2019-NIST-TPO-02.pdf

Enabling Federal Technology Transfer (EFTT)

Notice of Funding Opportunity

June 14, 2019

NOTICE OF FUNDING OPPORTUNITY (NOFO) Enabling Federal Technology

Transfer Program (EFTT)

EXECUTIVE SUMMARY

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

• Funding Opportunity Title: Enabling Federal Technology Transfer Program

(EFTT)

• Announcement Type: Initial

• Funding Opportunity Number: 2019-NIST-TPO-02

• Assistance Listing (CFDA Number): 11.620: Science, Technology, Business and/or Education Outreach

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

Eastern Time, Friday, August 16, 2019. Applications received after this deadline will not be reviewed or considered. Paper applications will not be accepted.

Applicants should be aware, and factor in their application submission planning, that the Grants.gov system is expected to be closed for routine maintenance at the following times. Applications cannot be submitted when Grants.gov is closed:

From 12:01 A.M. Eastern Time Saturday

To 6:00 A.M. Eastern Time Monday

June 15, 2019 June 17, 2019

July 20, 2019 July 22, 2019

NIST expects to complete its review, selection of successful applicants, and award processing by October 2019. NIST expects the earliest start date for awards under this NOFO to be October 2019.

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

https://www.grants.gov/ https://apply07.grants.gov/help/html/help/index.htm#t=Applicants%2FCheckApplicationStatus%2FDownloadSubmittedFormsAndApplications.htm

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When developing the submission timeline, please keep in mind that: (1) all applicants are required to have current registrations in the electronic 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.(1).(b) of this NOFO) generally takes between three and five business days but can take more than 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: NIST, on behalf of the Federal Laboratory Consortium (FLC) Executive Board, is soliciting applications for a cooperative agreement to enable Federal technology transfer. Under the Enabling Federal Technology Transfer (EFTT) Program, members of the FLC's Executive Board, including NIST, will collaborate with academia and industry on the development of outreach and educational programs, tools, and best practices that will enhance the ability of the academic and private sectors to engage with Federal Laboratories in technology transfer and research commercialization. Specifically, the awardee will collaborate with the Federal Laboratory Consortium's Executive Board, including NIST, in the areas of technology transfer and research commercialization by: developing the necessary tools and services to promote the utilization of Federal intellectual property, user facilities, and other R&D resources by non-Federal partners; creating a suitable education and training infrastructure in technology transfer for the relevant stakeholders; and engaging the industry, academic, and state and local government communities to facilitate access to Federal R&D collaborations and Federal technology transfer opportunities on both a regional and a national level.

• Anticipated Amounts: NIST anticipates approximately $3,200,000 per year may be made available to award approximately one (1) multi-year award in fiscal year 2020 (FY20) to an eligible applicant. This award would be for up to five (5) years.

NIST anticipates a total of approximately $16,000,000 may be available over the five (5) year period.

• Funding Instrument: Cooperative Agreement https://www.sam.gov/SAM/ http://grants.gov/

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• Eligibility: Eligibility for the program listed in this NOFO is open to all non- Federal entities organized and operated in the United States and its territories.

Eligible applicants include accredited institutions of higher education; non-profit organizations; for-profit organizations incorporated in the United States; and state, local, territorial, and Indian tribal governments. Please note that individuals and unincorporated sole proprietors are not considered “non-Federal entities” and are not eligible to apply under this NOFO.

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

• Public Website, Frequently Asked Questions (FAQS) and Webinar

NIST TPO has a public website, https://www.nist.gov/tpo/EFTT, that provides information pertaining to this Funding Opportunity1. NIST plans to maintain and update a “Frequently Asked Questions” section and/or other resource materials 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 in writing to Courtney.Silverthorn@nist.gov with ‘2019-NIST-TPO-02’ in the subject line. Questions submitted to NIST may be posted on https://www.nist.gov/tpo/EFTT. Alternatively, applicants may ask questions during the informational public webinar as described in the next paragraph.

