2020-NIST-FS-COE-01 RFA.pdf

2020-NIST-FS-COE-01

Request for Application

January 24, 2020

REQUEST FOR APPLICATION (RFA)

NIST Forensic Science Center of Excellence

EXECUTIVE SUMMARY

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

• Request for Application Title: Request for Application (RFA) NIST Forensic Science Center of Excellence

• Announcement Type: Initial Announcement

• Funding Opportunity Number: 2020-NIST-FS-COE-01

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

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

Eastern Time, Monday, February 24, 2020. Application received after this deadline will not be reviewed or considered. Paper applications will not be accepted.

NIST expects to complete its review, selection of successful applicants, and award processing by April 2020. NIST expects the earliest start date for awards under this RFA to be April 2020.

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

• Funding Opportunity Description: The NIST is soliciting a renewal application from Iowa State University for the NIST Forensic Science Center of Excellence.

• Anticipated Amounts: NIST anticipates approximately $4,000,000 per year may be made available to award one (1) multi-year award for up to five (5) years. This award will not be eligible for further renewal.

• Funding Instrument: Cooperative Agreement.

• Eligibility: The only eligible applicant is Iowa State University.

• Cost Sharing Requirements: Non-federal cost share is not required.

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 Forensic Science Center of Excellence is 15 U.S.C. §(b)(3), (b)(4), (b)(8), (b)(10), (b)(11), (c)(3), (c)(18), and (c)(22).

The NIST is seeking an application from Iowa State University for a renewal award for the Forensic Science Center of Excellence, in which NIST seeks to enable the application of probabilistic analysis to two forensic science disciplines: pattern evidence and digital evidence.

A critical need in the forensic science community is a more thorough understanding and contextualizing of the uncertainty associated with scientific measurements and/or analytical techniques. Reporting uncertainty in forensic science measurements is currently an uncommon practice, largely because the forensic science community demands an unequivocal conclusion of a binary analysis (in particular, whether or not an item is uniquely associated with a particular source).

One approach that could help address this gap in forensic science and strengthen the impact of the evidence is probabilistic analysis. Probabilistic analysis that enables a detailed examination of uncertainties is possible, allowing for a numerical justification for the conclusions made by forensic analysts. There are, however, several major obstacles when applying probabilistic analysis to the field of forensic science, including the need for robust statistical methods for specific forensic science disciplines and the limited availability of probabilistic method training tools for practitioners and relevant stakeholders.

The Forensic Science Center of Excellence should leverage NIST’s expertise and experience in pattern evidence, digital evidence, and statistics to advance the utility of probabilistic methods to enhance forensic analysis. NIST research in forensic science is described at http://www.nist.gov/forensics.

Broadly, the goals of the Center are to:

1. Provide a strong scientific basis in probabilistic methods and computation development;

2. Create education and training infrastructure in probabilistic methods for practitioners, nonpractitioners and stakeholders, and;

3. Promote competence building among and dialogue between NIST, academia, and the forensic science community.

The center should realize these goals through many activities including, but not limited to:

1. Applying advanced statistical methods for both current and new methods of forensic analysis;

2. Assessing the application and robustness of probabilistic methods through (for example) round robin testing and standard test data;

3. Supporting the development of standard tools and techniques for the forensic science community; and

4. Robust engagement with forensic science practitioners to ensure the Center’s products are applicable and fit-for-purpose in real-world environments.

Specifically, the center should address probabilistic methods development in pattern and digital evidence, noting that the relative effort should be commensurate with the expertise and qualifications of the applicant.

The development and deployment of probabilistic method tools and infrastructure to the forensic science stakeholder community is an imperative for the center to have lasting impact on the forensic science community. The applicant should provide a robust plan to develop new training tools in the application of probabilistic methods for practitioners and educational tools on how to interpret probabilistic results for non-practitioners. The application should clearly address how different groups within the greater forensic science community will be engaged, and how that engagement will be assessed.

