2019-NIST-TPO-IOT-01.pdf

Economic Research and Analysis of the National Need for Technology Infrastructure to Support the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019

NOTICE OF FUNDING OPPORTUNITY (NOFO)

Economic Research and Analysis of the National Need for Technology

Infrastructure to Support the Internet of Things (IoT)

EXECUTIVE SUMMARY

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

• Funding Opportunity Title: Economic Research and Analysis of the National Need for Technology Infrastructure to Support the Internet of Things (IoT)

• Announcement Type: Initial

• Funding Opportunity Number: 2019-NIST-TPO-IOT-01

• 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, Monday, July 24, 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 August 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 Application Documents of this NOFO with great attention. Applicants should carefully follow the instructions and recommendations regarding attachments and use the Download Submitted Forms and Applications feature on www.Grants.gov to check that all required attachments were contained in their submission.

Applications submitted without the required documents will not pass the Initial Administrative Review, described in Section V.3.a. of this NOFO.

https://www.grants.gov/ the Internet of Things (IOT) Notice of Funding Opportunity

May 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 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 SAM.gov is not current at the time of the award.

• Application Submission Address: Applications must be submitted using Grants.gov.

• Funding Opportunity Description: The NIST’s Technology Partnerships Office (TPO) is seeking applications from eligible applicants for activities to assess the potential economic impacts, resulting from Federal research investments, of meeting the Nation’s need for technology infrastructure1 to support the Internet of Things (IoT). By identifying technological and economic trends in IoT research and assessing critical gaps in the Nation’s IoT technology infrastructure, the recipient will produce an economic study to help guide industry, academia, and federal researchers in their efforts to accelerate the critical research needed for timely IoT development.

• Anticipated Amounts: In Fiscal Year 2019 (FY19), NIST anticipates funding one award for approximately $400,000 with a project performance period of (2) years. The award will be fully funded in the first year.

• Funding Instrument: Cooperative Agreement

• Eligibility: Eligibility for the program listed in this NOFO is open to all non- Federal entities. Eligible applicants include accredited institutions of higher education; non-profit organizations; for-profit organizations incorporated in the United States; state, local, territorial, and Indian tribal governments; foreign public entities; and foreign organizations. Please note that individuals and unincorporated sole proprietors are not considered “non-Federal entities” and are

1 Technology infrastructure can loosely be defined as the broad base of quasi-public technologies (technologies with varying degrees of public good content) and technical knowledge that supports firms’, universities’, and laboratories’ research, production, distribution and marketing of novel and improved products, processes, and services (e.g., higher quality, more effective, more efficient, more productive).

http://grants.gov/ the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 not eligible to apply under this NOFO. Although Federal entities are not eligible to receive funding under this NOFO, they may participate as unfunded collaborators.

• Cost Sharing Requirements: Non-federal cost share is not required for awards issued pursuant to this NOFO.

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 the NIST Economic Research and Analysis of the National Need for Technology Infrastructure to Support the Internet of Things (IoT) is 15 U.S.C. § 272(b)(4) and (c)(27).

1) Background Information

In FY17, the Federal Government invested over $140 billion in federally‐funded research and development (R&D). Over $50 billion of this research was conducted at nearly 300 government-owned, government-operated (GOGO) and government-owned, contractor-operated (GOCO) laboratories across the country.2 Some of this work will yield extraordinary long‐term economic impacts through the generation of new knowledge and job‐creating technological breakthroughs that support U.S.

competitiveness in the global economy. To ensure that the benefits of this research are fully realized by the taxpayer, its results must be transferred to the private sector. Traditional forms of technology transfer include licensing intellectual property and entering into cooperative research and development agreements;

however, other forms of technology transfer also convey research results and know-how to the private sector and produce economic benefits. These can include publications, postdoctoral research programs, and participation in standards development organizations (SDOs). Maximizing the utilization of the results of

2 https://ncsesdata.nsf.gov/fedfunds/2015/html/FFS2015_DST_010.html https://ncsesdata.nsf.gov/fedfunds/2015/html/FFS2015_DST_010.html the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 federally funded research, including research related to the development of standards, is in the best interest of taxpayers.

Recognizing the importance of focused agency efforts to improve federal technology transfer, the Lab-to-Market initiative was established in 20143. These agency strategic efforts are ongoing through designation as a Cross Agency Priority (CAP) goal in the FY19 President’s Management Agenda4. In addition, the National Science and Technology Council (NSTC)’s Committee on Science and Technology Enterprise chartered a new subcommittee to oversee CAP goal efforts in five areas: Improve Federal Technology Transfer Practices and Policies, Increase Private Sector Engagement, Build a More Entrepreneurial R&D Workforce, Support Innovative Technology Transfer Tools, and Understand Trends and Benchmarks. NIST currently leads these efforts, with participation from 11 R&D agencies in total. Within the Understand Trends and Benchmarks strategy, specific efforts have focused on ways to demonstrate the economic benefits of technology transfer efforts by federal agencies.