NIST will host a webinar to provide general information regarding this NOFO, offer general guidance on preparing applications, and answer questions related to this funding opportunity. Proprietary technical discussions about specific project ideas will not be permitted, and NIST staff will not critique or provide feedback on specific project ideas while they are being developed by an applicant or brought forth during the webinar or at any time before the deadline for all applications. However, general questions about the EFTT program, eligibility requirements, evaluation and selection criteria, selection process, and the characteristics of a competitive application can be addressed at the webinar and by e-mail to Courtney.Silverthorn@nist.gov as described in the previous paragraph. There is no cost to attend the webinar, but participants must register in advance. Participation in the webinar is not required and will not be considered

1 Refer to Section VII. of this NOFO, Federal Awarding Agency Contacts, Programmatic and Technical Questions, if more information is needed.

https://www.nist.gov/tpo/EFTT mailto:Courtney.Silverthorn@nist.gov https://www.nist.gov/tpo/EFTT mailto:Courtney.Silverthorn@nist.gov

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June 14, 2019 in the application review and selection process. Additional information on the EFTT program and webinar is available at https://www.nist.gov/tpo/EFTT.

Table of Contents

I. Program Description

II. Federal Award Information III. Eligibility Information IV. Application and Submission Information V. Application Review Information VI. Federal Award Administration Information

VII. Federal Awarding Agency Contacts

VIII. Other Information

FULL ANNOUNCEMENT TEXT

I. Program Description

The statutory authority for Enabling Federal Technology Transfer Program is 15 U.S.C. 15 U.S.C. § 3706 and § 3710(e)(7).

1) Background Information

The Federal Government invests approximately $150B in research and development (R&D) each year. Of this, approximately $50B is spent at nearly 300 Federal laboratories2 across the country and a roughly equal amount is spent at public and private universities (typically through research grants).

Universities and the Federal government both require private sector partners for the results of this research to be fully utilized and made available to the public through new products and services.

Technology transfer (T2) includes the process by which (a) non-Federal partners enter into formal collaborations with Federal laboratories to gain access to unique capabilities and facilities and/or to advance the development of a technology, or

(b) the results of Federal research efforts are transferred to a private sector entity for commercialization and ultimately, public use. Both universities and Federal laboratories have T2 offices staffed with professionals who complete the T2 activities (i.e. patenting, licensing, establishing formal research collaborations, 2 “’Federal laboratory’ means any laboratory, any federally funded research and development center, or any center established under section 3705 or 3707 of this title that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.” 15 U.S.C. § 3703(4).

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June 14, 2019 etc.), in ways that support each university’s or agency’s mission. On the university side, the professional organization for T2 is the Association of University Technology Managers (AUTM)3. On the Federal side, the professional organization for T2 is the Federal Laboratory Consortium for Technology Transfer (FLC).4

Both AUTM and the FLC were originally self-organized bodies created in the mid- 1970s. The FLC was later formally chartered by the Federal Technology Transfer Act of 19865 to strengthen and promote Federal T2 nationwide. As a quasi-governmental organization, the FLC was envisioned by the Congress as a body that cooperated with both Government-Owned, Government-Operated (GOGO) and Government-Owned, Contractor-Operated (GOCO) Federal laboratories and the private sector to facilitate communication and coordination, educate the T2 community, and serve as a clearinghouse for technology requests, among other activities. Because the ultimate goal of Federal technology transfer is to benefit the public through increased access to unique Federal resources and increased commercialization of Federal technologies, many tools and services of the FLC are focused on enabling the public to engage with FLC members6 and access information about Federal intellectual property and facilities. FLC member laboratories work directly with non-Federal parties as well as engaging in T2 activities through Partnership Intermediary Agreement (PIA) partners7.

The activities of the FLC, and NIST’s role as the “host agency” for the FLC, are outlined in 15 U.S.C. § 3710(e). The specific goals and objectives of the FLC are determined by a volunteer Executive Board, consisting of both appointed and elected members from GOGO and GOCO Federal labs. The Executive Board guides the direction and provides input on the specific activities of the FLC, subject to the FLC Bylaws8, which define the operations and duties of the Executive Board, rules and procedures for elections and Executive Board meetings, and other organizational governance. NIST holds one permanent seat on the FLC Executive Board as the Host Agency Representative, and as a Federal laboratory member of the FLC, has frequently held additional elected and appointed roles on the FLC Executive Board.