It is anticipated that the Center will develop and implement an intellectual property (IP) management plan, consistent with Section C.03., Department of Commerce Financial Assistance Standard Terms and Conditions, “Intellectual Property Rights,” and authorities referenced therein, which addresses ownership and licensing of all IP created or acquired under the award and pre-existing IP used under the award by any of the award participants, including subawardees, contractors, and/or other collaborators, who participate in the project. It is expected that the awardee will obtain the concurrence of each award participant to the http://www.nist.gov/forensics 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 awardee’s IP management plan. Given the objective of providing decision-makers and professionals with methods and tools to utilize probabilistic methods in the greater forensic science community, NIST may require the awardee to transfer to NIST its copyright in a particular work (for example, a data architecture or data management tool) if NIST will undertake the primary dissemination of the work.

II. Federal Award Information

1. Funding Instrument: The funding instrument used in this program will be a cooperative agreement. The nature of NIST’s “substantial involvement” will generally include collaboration with the recipient in executing the approved scope of work.

2. Multi-Year Funding Policy: When an application for a multi-year award is approved, funding will usually be provided for only the first year of the project. If a project is selected for funding, NIST has no obligation to provide any additional funding 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. Under this RFA, NIST may elect to fully fund an award or to fund an award in accordance with the Multi-Year Funding policy.

3. Funding Availability: NIST anticipates approximately $4,000,000 per year may be made available to award one (1) multi-year award for up to five (5) years. This award will not be eligible for further renewal.

III. Eligibility Information

1. Eligible Applicants. The only eligible applicant is Iowa State University.

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 2020-NIST-FS-COE- 01.

2. Content and Form of Application Submission

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

http://www.grants.gov/

(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.

Information regarding the SF-424 (R&R) is available in the R&R Family Section of Grants.gov.

(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 (9) 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. Information regarding the Research & Related Budget (Total Fed + Non-Fed) is available in the R&R Family Section of Grants.gov.

https://www.grants.gov/forms/r-r-family.html https://www.grants.gov/forms/r-r-family.html

(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 “2020-NIST-FS-

COE-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 questions and use this form to attach the Technical Proposal (item (7) below), the Indirect Cost Rate Agreement (item (10) below), the Data Management Plan (item (12) below), and the Current and Pending Support Form (item 14 below). Instructions for completing the Research and Related Other Project Information form can be found in the R&R Family Section of Grants.gov. 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) Technical Proposal. The Technical Proposal is a word-processed document of no more than forty (40) pages responsive to the program description (see Section I. of this RFA) and the evaluation criteria (see Section V.1. of this RFA). It should contain the following information:

(a) Executive Summary. An executive summary, describing the

Forensic Science Center of Excellence. The executive summary should not exceed one (1) single-sided page.

(b) Statement of Work. A statement of work that discusses the specific tasks proposed to be performed, including a schedule of measurable events and milestones, to achieve the goals outlined in Section I. to serve communities, professionals, and researchers by advancing community resilience assessment and planning methods. This section will be evaluated according to the Rationality and Technical Merit of Contribution evaluation criteria (see Section V.1.i and V.1.iii of this RFA).

The application should describe how the recipient plans to advance the development of probabilistic methods to achieve the three goals of the center as described in Section I. of this RFA.

The application should address how the Center will establish collaborations between NIST, partner institutions and other forensic science stakeholders through mechanisms such as staff exchanges, post-doctoral researchers, and other partnering mechanisms.

In addition to the description of work envisioned in the renewal period included above, the technical proposal should discuss how the proposed research will build on the successes of the first award period.

(c) Experience, Qualifications and Resource Availability. A description of the experience, qualifications and proposed operational or management activities of key personnel, representing forensic science and other relevant technical equities, who will be assigned to work on the proposed project must be provided, including examples of past experience leading programs similar in nature to those described in this RFA, experience working with state government representatives, industry, academia, independent research organizations, and/or related organizations.

