NIST SURF Announcement of Federal Funding Opportunity FY 15

December 11, 2014
ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY (FFO)
Summer Undergraduate Research Fellowship (SURF) Program
EXECUTIVE SUMMARY
•

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

•

Funding Opportunity Title: Summer Undergraduate Research Fellowship (SURF)
Program:
o SURF operating on the Boulder, Colorado campus (SURF Boulder) and
the Gaithersburg, Maryland campus (SURF Gaithersburg)

•

Announcement Type: Initial

•

Funding Opportunity Number: 2015-NIST-SURF-01

•

Catalog of Federal Domestic Assistance (CFDA) Number: 11.620, Science,
Technology, Business and/or Education Outreach

•

Dates: SURF Boulder and SURF Gaithersburg receive and process
applications separately. Electronic applications for both campuses must be
received no later than 11:59 p.m. Eastern Time, Friday, February 13, 2015. Paper
applications must be received by mail (see Section IV.6.a.(1). of this FFO) by:
o 5:00 p.m. Mountain Time, Friday, February 13, 2015 for SURF Boulder
o 5:00 p.m. Eastern Time, Friday, February 13, 2015 for SURF Gaithersburg
Applications received after the respective deadline will not be reviewed or
considered. Review, selection, and award processing is expected to be completed
in April 2015. The earliest anticipated start date for awards made under this FFO is
expected to be May 1, 2015.
The SURF Program is anticipated to run from:
o Monday, May 18, 2015 through Friday, July 31, 2015 for SURF Boulder;
and
o Tuesday, May 26, 2015 through Friday, August 7, 2015 for SURF
Gaithersburg.
Adjustments may be made to accommodate specific academic schedules (to
accommodate colleges or universities operating on quarter systems). e.g., a limited
number of 11-week programs with the schedule shifted to begin after the regular
start for SURF Boulder; or 9-week programs with the schedule shifted to begin after
the regular start, i.e., Monday, June 8, 2015 to Friday, August 7, 2015 for SURF
1

Gaithersburg.
When developing your submission timeline, keep in mind that (1) a free annual
registration process in the electronic System for Award Management (SAM)
(see Section VI.4.b.) may take between three and five business days or as long
as more than two weeks, and (2) applicants using Grants.gov will receive a
series of receipts over a period of up to two business days before learning via
a validation or rejection whether a Federal agency’s electronic system has
received its application.
•

Application Submission Address: See Section IV. in the Full Announcement Text
of this FFO. Applicants applying to both SURF Boulder and SURF Gaithersburg
must submit a separate application for each site.

•

Funding Opportunity Description: NIST is soliciting applications from eligible
colleges and universities in the U.S. and its territories, nominating undergraduate
students to participate in the Summer Undergraduate Research Fellowship (SURF)
Program. The SURF Program will provide research opportunities for undergraduate
students to work with NIST scientists and engineers, to expose them to cutting-edge
research, and to promote the pursuit of graduate degrees in science and
engineering.

•

Anticipated Funding Amounts: Approximately $1,001,000 for new awards may be
available (approximately $182,000 for SURF Boulder and $819,000 for SURF
Gaithersburg). NIST anticipates that individual awards to institutions will range from
approximately $9,000-$72,000 and will support approximately 110 undergraduate
students in total. The total number of awards will depend upon the number of
undergraduate students selected per institution to attend SURF Boulder or SURF
Gaithersburg.

•

Funding Instrument: Cooperative Agreement.

•

Who is Eligible: Colleges and universities in the U.S. and its territories with
degree-granting programs in biology, chemistry, computer science, engineering,
materials science, mathematics, nanoscale science, neutron research, and/or
physics. Due to the size of SURF Boulder, applicants that apply to SURF Boulder
are limited to nominating no more than eight (8) undergraduate students for
participation; however, at this time, applicants are not limited in the number of
students that they may nominate for SURF Gaithersburg. Each undergraduate
student nominated to participate in the SURF Program from the applicant college or
university must meet the requirements in Section III.1. of this FFO.

•

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

2

Table of Contents
I.

Funding Opportunity Description ........................................................................ 3

II.

Award Information ................................................................................................. 7

III.