3 http://autm.net 4 http://www.Federallabs.org 5 Public Law 99-502 (Oct. 20, 1986); see 15 U.S.C. § 3710(e).

6 FLC membership consists of all Federal Laboratories with 200 or more full–time equivalent scientific, engineering and related technical positions, whether operated by the Federal Government (GOGO) or a contractor (GOCO); any other Federal Laboratories that choose to join the FLC; and the parent agencies of the member laboratories.

7 A partnership intermediary is “an agency of a State or local government, or a nonprofit entity owned in whole or in part by, chartered by, funded in whole or in part by, or operated in whole or in part by or on behalf of a State or local government, that assists, counsels, advises, evaluates, or otherwise cooperates with small business firms … or educational institutions … that need or can make demonstrably productive use of technology-related assistance from a Federal laboratory”. 15 U.S.C. § 3715(c).

8 https://www.federallabs.org/flc-policies/flc-bylaws http://autm.net/ http://www.federallabs.org/ https://www.federallabs.org/flc-policies/flc-bylaws

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2) Enabling Federal Technology Transfer Program (EFTT)

NIST, on behalf of the Federal Laboratory Consortium (FLC) Executive Board, is soliciting applications for a cooperative agreement to enable Federal Technology Transfer (the EFTT Program) in which members of the FLC's Executive Board, including NIST, collaborate with academia and industry on the development of outreach and educational programs, tools, and best practices that will enhance the ability of the private sector to engage with Federal Laboratories in T2 and research commercialization. The goals of the EFTT Program encompass three primary areas:

(1) development of the necessary tools and services to promote the utilization of Federal intellectual property, user facilities, and other R&D resources by the non-Federal sector;

(2) creation and implementation of a suitable education and training infrastructure in T2 for the relevant stakeholders; and

(3) engagement with FLC stakeholder communities9 to facilitate access to Federal R&D collaborations and Federal T2 opportunities.

Examples of activities that may occur under the EFTT Program to support the program goals may include, but are not limited to:

(1) Enable the implementation of the long-term vision and mission of the FLC through direct collaboration with the FLC Executive Board, including NIST.

(2) Develop and implement online resources that stakeholders may access to search for available technologies, user facilities, and other data that will enable them to engage with Federal labs, including a centralized FLC website.

(3) Develop and implement resources that will enable Federal T2 professionals to improve their laboratory’s or agency’s T2 activities and engagements with stakeholders.

(4) Develop and implement education, training, and workforce development courses and materials, to enhance T2 capabilities both within agencies and for the public.

(5) Conduct outreach and engagement with stakeholder groups through individual meetings, showcases, conference attendance at other stakeholder groups’ annual meetings (for example, the Association of University Technology Managers, the Licensing Executives Society, etc. or similar), and other in-person or electronic contacts.

9 The FLC stakeholder communities include public and private academic institutions, for-profit businesses, non-profit organizations, state and local governments, economic development organizations, PIA partners, and professional membership bodies that represent the aforementioned groups.

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(6) Increase the recognition of Federal T2 activities and successful collaborations with the private sector through internal awards, success stories and case studies, technical or trade publications, and creation/distribution of other materials.

(7) Facilitate the sharing of best practices, both within the Federal T2 community and, where appropriate, with the industry and academic communities, through in-person and/or electronic means, including at the Annual FLC Meeting and regional FLC meetings.

(8) Develop public reports10 and other printed and/or digital materials about the activities and impacts of the FLC.

Under the EFTT Program, it is envisioned that the awardee will collaborate closely with the members of the FLC Executive Board, including NIST, through a national committee structure focused on achieving broad FLC goals and a regional network structure focused on enabling non-Federal stakeholders to engage with specific Federal laboratories or economic development clusters11.