The application should describe how the recipient will manage the funds to support R&D in the area of Forensic Science to achieve the thrusts described in Section I. Specifically, the application should:

describe the resources committed to the proposal, including the allocation of funds to personnel, equipment, and nature of subawards (if any); and describe how the resources will support the applicant’s proposed work.

The application should also address:

How will the research and the management/governance approach be different given lessons learned from the first period?

What changes, if any, will be made to collaborators and sub-awardees, and why?

What is the plan for preparing for the end of the award in 5 years? That is, how will the Center ramp down activities and/or become self-sustaining at the end of the award period?

The application should illustrate the technical expertise of the applicant relevant to achieving successful outcomes in the areas identified in Section I. of this RFA.

This section will be evaluated according to the Experience, Qualifications and Resource Availability evaluation criteria (see Section V.1.ii. of this RFA).

(d) Success Metrics. Three or more metrics that indicate whether measurable progress is being made towards programmatic objectives (see Section I. of this RFA) should be described, including meaningful use of research outputs by the forensic science community such as researchers and practitioners. Outputs from the Center may be quantified, such as the number and quality of publications, number and types of training tools developed and made publicly available. Impact metrics are strongly encouraged and could include such topics as listing the specific forensic community stakeholders that are supported, gauging probabilistic method adoption, guidelines developed, or consensus standards submitted or approved. The application should describe plans and metrics for evaluating the outputs of the research effort and describe plans that demonstrate meaningful use, or potential for eventual use by communities and professionals.

This section will be evaluated according to the Success Metrics evaluation criteria (see Section V.1.iv. of this RFA).

(8) Resume(s). Resumes are required for all key personnel, including the principal investigator/project lead(s). Awardees are advised that any changes to individuals deemed ‘key personnel’, including disengagement from the project for more than three months or a 25% reduction of effort, will require prior approval, in writing, by the NIST Grants Officer.

This section will be evaluated in accordance with the Experience, Qualifications and Resource Availability evaluation criterion (see Section V.1.ii. of this RFA). There are no page limits for resumes.

However, any material considered inappropriate for inclusion in a resume (e.g. supplementary text for another section) will be redacted and not provided to the reviewers.

Resumes do not count against the forty (40) page limit of the Technical Proposal.

(9) Budget Narrative and Justification. There is no set format for the Budget Narrative and Justification. 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 forty (40) page limit of the Technical Proposal.

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.

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 - 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 http://go.usa.gov/SBYh 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. For equipment purchases yet to be determined provide best estimates based on prior experience.

D. Travel - For travel costs required by the recipient to complete the project, including attendance at any relevant conferences, the budget justification for known travel should include the following:

destination; names and number of people traveling; dates and/or duration; mode of transportation, lodging and subsistence rates;

and description of how the travel is directly related to the proposed project. For travel that is yet to be determined, please provide best 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 completion of the proposed project. Only allowable costs can be charged to the award. Each subaward or contractual cost or 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.

This section will be evaluated in accordance with the Experience Qualifications and Resource Availability evaluation criteria (see Section V.1.ii of this RFA). It will also be reviewed to determine if all costs are reasonable, allocable, and allowable under 2 C.F.R. Part 200 Subpart E, Cost Principles.

(10) Indirect Cost Rate Agreement.

If indirect costs are included in the proposed budget, provide a copy of the approved negotiated agreement if this rate was negotiated with a cognizant Federal audit agency. If the rate was not established by a cognizant Federal audit agency, provide a statement to this effect.

(11) Letters of Commitment.

(a) Letters of commitment to participate, as applicable. If the applicant’s proposal identifies third parties including contractors, subawardees, and/or other collaborators who will participate in the proposed project, effectively forming a team or consortium, then a letter from each, currently known participant, describing its participation should be submitted. Each letter should indicate the organization’s willingness to participate and what they will be doing for the project. A letter should be submitted whether or not the organization is receiving Federal funds.

(b) Letters of Interest, optional. Letters of interest may be provided from parties who might benefit from the technology or knowledge developed as discussed in the proposed project.