Eligibility Information ............................................................................................ 9

IV. Application and Submission Information ............................................................ 9
V.

Application Review Information ......................................................................... 17

VI. Award Administration Information ..................................................................... 21
VII. Agency Contacts ................................................................................................. 32

FULL ANNOUNCEMENT TEXT
I. Funding Opportunity Description
The statutory authority for the SURF program is 15 U.S.C. § 278g-1(a).
NIST is one of the nation's premiere research institutions for the physical and
engineering sciences and, as the lead Federal agency for technology transfer, it
provides a strong interface between government, industry and academia. NIST
embodies a science culture, developed from a large and well-equipped research staff
that enthusiastically blends programs that address the immediate needs of industry with
longer-term research that anticipates future needs. This occurs in few other places and
enables the Center for Nanoscale Science and Technology (CNST), Communications
Technology Laboratory (CTL), Engineering Laboratory (EL), Information Technology
Laboratory (ITL), Material Measurement Laboratory (MML), NIST Center for Neutron
Research (NCNR), and Physical Measurement Laboratory (PML), to offer unique
research and training opportunities for undergraduates, providing them a research-rich
environment and exposure to state-of-the-art equipment.
The SURF Program provides an opportunity for the NIST laboratories (with partial
financial support from the National Science Foundation) to encourage outstanding
undergraduate students to pursue careers in science and engineering. The objective of
the SURF Program is to build a mutually beneficial relationship among the student, the
academic institution, and NIST. The SURF Program is conducted in English and will
provide research opportunities for students to work with NIST scientists and engineers,
to expose them to cutting-edge and world-class research, and to promote the pursuit of
graduate degrees in science and engineering. It is expected that the students
participating in the SURF Program will have a proficiency in writing and speaking
English, the ability to live and work with others, a commitment to honesty, and an
interest in learning measurement metrology and using their own innovativeness to
develop new science.
SURF students will have the opportunity to work one-on-one with NIST scientists and
3

engineers. In addition, SURF students may have opportunities to voluntarily participate
as subjects in minimal risk NIST research experiments, for example, an evaluation of
the quality, whiteness, and color rendering of different correlated color temperatures of
solid-state lamps in the NIST Spectrally Tunable Light Facility. It is anticipated that
successful SURF students will move from a position of reliance on guidance from their
NIST research advisors to one of research independence during the program period.
One goal of the SURF Program is to provide opportunities for our nation's next
generation of scientists and engineers to engage in scientific research of the highest
caliber at NIST, especially in ground-breaking areas of emerging technologies. This
carries with it the hope of motivating individuals to pursue Ph.D.s in biology, chemistry,
computer science, engineering, materials science, mathematics, nanoscale science,
neutron research, and/or physics, and to consider research careers. The SURF
Program is soliciting applications in these areas.
The SURF Program Directors will answer questions regarding the application process
and encourage the appropriate department chairs, outreach coordinators, and directors
of multi-disciplinary academic organizations to advertise the program and solicit their
best students (including graduating seniors) who would benefit from off-campus
summer research in a first-class scientific environment to participate.
NIST’s Center for Nanoscale Science and Technology (CNST) (in Gaithersburg only)
endeavors to provide science and industry with the necessary measurement methods,
standards, and technology to facilitate the development and productive use of
nanotechnology from discovery to production. CNST projects are focused on three
broad program areas: 1) Measurements for Future Electronics, 2) Measurements for
Nanofabrication and Nanomanufacturing, and 3) Measurements for Energy Storage,
Conversion, and Transport. Examples of projects currently underway within these
program areas are nanomagnetics, atomic scale characterization and fabrication of
graphene, nanoscale measurement and fabrication using laser-controlled atoms,
advanced Focused Ion Beam (FIB) development, modeling nanostructures in
mesoscopic environments, characterization of nanophotonic devices, transport in
nanoscale devices, scanned force microscopy, diblock copolymers, nanoparticle
assembly, metrology for electron-beam lithography, advanced electron-beam resist
development, and metrology for directed assembly. Much of this work is done in
CNST’s state-of-the-art nanofabrication clean room facility. Student research projects
will be theoretical or experimental.
NIST’s Communications Technology Laboratory (CTL) (in Boulder and Gaithersburg)
promotes the development and deployment of advanced communications technologies,
through the conduct of leading edge R&D on both the metrology and understanding of
physical phenomena, materials capabilities, and complex systems relevant to advanced
communications. CTL performs research in high-speed electronics, wireless systems
metrology, antennas, advanced optics, network design and optimization, spectrum
monitoring and resource sharing, and public safety communications. CTL also performs
research supporting a multi-level test bed facility, including the development of precision
instrumentation, validated test-protocols, models, and simulation tools necessary to
4