As part of the EFTT program, NIST and other members of the FLC Executive Board will collaborate with the awardee to plan and execute the FLC Annual Meeting and up to six annual FLC regional meetings for the FLC and other stakeholder communities, to enable the sharing of technology transfer best practices as described in item 7 above. Awardees will be required to send sufficient personnel to assist with the successful execution of the FLC annual and regional meetings. These meetings should be included in project timelines and budgets. Costs for attending this meeting and any other travel must be included in the budget form SF-424 (R&R) (see Section IV.2.a.(1) of this NOFO) and described in the budget narrative (see Section IV.2.a.(8)(D) of this NOFO).

NIST therefore invites applications from eligible applicants to facilitate the promotion of Federal T2 and engagement with non-Federal stakeholders. The awardee will work in conjunction with the FLC Executive Board, including NIST, to develop and implement specific programmatic activities that achieve the aims of this NOFO.

Wherever possible, the results of the program should generally be made available to the public. The Department of Commerce Financial Assistance Standard Terms and Conditions dated April 30, 2019, accessible here, will govern any award made under this NOFO. Pursuant to 2 C.F.R. § 200.315(b), NIST will reserve a royalty-free, nonexclusive and irrevocable right to reproduce, 10 To include assistance in preparing required annual reporting on FLC activities as listed in 15 U.S.C. § 3710(e)(6).

11 Clusters are industry-led geographic concentrations of companies in related businesses, specialized suppliers, service providers, and associated entities that are present in geographic area. Such clusters develop because commercial entities increase their overall productivity with symbiotic relationships and economies of scale, and thus are more able to compete nationally and internationally. See Porter, Michael E. "Reshaping Regional Economic Development: Clusters and Regional Strategy."

http://www.osec.doc.gov/oam/grants_management/policy/documents/Department%20of%20Commerce%20Standard%20Terms%20Conditions%2030%20April%202019.pdf http://www.hbs.edu/faculty/Pages/download.aspx?name=20140926-US%20Cluster%20Mapping%20Launch-%20FINAL%20FOR%20POSTING.pdf

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Federal Award

NIST, as the Host Agency for the Federal Laboratory Consortium, is seeking applications from eligible applicants to develop and implement the tools, programs, and activities necessary to promote Federal technologies and related resources to the private sector community, educate T2 professionals, and facilitate access to Federal technologies and user facilities. Research proposals must support the goals and objectives of the FLC12 as well as align with existing NIST TPO programs and goals13, to the extent that they also reflect the aims of the FLC through their role as the Host Agency.

II. Federal Award Information

1. Funding Instrument The funding instrument that will be used is a cooperative agreement. The nature of NIST’s “substantial involvement” will generally include collaboration with the recipient organization in developing and implementing the approved scope of work.

2. Funding Availability In FY2020, NIST anticipates making one (1) award in the range of approximately $3,200,000 per year for up to five years, consistent with the multi-year funding policy described in Section II.3. of this NOFO. Proposed funding levels must be consistent with project scope. NIST will consider applications with lower funding amounts.

12 Goals and objectives of the FLC for 2015-2019 are outlined in the FLC Strategic Plan;

https://www.federallabs.org/flc-policies/flc-strategic-plan. Strategic planning efforts are currently underway for 2020-2024 but will continue to align with the specific goals of this cooperative agreement as outlined in Section I.2. of this NOFO.

13 TPO builds and sustains technology partnering activities between the NIST laboratories and industries in the United States, local, state and federal agencies, and the general public. TPO, in accordance with its mission, enables technology transfer to promote U.S. competitiveness, both for NIST and as across the Federal government for the Department of Commerce. https://www.nist.gov/tpo/about-technology-partnerships-office https://www.federallabs.org/flc-policies/flc-strategic-plan https://www.nist.gov/tpo/about-technology-partnerships-office https://www.nist.gov/tpo/about-technology-partnerships-office

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3. 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 NIST, and the availability of funds.

III. Eligibility Information

1. Eligible Applicants

Eligibility for all programs listed in 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, and hospitals. Please note that individuals and unincorporated sole proprietors are not considered “non-Federal entities” and are not eligible to apply under this

NOFO.