Letters of Commitment will be evaluated in accordance with the Experience, Qualifications and Resource Availability evaluation criteria (see Section V.1.ii.) of this RFA). Letters of commitment do not count against the forty (40) page limit of the Technical Proposal.

(12) Data Management Plan.

Consistent with NIST Policy 5700.001, Managing Public Access to Results of Federally Funded Research, and NIST Order 5701.002, Managing Public Access to Results of Federally Funded Research”, applicants must include a Data Management Plan (DMP).

The DMP is a supplementary document of not more than two pages that must include, at a minimum, a summary of proposed activities that are expected to generate data, a summary of the types of data expected to be generated by the identified activities, a plan for storage and maintenance of the data expected to be generated by the identified activities, and a plan describing whether and how data generated by the identified activities will be reviewed and made available to the public. As long as the DMP meets these NIST requirements, it may take the form specified by the applicant’s institution or some other entity (e.g., the National Science Foundation3 or the National Institutes of Health4).

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

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

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

The inclusion of the DMP will be considered as part of the administrative review (see Section V.3.a. of this RFA); however, the DMP will not be evaluated against any evaluation criteria.

(13) Subaward Budget Form.

The Research & Related Subaward Budget 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 Grants.gov and scrolling down to the R & R Subaward Budget Attachment(s) Form and selecting “Instructions.”

(14) Current and Pending Support Form.

Any application that includes investigators, researchers, and key

1 https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf 2 https://www.nist.gov/system/files/documents/2019/11/08/final_o_5701_ver_2.pdf 3 http://www.nsf.gov/bfa/dias/policy/dmp.jsp 4 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 https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf https://www.nist.gov/system/files/documents/2019/11/08/final_o_5701_ver_2.pdf http://www.nsf.gov/bfa/dias/policy/dmp.jsp http://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm 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:

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 Technical Proposal, 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.(9), 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”.

https://www.nist.gov/oaam/grants-management-division/current-and-pending-support https://www.nist.gov/oaam/grants-management-division/current-and-pending-support

Items IV.2.a.(8), Resume(s), IV.2.a.(10), the Indirect Cost Rate Agreement, IV.2.a.(11), Letters of Commitment, IV.2.a.(12), the Data Management Plan, and IV.2.a.(14), 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.(13), 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.

c. Application Format

(1) Paper, E-mail and Facsimile (fax) Submissions. Will not be accepted.

(2) Figures, Graphs, Images, and Pictures. Should be of a size that is easily readable or viewable and may be landscape orientation. Any figures, graphs, images, or pictures will count toward the forty (40) page limit for the Technical Proposal.

(3) Font. Easy to read font (12-point minimum). Smaller type may be used in figures and tables but must be clearly legible.

(4) Page Limits. The Technical Proposal is a word-processed document of no more than forty (40) pages (single spaced) responsive to the program description (see Section I. of this RFA) and the evaluation criteria (see Section V.1. of this RFA).

(5) Page Limit Excludes: 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; Resumes of key personnel; Budget Narrative; Indirect Cost Rate Agreement; Data Management Plan; Letters of Commitment; Letters of Support; and Current and Pending Support Form.

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

(7) 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.

d. Application Replacement Pages. Applicants may not submit replacement pages and/or missing documents once an application has been submitted.

Revisions can only be made by submitting a complete new application that is received by NIST before the submission deadline.

e. Pre-Application. Pre-application will not be accepted under this RFA.

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

Electronic application must be received at grants.gov no later than 11:59 p.m.

Eastern Time, Monday, February 24, 2020. Applications received after this deadline will not be reviewed or considered. Paper applications will not be accepted.

NIST expects to complete its review, selection of successful applicants, and award processing by April 2020. NIST expects the earliest start date for awards under this RFA to be April 2020.

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

6. Funding Restrictions

Profit or fee is not an allowable cost.

7. Other Submission Requirements

a. Application must be submitted electronically.

(1) Application must be submitted via Grants.gov 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 2020-NIST-FS-COE-01 announcement, contact grants.gov by phone at 800-518-4726 or by email at grants@nist.gov.