support the testing and validation of new communications technologies. In addition, in
SURF Gaithersburg, CTL and the Information Technology Laboratory (ITL) (see below)
combine the strengths and facilities of two Operating Units to jointly administer their
SURF activities.
NIST’s Engineering Laboratory (EL) (in Gaithersburg only) anticipates and meets the
measurement science and standards needs for technology-intensive manufacturing,
construction, and cyber-physical systems. Through its measurement focused research
and services, EL supplies critical enabling solutions to U.S. manufacturers, the
construction industry, and the broad array of businesses and other organizations that
build, own, operate, or maintain the nation’s vast physical infrastructure. EL researchers
investigate the use of intelligent machines, precision control of machine tools, and
information technology for the integration of all elements of a product's life cycle. Much
of this applied research is devoted to overcoming barriers to the next technological
revolution. EL's research and development leads to standards, test methods and data
that are crucial to industry's success in exploiting advanced manufacturing technology.
Critical components of manufacturing at any level are measurement and measurementrelated standards, not just for products, but increasingly for information about products
and processes. Thus, EL programs enhance both physical and information-based
measurements and standards. Research projects can be theoretical or experimental,
and will range in focus from intelligent machine control to characterizing a
manufacturing process to improving product data exchange in manufacturing. EL also
provides technical leadership and participates in developing the measurement and
standards infrastructure related to materials critical to U.S. industry, academia,
government, and the public. EL research in building and fire research covers a full
range of materials issues from design to processing to performance. Separate research
initiatives address concrete, coating, earthquake resistance of structures, fire science
and engineering, the theory and modeling of materials, and materials reliability.
Through laboratory-organized consortia and one-on-one collaborations, EL's scientists
and engineers work closely with industrial researchers, manufacturers of hightechnology products, and the major users of advanced materials.
NIST’s Information Technology Laboratory (ITL) (in Boulder and Gaithersburg)
responds to industry and user needs for objective, neutral tests for information
technology. These enabling tools help companies produce the next generation of
products and services, and help industries and individuals use these complex products
and services. ITL works with industry, research and government organizations to
develop and demonstrate tests, test methods, reference data, proof of concept
implementations and other infrastructural technologies. Program activities include: high
performance computing and communication systems; emerging network technologies;
access to, exchange, and retrieval of complex information; computational and statistical
methods; information security; and testing tools and methods to improve the quality of
software. In SURF Gaithersburg, CTL (see above) and ITL combine the strengths and
facilities of two Operating Units to jointly administer their SURF activities.
NIST's Material Measurement Laboratory (MML) (in Boulder and Gaithersburg) serves
5

as the national reference laboratory for measurement research, standards, and data in
the chemical, biological, and material sciences. MML research supports areas of
national importance such as advanced materials (from nanomaterials to structural steels
to complex fluids), electronics (from semiconductors to organic electronics), energy
(from characterization and performance of fossil and alternative fuels to next-generation
renewable sources of energy), the environment (from the measurement of automotive
exhaust emissions and other pollutants to assessment of climate change and the health
and safety aspects of man-made nanomaterials), food safety and nutrition (from
contaminant monitoring to ensuring the accuracy of nutritional labels), health care (from
clinical diagnostics to tissue engineering and more efficient manufacturing of biologic
drugs), infrastructure (from assessing the country's aging bridges and pipelines to the
quality of our drinking water), manufacturing (from lightweight alloys for fuel-efficient
automobiles to biomanufacturing and data for chemical manufacturing), and safety,
security and forensics (from gunshot and explosive residue detection, to ensuring the
performance of body armor materials, to DNA-based human identity testing). MML
conducts research in analytical chemistry, biochemical science, ceramics, chemical and
biochemical reference data, materials reliability, metallurgy, polymers, surface and
microanalysis science, and thermophysical properties of materials. MML offers two
programmatic choices: Chemical/Biochemical Sciences and Materials Science. In
addition, in SURF Gaithersburg MML and the NIST Center for Neutron Research (see
below) combine the strengths and facilities of two Operating Units to jointly administer
their SURF activities within these two programmatic choices.
NIST’s Center for Neutron Research (NCNR) (in Gaithersburg only) is a national
resource for industry, universities, and government agencies, focused on providing
neutron-measurement capabilities to the U.S. research community. Neutrons are
powerful probes of the structure and dynamics of materials ranging from molecules
inserted into membranes mimicking cell walls to protons migrating through fuel cells.
The unique properties of neutrons can be exploited by a variety of measurement
techniques to provide information not available by other means. They are particularly
well suited to investigate all forms of magnetic materials such as those used in
computer memory storage and retrieval. Atomic motion especially that of hydrogen, can
be measured and monitored, like that of water during the setting of cement. Residual
stresses such as those inside stamped steel automobile parts can be mapped.
Neutron-based research covers a broad spectrum of disciplines, including engineering,
biology, materials science, polymers, chemistry, and physics. In SURF Gaithersburg
MML (see above) and NCNR combine the strengths and facilities of two Operating Units
to jointly administer their SURF activities and offer two programmatic choices:
Chemical/Biochemical Sciences and Materials Science.
NIST’s Physical Measurement Laboratory (PML) (in Boulder and Gaithersburg) attends
to the long-term needs of many U.S. high-technology industries. NIST's PML conducts
basic research in the areas of quantum, electron, optical, atomic, molecular, and
radiation physics. To achieve these goals, PML staff develops and utilizes highly
specialized equipment, such as polarized electron microscopes, scanning tunneling
microscopes, lasers, and x-ray and synchrotron radiation sources. Research projects
6