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.

IV. Application and Submission Information

1. Address to Request Application Package

The application package is available at Grants.gov under Funding Opportunity Number 2019-NIST-TPO-02.

2. Content and Form of Application Submission

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

(1) SF-424 (R&R), Application for Federal Assistance. The SF-424 (R&R) must be signed by an authorized representative of the applicant organization.

http://www.grants.gov/

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For SF-424 (R&R), Items 5, 14, and 19, use the Zip Code + 4 format (##### - ####) when addresses are called for.

For SF-424 (R&R), Item 17, the list of certifications and assurances is contained in the SF-424B (item (3) below).

SF-424 (R&R), Item 18. If the SF-LLL, Disclosure of Lobbying Activities form (item (6) below) is applicable, attach it to field 18.

Instructions for filling in the SF-424 (R&R) can be found in the 2019-NIST- TPO-02 Application Instructions document found on Grants.gov, as well as at Instructions SF-424 (R&R), Application for Federal Assistance.

(2) Research & Related Budget (Total Fed + Non-Fed). The budget should reflect anticipated expenses for the full term of the project, considering all potential cost increases, including cost of living adjustments.

The budget should be detailed in these categories:

A. Senior/Key Person;

B. Other Personnel;

C. Equipment Description;

D. Travel;

E. Participant/Trainee Support Costs;

F. Other Direct Costs;

G. Direct Costs (automatically generated);

H. Indirect Costs;

I. Total Direct and Indirect Costs (automatically generated);

J. Fee (not relevant to this competition);

K. Total Costs and Fee (automatically generated);

L. Budget Narrative and Justification document (item (8) below) should be attached to field L.

A separate detailed R&R Budget must be completed for each budget period during the proposed award (e.g. annual basis). To add additional budget periods (e.g. year 2), click “Add Period” embedded at the end of the form. Instructions for completing the Research & Related Budget (Total Fed + Non-Fed) form can be found in the 2019-NIST-TPO-02 Application Instructions document on Grants.gov, as well as at Instructions Research & Related Budget (Total Fed + Non-Fed) – Budget.

(3) SF-424B, Assurances – Non-Construction Programs. The SF-424B is required for all applicants that have not updated their System for Award Management (SAM.gov) entity registration since February 2, 2019 to include the Federal financial assistance certifications and representations.

If an applicant has updated their SAM.gov entity registration since https://w3auth.nist.gov/file/365086 https://w3auth.nist.gov/file/365091

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February 2, 2019 to include the certifications and representations, then the SF-424B is not required.

(4) CD-511, Certification Regarding Lobbying. Enter “2019-NIST-TPO-02” in the Award Number field. Enter the title of the application, or an abbreviation of that title, in the Project Name field.

(5) Research and Related Other Project Information. Answer the highlighted questions and use this form to attach the Project Narrative (item (7) below), the Indirect Cost Rate Agreement (item (9) below), and the Data Management Plan (item (10) below). Instructions for completing the Research and Related Other Project Information can be found in the 2019-NIST-TPO-02 Application Instructions document on Grants.gov, as well as at Instructions Research and Related Other Project Information.

Please note that the Project Summary/Abstract field, which has a place to attach an optional Project Summary/Abstract, is not relevant to this competition.

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

(7) Project Narrative.

The Project Narrative is a word-processed document of no more than twenty-five (25) pages (double-spaced between lines), which is responsive to the program description (see Section I. of this NOFO) and the evaluation criteria (see Section V.1. of this NOFO). The required format is:

a. Executive Summary. An executive summary of the proposed approach, consistent with the evaluation criteria (see Section V.1. of this NOFO). The executive summary should include information indicating how each evaluation criterion and its sub-factors are addressed. A table can be helpful in providing this information. The executive summary should not exceed two (2) pages.

b. Project Approach. A description of the applicant’s approach to clearly address the program goals (see Section I. of this NOFO). This section should address the Problems, Solutions, and Technical Approach and Success Metrics evaluation criterion (see Sections V.1.a. and V.1.d. of this NOFO).

c. Statement of Work. A complete statement of work covering all aspects of the project, including a schedule of measurable events and milestones as well as measurable performance objectives that can be used to determine the success of the project. This section should address the Statement of Work and Potential Impact of the Results evaluation criterion (see Section V.1.b. of this NOFO).

