (see Section I. of this NOFO) and the evaluation criteria (see Section V.1. of this NOFO).

This document must consist of two parts: the Cover Page and the Technical Proposal itself.

The Cover Page must consist of three (3) elements:

(a) The name and address of the applicant institution, and the name, address, and contact information for the application’s Principal Investigator;

(b) The specific component MSE research grant program to which the application is being submitted, using the following choices:

1) the Material Measurement Laboratory (MML) Grant Program;

2) the Physical Measurement Laboratory (PML) Grant Program;

3) the Engineering Laboratory (EL) Grant Program;

4) the Fire Research (FR) Grant Program;

5) the Information Technology Laboratory (ITL) Grant Program;

6) the Communications Technology Laboratory (CTL) Grant Program;

7) the NIST Center for Neutron Research (NCNR) Grant Program;

8) the Center for Nanoscale Science and Technology (CNST) Grant

Program;

9) the Special Programs Office (SPO) Grant Program;

10) the Standards Coordination Office (SCO) Grant Program;

11) the International and Academic Affairs Office (IAAO) Grant Program;

12) the Associate Director for Laboratory Programs (ADLP) Grant

Program; and

13) the Associate Director for Innovation and Industry Services (ADIIS)

Grant Program.

(c) Statement of Relevance and of Benefit to the General Public

Using no more than two or three sentences, describe the relevance of the research proposed in this application to the public, and the benefit of the proposed research to the public. This statement should be succinct, and use plain language that can be understood by a general, lay audience.

The Technical Proposal should describe in depth the scope of the proposal, its goals, the methods and equipment to be used, its schedule, the personnel working on the project and their qualifications, and the institutional capabilities of the applicant.

(7) 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 of 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.

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, http://go.usa.gov/SBYh 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 all travel costs, the budget justification for travel should include the following: destination; names or number of people traveling; dates and/or duration; mode of transportation, lodging and subsistence rates; and description of how the travel is directly related to the proposed project. For travel that is yet to be determined, please provide best estimates based on prior experience. If a destination is not known, an approximate amount may be used with the assumptions given for the location of the meeting.

(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.

(e) Supplies – Provide a list of each supply, 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) Contractual (i.e. Contracts or Subawards) – Each contract or subaward should be treated as a separate item. Identify the cost, and 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 normal goods and services. Subawardees perform part of the project scope of work.

(g) Construction – Not an allowable cost under the MSE NOFO.

(h) Other Direct Costs – For costs that do not easily fit into the other cost categories, please list the cost, and the breakdown of the total costs by quantity or unit of cost. Include the necessity of the cost for the completion of the proposed project. Only allowable costs can be charged to the award.

(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 in the Budget Narrative. 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 available at https://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 portion of the application.

(9) Data Management Plan. Consistent with the NIST Policy 5700.001, Managing

Public Access to Results of Federally Funded Research, and NIST Order 5701.002, Managing Public Access to Results of Federally Funded Research”, applicants 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 Foundation3 or the National Institutes of Health4).

All applications for activities that will generate scientific data using NIST funding are required to adhere to a DMP or explain why data sharing and/or preservation are not within the scope of the project.

For the purposes of the DMP, NIST adopted the definition of “research data” at 2 C.F.R. § 200.315(e)(3) (available at http://go.usa.gov/3sZvQ).

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

1 https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-P-5700.pdf 2 https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-O-5701_0.pdf 3 http://www.nsf.gov/bfa/dias/policy/dmp.jsp 4 http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm https://go.usa.gov/xXRxK http://go.usa.gov/3sZvQ https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-P-5700.pdf https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-O-5701_0.pdf http://www.nsf.gov/bfa/dias/policy/dmp.jsp http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm

The inclusion of the DMP will be considered as part of the administrative review (see Section V.2.a. of this NOFO); however, the DMP will not be evaluated against any evaluation criteria.

(10) SF-424A, Budget Information - Non-Construction Programs for those applications which are for five-year projects. The SF-424A form that appears as part of the mandatory forms in the Grants.gov application package covers the first four

(4) years of the project. The second SF-424A form should be submitted to cover year five (5) of the project. A fillable SF-424A form can be found at https://www.nist.gov/about-nist/funding-opportunities, near the top of the screen and labeled “Budget Information – Non-Construction Program SF-424A “. Applicants should download the fillable SF-424A form, complete the information for year five (5) of the project and submit the completed form as an attachment, using the procedure described in Section IV.2.b., Attachment of Required Application Documents.

In Section A, do not enter the Grant Program Function or Activity on Line 1 under Column (a), and do not enter the Catalog of Federal Domestic Assistance Number on Line 1 under Column (b).

Use Section B – Budget Categories to reflect the budget breakdown by year. Column (1) should be used for the fifth year.

Please pay close attention to the guidance in Section 5) of this document, “Attachment of Required Documents”.

3) Application Format

(1) Double-sided. For paper submissions, print on both sides of the paper for original and copies.

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

(3) Figures, Graphs, Images, and Pictures. Should be of a size that is easily readable or viewable and may be landscape orientation.