can be theoretical or experimental and will range in focus from computer modeling of
fundamental processes through trapping atoms and choreographing molecular
collisions, to standards for radiation therapy. PML also conducts theoretical and
experimental research in length, mass, force, vibration, acoustics, and ultrasonics. In
addition, NIST’s PML strives to be the preeminent source of fundamental and industrialreference measurement methods and physical standards for electrotechnology. To be
a world-class resource for semiconductor measurements, data, models, and standards
focused on enhancing U.S. technological competitiveness in the world market, research
is conducted in semiconductor materials, processing, devices, and integrated circuits to
provide, through both experimental and theoretical work, the necessary basis for
understanding measurement-related requirements in semiconductor technology. To
provide the world's most technically advanced and fundamentally sound basis for all
electrical measurements in the United States, PML's research projects include
maintaining and disseminating the national electrical standards, developing the
measurement methods and services needed to support electrical materials,
components, instruments, and systems used for the generation, transmission, and
application of conducted electrical power, and related activities in support of the
electronics industry including research on video technology and electronic product data
exchange. PML offers two programmatic choices: Physics and Electrical Engineering.
II. 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 be
collaboration with the recipients in the scope of work and working jointly with the
undergraduate student(s) in carrying out the scope of work. Additional forms of
substantial involvement that may arise are described in Chapter 5.C of the DoC
Grants and Cooperative Agreements Manual, which is available at
http://www.osec.doc.gov/oam/grants_management/policy/documents/FINAL%20Ma
ster%20DOC%20Grants%20Manual%202013%20(03.01.13)_b.pdf. .
2. Funding Availability. Funds budgeted for payments to students under this program
are stipends, not salaries. The stipend is an amount that is expected to be provided
to the participating student to help defray the cost of living, for the duration of the
program, in the Boulder, CO or in the Gaithersburg, MD area.
The tables below summarize the anticipated FY 2015 funding levels for awards
under the SURF program, subject to the availability of funds. Program funding will
be available to provide for the costs of stipends ($5,500 per student), plus
transportation and lodging ($4,000 per student, see Section IV.2.a.(2). of this FFO).
If a student is unable to participate for the full 11 week period, then the amount of
the stipend will be calculated at a rate of $500 per week for that student.

7

Total
Program
Funding
~$ 18,200
~$ 9,100
~$ 54,600
~$100,100

SURF Boulder
CTL
ITL
MML
PML

Total
Program
Funding
~$ 36,400
~$182,000
~$ 91,000
~$145,600
~$136,500

SURF Gaithersburg
CNST
EL
ITL/CTL
MML/NCNR-Materials
MML/NCNR-Chemical/Biochemical
Sciences
PML-Physics
PML-Electrical Engineering