2) Overview

Approximately 35%, or $50.6 billion, of the Federal government’s total R&D investment is funded through intramural research at GOGO and GOCO labs. This investment in fundamental research expands the frontiers of human understanding and yields extraordinary long-term economic impact through the creation of new knowledge and ultimately new industries. NIST has a leadership role within a large group of public and private stakeholders and aids this group in establishing goals, measuring performance, establishing standards, streamlining administrative processes, and facilitating partnerships that encourage commercialization of these federally funded research and development efforts.

To support this role, NIST engages in ongoing efforts to track technology transfer activity metrics and directs economic research studies that estimate the importance of federal technologies and supporting technical infrastructure. NIST uses its leadership role to help facilitate the economic assessment of all federal laboratories and their technology transfer efforts.5 While university technology transfer systems and outcomes have been extensively studied by the academic community, there have been far fewer studies of the

3 https://www.nist.gov/tpo/lab-market 4 https://www.whitehouse.gov/wp-content/uploads/2018/03/Presidents-Management-Agenda.pdf, page

47. “CAP Goal 14: Improve the transfer of federally-funded technologies from Lab-to-Market”.

5 For instance, NIST gathers the data for the annual Technology Transfer Summary Report to the President and Congress, which summarizes the technology transfer activities and transfer vehicles used by 11 Federal agencies that have significant Federal laboratory operations.

https://www.nist.gov/tpo/lab-market https://www.whitehouse.gov/wp-content/uploads/2018/03/Presidents-Management-Agenda.pdf the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 impact of intramural research performed by federal laboratories. In an effort to address this research gap, NIST is offering this funding opportunity, which is directed at assessing the potential impact of Federal investments in a young area of research: the Internet of Things (IoT) infrastructure. The NIST Technology Partnerships Office is seeking applications from eligible applicants for activities to support the goals of the Lab-to-Market initiative to understand global trends and benchmarks through the publication of research on federal technology transfer efforts.6 Research proposals must support the overall and goals of the Lab-to- Market program. As NIST supports Lab-to-Market activities on behalf of 11 R&D agencies, to the extent possible research proposals must be aligned with both NIST research and the broader federal laboratory research landscape.

The IoT ecosystem comprises a network of devices and systems (everything from consumer appliances and industrial machines to intelligent vehicles and municipal infrastructures) that have the capability of collecting and exchanging data and implementing changes within those systems. This connectivity for enhanced functionality promises significant improvements in the performance, efficiency, and cost savings in many applications. In recent years, IoT systems and applications have become a major source of commercial and industrial innovation and as such, have the potential of delivering a technological revolution similar in scale to that caused by the development of the Internet. Given this transformative impact of IoT technologies and their applications, the IoT has been identified as one of the growing areas of federal R&D investments and federal technology transfer or the “Lab-to-Market” process.

Advanced IoT technologies and systems are essential to national security, economic prosperity, human safety and well-being, with applications aimed at addressing challenges in healthcare, transportation, and smart cities. However, like many early-stage technologies that federal labs focus on, it can take 10 or more years to move an IoT related technology from incubation to market maturation.

Different interested parties in the IoT ecosystem include, but are not limited to, developers, vendors, researchers, consumers, investors, regulators, policy-makers, and others with interests across the full spectrum of IoT application areas ranging from smart appliances and industrial systems to intelligent transportation, smart cities, and beyond. For purposes of this NOFO, the awardee, in collaboration with NIST, will further define the interested communities / parties and the relevant areas of IoT technologies and IoT infrastructure to be measured, and further identify the associated gaps and challenges.

Several federal agencies participate in research involving the IoT infrastructure.

Examples of the different Federal agencies’ involvement in IoT run the gamut from

6 https://www.nist.gov/tpo/lab-market the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019

IoT-related standards development to collaboration with industry to understand the varying needs of IoT deployment. In July 2017, the General Accountability Office (GAO) issued a report entitled Internet of Things: Communities Deploy Projects by Combining Federal Support with Other Funds and Expertise.7 The report identified IoT-related activities, including broad federal research and oversight of IoT-related technologies.8 The summary of GAO report states:

8 of the 11 agencies GAO reviewed are involved in broad research efforts, often on communication systems—both wired and wireless network systems. In addition, nine agencies have oversight efforts that include providing IoT-related guidance, often on data security and privacy.