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d. Qualifications. A description of the qualifications of the key personnel, the time commitments of the key personnel, and how the project staff qualifications will enable them to conduct the project work. This section should address the Qualifications and Experience of Key Personnel and Resources Availability evaluation criterion (see Section V.1.c. of this

NOFO).

e. Resumes of Key Personnel must be included. Resumes are not included in the page count of the Project Narrative. Resumes included as part of the application must be a maximum of two pages each.

Additional pages beyond the two pages per resume will not be considered during the evaluation of the application.

(8) Budget Narrative and Justification.

This section will be evaluated in accordance with the Budget Narrative evaluation criteria (see Section V.1.e. 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.

There is no set format for the Budget Narrative and Justification; however, further explanation must be provided for the specific cost categories and line items identified in the Instructions Research & Related Budget (Total Fed + Non-Fed) – Budget, as well as any other information you deem necessary for NIST’s consideration. The Budget Narrative and Justification must be attached to the Research & Related Budget (Total Fed + Non- Fed).

The written justification should include the necessity and the basis for the cost. Proposed funding levels must be consistent with the project scope, and only allowable costs should be included in the budget. 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. Senior/Key Person – At a minimum, the budget justification should include the following: name, job title, commitment of effort on the proposed project in terms of average number of hours per week or percentage of time, salary rate, total direct charges on the proposed project, description of the role of the individual on the proposed project and the work to be performed.

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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.

B. Other Personnel - Data is requested at the project role level, and not at the individual level for Other Personnel. The budget justification should include the following: job title, commitment of effort on the proposed project in terms of average number of hours per week or percentage of time, salary rate, total direct charges on the proposed project, description of the role of the position on the proposed project and the work to be performed.

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. Equipment Description – Equipment is defined as an item of property that has an acquisition cost of $5,000 or more (unless the organization has established lower levels) and an expected service life of more than one year. The budget justification should list each piece of equipment, the cost, and a description of how it will be used and why it is necessary to the successful completion of the proposed project. Please note that any general use equipment (computers, etc.) charged directly to the award should be allocated to the award according to expected usage on the project. Applicants should provide at least two (2) quotes, if available, for equipment costing $25,000 or more. If two (2) quotes are not available, please provide a statement as to why two (2) quotes are not available.

Any items that do not meet the threshold for equipment can be included under the Materials and Supplies line item in Section F, Other Direct Costs.

D. Travel - For all travel costs, required by the recipient to complete the project, including attendance at any relevant conferences, the budget justification for travel should include the following: destination; names or number of people traveling; dates and/or duration; mode of transportation, lodging and subsistence rates; and description of how the travel is directly related to the proposed project. For travel that is yet to be determined, please provide best estimates based on prior experience. If a destination is not known, an approximate amount may be used with the assumptions given for the location of the meeting.

As is described in Section I.2. of this NOFO, the awardee will be required to send sufficient personnel to assist with the successful execution of the

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FLC annual and regional meetings. The Annual meeting is typically three days in length and is typically held in April; regional meetings are typically 1-2 days in length and are typically held in the Summer and Fall. Exact dates and location of future meetings have not been determined yet; all meetings will be held in the continental United States. Applicants should factor in the cost for attending these events in their budget narrative and Research & Related Budget (Total Fed + Non-Fed) form.

E. Participant/Trainee Support Costs – Participant support costs are stipends, subsistence allowances, travel, and registration fees paid to or on behalf of participants or trainees, who are not employees of your organization, for conferences or training projects. The budget justification should indicate the names or number of participants or trainees, a description and calculation of costs per person, a description and date of the event, and a description of why the cost is necessary for the successful completion of the proposed project.