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

Grants.gov.

V. Application Review Information

1. Evaluation Criteria The evaluation criteria that will be used in evaluating applications and the assigned weights are as follows:

i. Rationality (0 to 20 points). The clarity and likelihood of success of the applicant’s approach to effectively achieve the goals outlined in Section I. of this RFA to enable the application of probabilistic analysis to the field of forensic science.

ii. Experience, Qualifications and Resource Availability (0 to 30 points). The extent to which the applicant has access to the expertise, necessary facilities and resources to achieve the goals described in Section I. of this RFA. Factors considered as a whole and not given particular weights within the category include: (1) the degree to which resources committed to the proposal (personnel, equipment, and subawards) are appropriate for the project’s scope;

(2) the experience and qualifications of key personnel and the breadth and depth of the multidisciplinary team; (3) the quality of organizational resources proposed to be used on the project; (4) the rationality and potential effectiveness of any planned subawards and/or contracts; (5) the robustness of plans for how the Center will establish collaborations between NIST, partner institutions, and other forensic science stakeholders; (6) rationality of changes to the center (e.g., management, governance, collaborators) based on the lessons learned in the first five years of the center; (7) reasonableness of the plan for preparing for the end of the award in 5 years; and (8) the rationality and effectiveness of plans to manage intellectual property (IP) generated during the award period (as applicable) and to ensure the forensic science community’s use of data and tools developed by the Center.

iii. Technical Merit of Contribution (0 to 40 points). The technical merit of the proposed work and the likelihood it will contribute to future breakthroughs in the forensic science community described in Section I. of this RFA. Factors considered as a whole and not given particular weights within the category include: (1) creativity and originality of the proposed approach; (2) plausibility of the technical approach; (3) scope of work, including the number and type of probabilistic methods developed and robustness of engagement with forensic science practitioners and broader forensic science community; (4) the magnitude and reach of potential technical outcomes; (5) linkage between the technical outcomes and forensic science community needs; and (6) degree of integration with NIST programs and capabilities in the areas of forensic science (see Section I. of this RFA).

iv. Success Metrics (0 to 10 points). The clarity and quality of proposed metrics and mechanisms for evaluating the effectiveness of outputs from the Forensic Science Center of Excellence, including the engagement, education, training and use of the Center’s developed tools by the greater forensic science stakeholder community.

2. Selection Factors

The Selection Factors are:

a. Results of the merit reviewers’ evaluations.

b. The availability of funding.

c. The extent to which the proposed scope of the research (materials, computational methods, personnel, or equipment) is complementary to the research programs and research goals in these areas at NIST described at https://www.nist.gov/topics/forensic-science.

d. The relevance to the program as described in Section I. of this

RFA.

e. Whether the project duplicates other projects funded by the Department of Commerce or other Federal agencies.

f. The results of any independent, objective evaluations of the Forensic Science Center of Excellence undertaken by NIST.

g. The results of an overall assessment, consistent with the potential long-term nature and purpose of the program, including programmatic, policy, and responsibility assessments, consistent with Department of Commerce and NIST policies and procedures.

3. RFA Review and Selection Process

a. Initial Administrative Review of the Application. An initial review of the application will be conducted to determine eligibility, completeness, and responsiveness to this RFA and the scope of the stated program objectives. If the Proposal is determined to be ineligible, incomplete, and/or non- responsive, NIST may terminate review at that point.

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

Application. If the application is determined to be eligible, complete, and responsive, it will proceed for full reviews in accordance with the review and selection process below:

The application will be reviewed by at least three (3) independent, objective reviewers, knowledgeable in the subject matter of this RFA and its objectives and who are able to conduct a review based on the evaluation criteria (see Section V.1. of this RFA). The reviewers may discuss the proposals with each other, but scores will be determined on an individual basis, not as a consensus.

The Selecting Official, the Associate Director for Laboratory Programs, will make the final recommendation to the NIST Grants Office. The Selecting Official will take into consideration the results of the reviewers’ evaluations and the Selection Factors in Section V.2 of this RFA.