~$100,100
~$127,400

Anticipated
No. of Students
~2
~1
~6
~11

Anticipated
No. of Students
~4
~20
~10
~16
~15
~11
~14

The actual number of awards made under this FFO will depend on the proposed
budgets and the availability of funding.
NIST anticipates that approximately $1,001,000 for new awards may be available
(approximately $182,000 for SURF Boulder and $819,000 for SURF Gaithersburg,
see tables above). NIST anticipates that individual awards to institutions will range
from approximately $9,000-$72,000 and will support approximately 110
undergraduate students in total (see tables above). The total number of awards will
depend upon the number of undergraduate students selected per institution to
attend SURF Boulder or SURF Gaithersburg.
Funding for student transportation and lodging will be included in the awards under
this FFO. To assure that students can successfully participate in SURF, award
recipients (i.e., colleges and universities) should disburse funds in a timely manner
for student transportation, lodging, and stipends. This is necessary to enable
effective student participation.
SURF Boulder is anticipated to run from Monday, May 18, 2015 through Friday, July
31, 2015; adjustments may be made to accommodate specific academic schedules
(e.g., 11-week programs with the schedule shifted to begin after the regular start in
order to accommodate colleges or universities operating on quarter systems).
SURF Gaithersburg is anticipated to run from Tuesday, May 26, 2015 to Friday,
August 7, 2015; adjustments may be made to accommodate specific academic
8

schedules (e.g., a limited number of 9-week programs with the schedule shifted to
begin after the regular start, i.e., Monday, June 8, 2015 to Friday, August 7, 2015, in
order to accommodate colleges or universities operating on quarter systems).
III. Eligibility Information
1. Eligible Applicants. The SURF Program is open to colleges and universities in the
United States and its territories with degree-granting programs in biology, chemistry,
computer science, engineering, materials science, mathematics, nanoscale science,
neutron research, and/or physics.
Each undergraduate student nominated to participate in the SURF Program from the
applicant college or university must meet all of the following requirements:
1) Be a U.S. citizen or permanent U.S. resident.
2) Commit eleven (11) full continuous weeks, or nine (9) full continuous weeks for
the nine (9) week program, (Monday through Friday) from 8:30 a.m. to 5 p.m.,
during the summer of 2015, to participate in the SURF Program.
3) Be a currently registered undergraduate at the applicant university or college in
the U.S. or its territories with a scientific major at the time of application.
Graduating seniors may apply for the program but must be a registered
undergraduate at the time of application.
4) Are considering pursuing a graduate degree (M.S. or Ph.D.). Students with
biology, chemistry, computer science, engineering, materials science,
mathematics, nanoscale science, neutron research and/or physics majors are
always encouraged to apply. There may also be research opportunities for
students with other majors. Refer to the evaluation criteria and selection factors
for additional recommendations.
It is recommended that students have a G.P.A. of 3.0 or better, out of a possible 4.0.
Applicants are encouraged, but are not required, to nominate eligible
underrepresented minority undergraduate students.
2. Cost Sharing. This Program does not require cost sharing.
3. Other
Pre-Applications. NIST is not accepting pre-applications or white papers under the
SURF Program listed in this FFO.
IV. Application and Submission Information
SURF Boulder and SURF Gaithersburg receive and process applications
separately. Applicants applying to both SURF Boulder and SURF Gaithersburg must
9

submit a separate application for each site.
1. Address to Request Application Package. The standard application package,
consisting of the standard forms, i.e., SF-424, SF-424A, SF-424B, SF-LLL, and the
CD-511, is available at www.grants.gov. The full application package consists of
all of these standard forms plus the applicable Application Checklist and the
applicable Student Application Form. The Application Checklist and the Student
Application Form for SURF Boulder are different from those for SURF
Gaithersburg, and the forms for each location can be found at the following
websites, respectively:
a. SURF Boulder: the Application Checklist
(http://www.nist.gov/surfboulder/upload/appchklst_form-2015.pdf and the
Student Application Form;
http://www.nist.gov/surfboulder/upload/student_application_form2015.pdf);
b. SURF Gaithersburg: the Application Checklist
(http://www.nist.gov/surfgaithersburg/upload/2015-SURF-ApplicationChecklist.pdf ) and the Student Applicant Information form
(http://www.nist.gov/surfgaithersburg/upload/2015-SURF-Applicationform.pdf)
The full application package may also be requested by contacting the following
NIST personnel:
For SURF Boulder and SURF Gaithersburg: Dr. Brandi Toliver, Academic
Program Manager, National Institute of Standards and Technology, NIST SURF
Program, 100 Bureau Drive, Mail Stop 1090, Gaithersburg, MD 20899-1090;
Phone: (301) 975-2371; e-mail: brandi.toliver@nist.gov.
Please remember that if you are applying to SURF Boulder and SURF
Gaithersburg you must complete and submit a separate application for each.
2. Content and Format of Application Submission
SURF Boulder and SURF Gaithersburg receive and process applications
separately.
Whether submitting electronically or by paper, you may submit an application for
SURF Boulder or for SURF Gaithersburg or for both programs by submitting an
application for each program separately. Keep in mind that while the standard
application package (consisting of the standard forms, see Section IV.1 above)
are the same for both SURF Boulder and SURF Gaithersburg, the applicable
Application Checklist and applicable Student Application Form for SURF Boulder
are different than those for SURF Gaithersburg (see Section IV.1.a. and b.
above). Also, keep in mind if you are applying to both SURF Boulder and
SURF Gaithersburg, it is necessary to submit TWO SEPARATE
10