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

Each subaward or contractual cost should be treated as a separate item in the Other Direct Costs category. Describe the services to be provided and the necessity of the subaward or contract to the successful performance of the proposed project. Contracts are for obtaining goods and services.

Subawardees perform part of the project scope of work. For each subaward, applicants must provide budget detail justifying the cost of the work performed on the project.

H. Indirect Costs – Commonly referred to as Facilities & Administrative Costs, Indirect Costs are defined as costs incurred by the applicant organization that cannot otherwise be directly assigned or attributed to a specific project. For more details, see Section IV.2.a.(9) of this NOFO.

(9) Indirect Cost Rate Agreement. If indirect costs are included in the proposed budget, provide a copy of the approved negotiated agreement if this rate was negotiated with a cognizant Federal audit agency. If the rate was not established by a cognizant Federal audit agency, provide a statement to this effect. If the successful applicant includes indirect costs in the budget and has not established an indirect cost rate with a cognizant Federal audit agency, the applicant will be required to obtain such a rate in accordance with the Department of Commerce Financial Assistance Standard Terms and Conditions, dated April 30, 2019.

http://www.osec.doc.gov/oam/grants_management/policy/documents/Department%20of%20Commerce%20Standard%20Terms%20Conditions%2030%20April%202019.pdf http://www.osec.doc.gov/oam/grants_management/policy/documents/Department%20of%20Commerce%20Standard%20Terms%20Conditions%2030%20April%202019.pdf

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Alternatively, in accordance with 2 C.F.R. § 200.414(f), applicants that have never received a negotiated indirect cost rate may elect to charge indirect costs to an award pursuant to a de minimis rate of 10 percent of modified total direct costs (MTDC), in which case a negotiated indirect cost rate agreement is not required. Applicants proposing a 10 percent de minimis rate pursuant to 2 C.F.R. § 200.414(f) should note this election as part of the budget portion of the application.

(10) Data Management Plan. Consistent with NIST Policy 5700.0014, Managing Public Access to Results of Federally Funded Research, and NIST Order 5701.0015, 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 Foundation16 or the National Institutes of Health17).

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.

The inclusion 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.

14 https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-P-5700.pdf 15 https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-O-5701_0.pdf 16 http://www.nsf.gov/bfa/dias/policy/dmp.jsp 17 http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm 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

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(11) Subaward Budget Form. The Research & Related Subaward Budget Attachment Form is required if sub-recipients and contractors are included in the application budget.

Instructions for completing subaward budget forms are available by visiting the R & R Family section of the Grants.gov Forms Repository and scrolling down to the R & R Subaward Budget Attachment(s) Form and selecting “Instructions.”

(12) Current and Pending Support Form. Any application that includes investigators, researchers, and key personnel must identify all sources of current and potential funding, including this proposal. Any current project support (e.g. Federal, state, local, public or private foundations, etc.) must be listed on this form. The proposed project and all other projects or activities requiring a portion of time of the Principal Investigator (PI), co-PI, and key personnel must be included, even if no salary support is received.

The total award amount for the entire award period covered, including indirect costs, must be shown as well as the number of person-months per year to be devoted to the project, regardless of the source of support.

Similar information must be provided for all proposals already submitted or that are being submitted concurrently to other potential funders.

Applicants must complete the Current and Pending Support Form, using multiple forms as necessary to account for all activity for each individual identified in the PI, co-PI and key personnel roles. A separate form should be used for each identified individual.

Applicants must download the Current and Pending Support Form from the NIST website at https://www.nist.gov/oaam/grants-management-division/current-and-pending-support and reference the guidance provided as it contains information to assist with accurately completing the form.

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.

Item IV.2.a.(6), the SF-LLL, Disclosure of Lobbying Activities form, is an optional application form which is part of the standard application package in Grants.gov.

If item IV.2.a.(6), the SF-LLL, Disclosure of Lobbying Activities form is applicable to this proposal, attach it to field 18 of the SF-424 (R&R), Application for Federal Assistance.