NIST reserves the right to negotiate the budget costs with the applicant, which may include requesting that the applicant remove certain costs. Additionally, NIST may request that the https://www.nist.gov/topics/forensic-science applicant modify objectives or work plans and provide supplemental information required by the agency prior to award.

The final approval of selected application and issuance of awards will be by the NIST Grants Officer. The award decisions of the NIST Grants Officer are final.

4. Additional Information

a. Proposal 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 by the submission deadline via Grants.gov.

b. Anticipated Announcement and Award Date Review of application, selection of the successful applicant, and award processing is expected to be completed by April 2020.

The earliest start date for awards under this RFA is expected to be April 2020.

c. Additional Information

i. Safety. Safety is a top priority at NIST. Employees and affiliates of award recipients who conduct project work at NIST will be expected to be safety-conscious, to attend NIST safety training, and to comply with all NIST safety policies and procedures, and with all applicable terms of their guest research agreement.

ii. Notification if Applicant is Unsuccessful. If unsuccessful, the applicant will be notified by e-mail and will have the opportunity to receive a debriefing.

iii. Retention of Unsuccessful Application. Any unsuccessful application would be retained in accordance with the General Record Schedule 1.2/021.

VI. Federal Award Administration Information

1. Federal Award Notices. If successful, the applicant will receive an award package from the NIST Grants Officer.

2. Administrative and National Policy Requirements https://www.archives.gov/files/records-mgmt/grs/grs01-2.pdf https://www.archives.gov/files/records-mgmt/grs/grs01-2.pdf

a. Uniform Administrative Requirements, Cost Principles and Audit Requirements. Through 2 C.F.R. § 1327.101, the Department of Commerce adopted Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 C.F.R. Part 200, which apply to awards in this program. Refer to http://go.usa.gov/SBYh and http://go.usa.gov/SBg4.

b. Department of Commerce Financial Assistance Standard Terms and

Conditions. The Department of Commerce will apply to each award in this program, the Financial Assistance Standard Terms and Conditions in effect on the date of award. The current version, dated April 30, 2019, is accessible here. Refer to Section VII. of this RFA, Federal Awarding Agency Contacts, Grant Rules and Regulations, if you need more information.

c. Pre-Award Notification Requirements. The Department of Commerce will apply the Pre-Award Notification Requirements for Grants and Cooperative Agreements dated December 30, 2014 (79 FR 78390), accessible at http://go.usa.gov/hKkR. Refer to Section VII. of this RFA, Federal Awarding Agency Contacts, Grant Rules and Regulations, for more information.

d. Funding Availability and Limitation of Liability. NIST or the

Department of Commerce will not be responsible for application preparation costs under any circumstances, including but not limited to if this program fails to receive funding or is cancelled because of agency priorities. Publication of this RFA does not oblige NIST or the Department of Commerce to award any specific project or to obligate any available funds.

e. Collaborations with NIST Employees. The statement of work should include a statement of collaboration with NIST, a description of the collaboration, and prominently identify the NIST employee(s) involved, if known. Any collaboration by a NIST employee must be approved by appropriate NIST management and is at the sole discretion of NIST. Prior to beginning the merit review process, NIST will verify the approval of the proposed collaboration. Any unapproved collaboration will be stricken from the application prior to the merit review.

f. Use of NIST Intellectual Property. If the applicant anticipates using any

NIST-owned intellectual property to carry out the work proposed, the applicant should identify such intellectual property. This information will be used to ensure that no NIST employee involved in the development of the intellectual property will participate in the review process for that http://go.usa.gov/SBYh http://go.usa.gov/SBg4 http://www.osec.doc.gov/oam/grants_management/policy/documents/Department%20of%20Commerce%20Standard%20Terms%20Conditions%2030%20April%202019.pdf http://go.usa.gov/hKkR competition. In addition, if the applicant intends to use NIST-owned intellectual property, the applicant must comply with all statutes and regulations governing the licensing of Federal government patents and inventions, described in 35 U.S.C. §§ 200-212, 37 C.F.R. Part 401, 2 C.F.R. §200.315, and in Section C.03 of the Department of Commerce Financial Assistance Terms and Conditions dated April 30, 2019, accessible at: Department of Commerce Standard Terms and Conditions.