The GAO report includes a relevant listing of many of the federal agencies involved in IoT, with their mission statements, in Appendix I: Information on Selected Federal Agencies. Appendix I to the GAO report is reproduced as Appendix I to this NOFO.

3) Program analysis and quantification of the prospective impact of future Federal investments in the IoT infrastructure

This prospective study will be very broad in terms of required disciplines and experience, which include, but are not limited to, technology assessment, industry and consumer behavioral and structural analyses, microeconomic modeling of technology and commercialization patterns, industries, quantitative and qualitative analyses of technology infrastructure impacts as well as consumer survey and data collection techniques.

The aim of the analysis is to identify the gaps in the Nation’s IoT technology infrastructure and to estimate the potential economic value of eliminating those gaps through Federal research investments.

The specific goals of this study are to:

(1) assess the technological and economic trends in the research, development, adoption, and deployment of IoT related technologies, including demonstrated and anticipated adopters of IoT technologies, 7 https://www.gao.gov/assets/690/686106.pdf 8 GAO reviewed documents and interviewed officials from 11 federal agencies identified as having a key role in supporting IoT in communities, including agencies that support research or community IoT efforts or that have direct authority over IoT issues. GAO also interviewed a sample of representatives from multiple stakeholder groups as well as relevant literature since 2013.

the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 across relevant industry sectors and stakeholders, including technologies being developed and transferred from federal agencies and laboratories;

(2) identify and qualitatively assess gaps in the technology infrastructure (i.e., hardware, software, networking components, applications, systems, standards, etc.) needed to support the IoT, in terms of industry investment criteria and research mechanisms used;

(3) produce a quantitative empirical ranking of the technology infrastructure gaps, based on novel data and modeling, reflecting the economic benefit of eliminating the identified technology infrastructure gaps;

(4) estimate the economic benefits that would accrue from future Federal research investments focused on eliminating the top three ranked gaps;

(5) assess the expected U.S. and international government policy responses - specific to phases in the R&D cycle, technology transfer efforts, and subsequent scale-up (capital formation) - given the economic assessment of the identified IoT infrastructure needs;

(6) identify potential areas for future IoT-related federal research investments that would enhance U.S. competitiveness and national and economic security;

(7) broadly disseminate the results of the prospective economic impact assessment of the benefits that would accrue from eliminating the top three ranked gaps using Federal research funding; and

(8) contribute to the development of the next generation of researchers focused on science, R&D, and technology transfer impact analysis.

NIST therefore invites applications from eligible applicants to assess the economic impact of meeting critical technology infrastructure needs in the IoT through Federal research investments. The awardee will characterize the current state of the IoT technology infrastructure, identify technical gaps to widespread development and deployment of IoT, and estimate the qualitative and quantitative economic impact of eliminating the top three ranked gaps. The awardee will identify key research, technologies, and guidance being developed by and transferred from federal departments, agencies and laboratories that can support the development and deployment of IoT technologies and applications.

The awardee is expected to disseminate the results of their work to the public through publications and white papers in appropriate scientific or technical literature, the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 and through presentations at public meetings or technical events. It is expected that awardees will fulfill their obligations consistent with Section C.03 Intellectual Property Rights of the Department of Commerce Financial Assistance Standard Terms and Conditions. See Section VI.2.b. of this NOFO.

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 FY19, NIST anticipates funding one award for approximately $400,000 with a project performance period of (2) years. The award will be fully funded in the first year.

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, hospitals, and foreign organizations. Please note that individuals and unincorporated sole proprietors are not considered “non-Federal entities” and are not eligible to apply under this NOFO. Although Federal entities are not eligible to receive funding under this NOFO, they may participate as unfunded collaborators.

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-01.

2. Content and Form of Application Submission http://www.grants.gov/ the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019

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.

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-01 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 https://w3auth.nist.gov/file/365086 https://w3auth.nist.gov/file/365086 the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 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-01 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 (certs and reps). If an applicant has updated their SAM.gov entity registration since 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-01” 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-01 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 (20) 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 projective narrative should contain the following information:

a. Executive Summary. An executive summary of the proposed approach, consistent with the evaluation criteria (see Section V.1.

of this NOFO). The executive summary should include information indicating how each evaluation criterion and its sub-factors are https://w3auth.nist.gov/file/365091 https://w3auth.nist.gov/file/365091 https://w3auth.nist.gov/file/365096 https://w3auth.nist.gov/file/365096 the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 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 evaluation criterion (see Sections V.1.a. and V.1.c. 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).