Item IV.2.a.(7), the Project Narrative, should be attached to field 8 (Project https://www.grants.gov/forms/r-r-family.html https://www.nist.gov/oaam/grants-management-division/current-and-pending-support https://www.nist.gov/oaam/grants-management-division/current-and-pending-support

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Narrative) of the Research and Related Other Project Information form by clicking on “Add Attachment”.

Item IV.2.a.(8), the Budget Narrative and Justification, should be attached to field L (Budget Justification) of the Research and Related Budget (Total Fed + Total Non-Fed) form by clicking on “Add Attachment”.

Items IV.2.a.(9), the Indirect Cost Rate Agreement, IV.2.a.(10), the Data Management Plan, and IV.2.a.(12), the Current and Pending Support Form must be completed and attached by clicking on “Add Attachments” found in item 12 (Other Attachments) of the Research and Related Other Project Information form.

Item IV.2.a.(11), the Subaward Budget Form(s), if applicable to the submission, should be attached to the Research & Related Subaward Budget (Total Fed + Non-Fed) Attachment(s) Form in the application package.

Following these directions will create zip files which permit transmittal of the documents electronically via Grants.gov.

Applicants should carefully follow specific Grants.gov instructions at Grants.gov to ensure the attachments will be accepted by the Grants.gov system. A receipt from Grants.gov indicates only that an application was transferred to a system. It does not provide details concerning whether all attachments (or how many attachments) transferred successfully. Applicants will receive 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.

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. If any, or all, of the required attachments are absent from the submission, resubmit the application, and verify the submission of the required attachments.

If assistance is needed, please visit the Grants.gov Online Help page or 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.

https://apply07.grants.gov/help/html/help/index.htm#t=Applicants%2FCheckApplicationStatus%2FDownloadSubmittedFormsAndApplications.htm https://apply07.grants.gov/help/html/help/index.htm#t=Applicants%2FCheckApplicationStatus%2FDownloadSubmittedFormsAndApplications.htm https://apply07.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm mailto:support@grants.gov

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Applicants may use the Track My Application page at Grants.gov to view the status of their submitted applications. 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, Email, 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 toward the page limits for the Project Narrative.

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

(4) Page Limit. The Project Narrative is limited to twenty-five (25) pages double spaced, noting the limit of two (2) pages for the Executive Summary. The Budget Narrative and resumes of key personnel are not included in the page count of the Project Narrative. If resumes are included, resumes must be a maximum of two (2) pages each.

(5) Page Limit Exclusions:

SF-424 (R&R), Application for Federal Assistance;

SF-424B, Assurances – Non-Construction Programs;

CD-511, Certification Regarding Lobbying;

SF-LLL, Disclosure of Lobbying Activities;

Budget Narrative;

Indirect Cost Rate Agreement;

Data Management Plan;

Subaward Budget Form;

Current and Pending Support Form

(6) Page Layout. The Proposal must be in portrait orientation.

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

(8) Page numbering. Number pages sequentially.

(9) Application language. All documents must be in English, including but not limited to the initial application, any additional documents submitted in response to a NIST request, all reports, and any correspondence with NIST.

https://www.grants.gov/web/grants/applicants/track-my-application.html

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

handwritten forms will not be accepted.

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

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

f. 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 are required to: (i) be registered in SAM before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency, unless otherwise excepted from these requirements pursuant to 2 C.F.R. § 25.110. NIST will not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time that NIST is ready to make a Federal award pursuant to this NOFO, NIST may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

4. Submission Dates and Times Applications must be received at Grants.gov no later than 11:59 p.m. Eastern Time, Friday, August 16, 2019. 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 at the following times. Applications cannot be submitted when Grants.gov is closed on these dates:

From 12:01 A.M. Eastern Time Saturday

To 6:00 A.M. Eastern Time Monday

June 15, 2019 June 17, 2019

Notice of Funding Opportunity

July 20, 2019 July 22, 2019

When developing the submission timeline, please keep in mind that: (1) all applicants are required to have current registrations in 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.(1).(b). of this NOFO) generally takes between three and five business days but can take more than 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.

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