Any use of NIST-owned intellectual property by a recipient of an award under this announcement is at the sole discretion of NIST and will be negotiated on a case-by-case basis if a project is deemed meritorious.

The applicant should indicate within the statement of work whether it already has a license to use such intellectual property or whether it intends to seek one.

If any inventions made in whole or in part by a NIST employee arise in the course of an award made pursuant to this RFA, the United States government may retain its ownership rights in any such invention.

Licensing or other disposition of NIST's rights in such inventions will be determined solely by NIST and include the possibility of NIST putting the intellectual property into the public domain.

g. Research Activities Involving Human Subjects, Human Tissue, Data or Recordings Involving Human Subjects Including Software Testing.

Any application that includes research activities involving human subjects, human tissue/cells, or data or recordings from or about human subjects, must satisfy the requirements of the Common Rule for the Protection of Human Subjects (“Common Rule”), codified for the Department of Commerce at 15 C.F.R. Part 27. Research activities involving human subjects that fall within one or more of the classes of vulnerable subjects found in 45 C.F.R. Part 46, Subparts B, C and D must satisfy the requirements of the applicable subpart(s). In addition, any such application that includes research activities on these subjects must be in compliance with all applicable statutory requirements imposed upon the Department of Health and Human Services (DHHS) and other Federal agencies, all regulations, policies and guidance adopted by DHHS, the Food and Drug Administration (FDA), and other Federal agencies on these topics, and all Executive Orders and Presidential statements of policy on applicable topics. (Regulatory Resources:

http://www.hhs.gov/ohrp/humansubjects/index.html which includes links to FDA regulations, but may not include all applicable regulations and policies).

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

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

Research: A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program which is considered research for other purposes. For example, some demonstration and service programs may include research activities.

Human Subject: A living individual about whom an investigator (whether professional or student) conducting research: (i) Obtains information or biospecimens through intervention or interaction with the individual, and uses, studies, or analyzes the information or biospecimens; or (ii) Obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens.

(1) Intervention includes both physical procedures by which information or biospecimens are gathered and manipulations of the subject or the subject's environment that are performed for research purposes.

(2) Interaction includes communication or interpersonal contact between investigator and subject.

(3) Private information includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and information which has been provided for specific purposes by an individual and that the individual can reasonably expect will not be made public (for example, a medical record). Private information must be individually identifiable (i.e., the identity of the subject is or may readily be ascertained by the investigator associated with the information) in order for obtaining the information to constitute research involving human subjects.

(4) Identifiable biospecimen includes a biospecimen for which the identity of the subject is or may readily be ascertained by the investigator or associated with the biospecimen.

See 15 C.F.R. § 27.102 (Definitions).

1) Requirement for Federalwide Assurance. If the application is accepted for [or awarded] funding, organizations that have an Institutional Review Board (IRB) are required to follow the procedures of their organization for approval of exempt and non-exempt research activities that involve human subjects. Both domestic and foreign organizations performing exempt research requiring limited IRB review or non-exempt research activities involving human subjects will be required to have protocols approved by a cognizant, active IRB currently registered with the Office for Human Research Protections (OHRP) within the DHHS that is linked to the engaged organizations.

All engaged organizations must possess a currently valid Federalwide Assurance (FWA) on file from OHRP. Information regarding how to apply for an FWA and register an IRB with OHRP can be found at http://www.hhs.gov/ohrp/assurances/index.html. See 15 C.F.R. §

27.103. NIST relies only on OHRP-issued FWAs and IRB

Registrations for both domestic and foreign organizations for NIST supported research involving human subjects. NIST will not issue its own FWAs or IRB Registrations for domestic or foreign organizations.

2)…