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 Resource Availability evaluation criterion (see Section V.1.d. 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.

f. Dissemination Plan. A description of the applicant’s approach to broadly disseminate the results of the prospective economic impact assessment to the public. The plan should include an approach to publish results through publications and white papers in appropriate literature, and through presentations at public meetings or technical events.

g. Similar Research Applications. Provide a list of all current and pending applications for similar research, including the amounts requested and the source that was or is considering the applications.

(8) Budget Narrative and Justification.

There is no set format for the Budget Narrative and Justification;

however, further explanation must be provided for the specific cost the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 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.

The Budget Narrative does not count against the twenty (20) page limit of the Project Narrative.

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.

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.

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.

https://w3auth.nist.gov/file/365091 https://w3auth.nist.gov/file/365091 http://go.usa.gov/SBYh the Internet of Things (IOT) Notice of Funding Opportunity

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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.

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.

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 Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 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.b.(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 Section B.06 of the Department of Commerce Financial Assistance Standard Terms and Conditions, dated April 30, 2019.

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 5700.009, Managing Public Access to Results of Federally Funded Research, and NIST Order 5701.0010, Managing Public Access to Results of Federally

9 https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-P-5700.pdf 10 https://www.nist.gov/sites/default/files/documents/2017/05/09/Final-O-5701_0.pdf 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 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 the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019

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 Foundation11 or the National Institutes of Health12).

All applications for activities that will generate scientific data using NIST funding are required to submit 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.

(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.)

11 http://www.nsf.gov/bfa/dias/policy/dmp.jsp 12 http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm http://go.usa.gov/3sZvQ https://www.grants.gov/forms/r-r-family.html http://www.nsf.gov/bfa/dias/policy/dmp.jsp http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 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 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 https://www.nist.gov/oaam/grants-management-division/current-and-pending-support https://www.nist.gov/oaam/grants-management-division/current-and-pending-support the Internet of Things (IOT) Notice of Funding Opportunity

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

After submitting the application, check the status of your application here:

CHECK APPLICATION STATUS . 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://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStar ted.htm 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.

http://www.grants.gov/ https://www.grants.gov/help/html/help/index.htm#t=Applicants%2FCheckApplicationStatus%2FCheckApplicationStatus.htm https://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm https://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm mailto:support@grants.gov http://go.usa.gov/cjamz the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019

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 displayed in 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 (20) pages double spaced, noting the limit of two (2) pages for the Executive Summary. Resumes are not included in the page count of the Project Narrative. However, 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 and Justification;

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. English. 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.

the Internet of Things (IOT) Notice of Funding Opportunity

(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, Wednesday, July 24, 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:

the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019

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

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 applicants will receive e-mail notifications over a period of up to two business days as the application moves through intermediate systems before the applicant learns via a validation or rejection notification whether NIST has received the application. (See Grants.gov for full information on application and notification through Grants.gov.) Please note that a Federal assistance award cannot be issued if the designated recipient’s registration in the System for Award Management (SAM.gov) is not current at the time of the award.

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

6. Funding Restrictions

Applications for product development and/or commercialization are not considered responsive to this NOFO. Profit or fee is not an allowable cost.

7. Other Submission Requirements

a. Applications must be submitted electronically.

(1) Applications must be submitted at Grants.gov.

(a) Applicants should carefully follow specific Grants.gov instructions to ensure that all attachments will be accepted by the Grants.gov system. A receipt from Grants.gov indicating an application is received does not provide information about whether attachments have been received. For further information or questions regarding applying electronically for the 2019-NIST-TPO-01 announcement, contact Leon Sampson by phone at 301-975-3086 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 http://www.grants.gov/ mailto:grants@nist.gov the Internet of Things (IOT) Notice of Funding Opportunity

May 22, 2019 registrant can apply electronically. The typical registration process takes three to five business days. If problems are encountered, the registration process can take two weeks or more. Applicants must have a valid unique entity identifier number and must maintain a current registration in the Federal government’s primary registrant database, the System for Award Management (https://www.sam.gov/), as explained on the Grants.gov Web site (also see Section IV.3. of this NOFO). After registering, it may take several days or longer from the initial log-on before a new Grants.gov system user can submit an application. Only individuals authorized as organization representatives will be able to submit the application, and the system may need time to process a submitted application. Applicants should save and print the proof of submission they receive from Grants.gov. If problems occur while using Grants.gov, the applicant is advised to (a) print any error message received and (b) call Grants.gov directly for immediate assistance. If calling from within the United States or from a U.S.

territory, please call 800-518-4726. If calling from a place other than the United States or a U.S. territory, please call 606-545-5035.

Assistance…