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

(5) Page Limit. The Technical Proposal for Applications is limited to twenty-five

(25) pages:

Page limit includes: Cover Page, Table of contents (if included), Technical Proposal with all required information, including 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 – https://www.nist.gov/about-nist/funding-opportunities

Non-Construction Programs; SF-LLL, Disclosure of Lobbying Activities; CD- 511, Certification Regarding Lobbying; Budget Narrative; Indirect Cost Rate Agreement; Data Management Plan, and the SF-424A, Budget Information – Non-Construction Programs form for 5-year projects.

(6) Number of paper copies. For paper submissions, one (1) signed stapled original and two (2) stapled copies. If the 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.

(7) Page layout. The Technical Proposal must be in portrait orientation.

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

(9) Page numbering. Number pages sequentially.

(10) Application language. English.

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

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

handwritten applications and forms will not be accepted.

4) Grants.gov Application Submission Process

(1) Applications must be submitted via Grants.gov at www.grants.gov, under announcement 2016-NIST-MSE-01.

(a) Applicants submitting applications through Grants.gov 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 an application is received does not provide information about whether attachments have been received. For further information or questions regarding applying electronically for the 2016-NIST-MSE-01 announcement, contact Christopher Hunton by phone at 301-975-5718 or by e-mail at grants@nist.gov.

(b) Applicants are strongly encouraged to start early and not wait until the approaching due date before logging on and reviewing the instructions for submitting an application through Grants.gov. The Grants.gov registration process must be completed before a new registrant can apply electronically. If all goes well, the registration process takes three (3) to five (5) business days. If problems are encountered, the registration process can take up to two (2) weeks or more. Applicants must have a unique entity identifier number and must maintain a current registration in http://www.grants.gov/ mailto:grants@nist.gov the Federal government’s primary registrant database, the System for Award Management (https://www.sam.gov/), as explained on the Grants.gov Web site. See also Section IV.3. of this 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 authorized individual(s) will be able to submit the application, and the system may need time to process a submitted application. Applicants should save and print the proof of submission they receive from Grants.gov. If problems occur while using Grants.gov, the applicant is advised to (a) print any error message received and (b) call Grants.gov directly for immediate assistance. If calling from within the United States or from a U. S.

territory, please call 800-518-4726. If calling from a place other than the United States or a U. S. territory, please call 606-545-5035. Assistance from the Grants.gov Help Desk will be available around the clock every day, with the exception of Federal holidays. Help Desk service will resume at 7:00 a.m. Eastern Time the day after Federal holidays. For assistance using Grants.gov, you may also contact support@grants.gov.

(c) To find instructions on submitting an application on Grants.gov, Applicants should refer to the “Applicants” tab in the banner just below the top of the www.grants.gov home page. Clicking on the “Applicants” tab produces two exceptionally useful sources of information, Grant Applications and Applicant Resources, which applicants are advised to review.

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.

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.

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 your application before the deadline. If the applicant does not correct the errors, the application will not be forwarded to NIST by Grants.gov.

https://www.sam.gov/

All applicants, both electronic and paper submitters, should be aware that adequate time must be factored into applicants’ schedules for delivery of their application.

Applicants submitting applications through Grant.gov are advised that volume on Grants.gov may be extremely heavy on the deadline date, and if Grants.gov is unable to accept applications electronically in a timely fashion, applicants are encouraged to exercise their option to submit applications in paper format.

Submitters of paper applications should allow adequate time to ensure a paper application 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.

5) Attachment of Required Documents

Items (1) through (5) in Section 2) above, Required Application Forms and Documents, are part of the standard application package in Grants.gov and can be completed through the download application process.

Items (6) through (10) in Section 2) above, Required Application Forms and Documents, 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 messages over a period of up to two business days before learning whether a Federal agency’s electronic system has received its application.

6) Verifying the Submission and Tracking the Application

The Grants.gov Online Users Guide available at the Grants.gov site (http://go.usa.gov/cjaEh) provides vital information on application process.

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.

http://go.usa.gov/cjaEh

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, with the exception of Federal holidays. Help Desk service will resume at 7:00 a.m. Eastern Time the day after Federal holidays.

Applicants can track their submission in the Grants.gov system by following the procedures at the Grants.gov site (http://go.usa.gov/cjamz). It can take up to two business days for an application to fully move through the Grants.gov system to

NIST.

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

7) Submission Date and Time

All NIST MSE Research Grant Programs. Applications will be considered on a continuing/rolling basis as they are received. To ensure consideration in the current fiscal year, applications should be received by 5:00 p.m. Eastern Time on Saturday, June 30, 2018. Applications received after this deadline may be processed and considered for funding in the current fiscal year or in the next fiscal year, subject to the availability of funds.

All applications submitted to the MSE Research Grants programs, paper and electronic, must be received prior to the posting of the FY 2019 NIST MSE Research Grants Programs NOFO on Grants.gov in order to be processed under this NOFO.

http://go.usa.gov/cjamz