APPLICATIONS, one for SURF Boulder and one for SURF Gaithersburg,
using the same FFO number and two separate sets of documents. A
separate full application package must be submitted for each location.
For SURF Boulder include in the full application package the standard forms
listed in Section IV.1 of this FFO, the applicable Application Checklist
(http://www.nist.gov/surfboulder/upload/appchklst_form-2015.pdf) and the
applicable Student Application Form
(http://www.nist.gov/surfboulder/upload/student_application_form-2015.pdf; as
listed above in Section IV.1.a. of this FFO).
For SURF Gaithersburg include in the full application package the standard
forms listed in Section IV.1 of this FFO, the applicable Application Checklist
(http://www.nist.gov/surfgaithersburg/upload/2015-SURF-ApplicationChecklist.pdf ) and the applicable Student Applicant Information Form
(http://www.nist.gov/surfgaithersburg/upload/2015-SURF-Application-form.pdf)
as listed above in Section IV.1.b of this FFO).
Electronic applications will be directed to the campus named in Field 15 of the
SF-424. (See section IV.2.a.(1). of this FFO.)
a. Required Forms and Documents
(1) SF-424, Application for Federal Assistance. The SF-424 must be signed by
an authorized representative of the applicant organization.
SF-424, Item 12, must list the FFO number 2015-NIST-SURF-01.
SF-424, Item 15, must specify either “SURF Boulder” or “SURF
Gaithersburg”, depending on the location to which the application is
directed. Applicants submitting to both locations must submit separate
applications, one for each.
For SF-424, Item 21, the list of certifications and assurances is contained in the
SF-424B.
(2) SF-424A, Budget Information – Non-Construction Programs. For both SURF
Boulder and SURF Gaithersburg:
(a) The total stipend amount must be calculated as $5,500 X the number of
students and entered into Section B, Budget Categories on line h.
under column (1). For students who are not able to participate for the full
11 week period (see Section II.2. of this FFO), the amount of the stipend
must be calculated at a rate of $500 per week for these students only.
(b) The transportation and lodging allowance must be estimated as $4,000 X
the number of students and entered into Section B, Budget Categories
on line c. under column (1). The actual amount of that allowance, which
11

is the maximum amount NIST will provide for these expenses (based on
the lodging cost and the distance to be travelled to and from NIST by the
accepted nominees), will be transmitted to the applicant shortly after the
nominees’ acceptances are received by NIST. Note: For purposes of this
application, please use the calculation of $4,000 per student when
estimating the transportation and lodging costs. If awarded, recipients will
request reimbursement for costs related to transportation and lodging in
accordance with uniform Federal-wide cost principles the Department of
Commerce is expected to adopt. Refer to 2 C.F.R. § 200.75, Participant
Support Costs.
(3) SF-424B, Assurances – Non-Construction Programs
(4) CD-511, Certification Regarding Lobbying
(5) SF-LLL, Disclosure of Lobbying Activities (if applicable)
(6) Applicant Information. This is a word-processed document written by the
applying college or university and must contain the following information:
(a) A description of the institution's education and research programs;
(b) A summary list of the student(s) being nominated; and
(c) A brief narrative about each nominated student.
(7) Student Information. For each student nominated to participate in the SURF
Program, the following items must be submitted (if submitting an electronic
application, for each nominated student a single file attachment comprised of
these items must be submitted):
(a) Applicable SURF Application Checklists:
i. SURF Boulder: the Application Checklist is available at:
(http://www.nist.gov/surfboulder/upload/appchklst_form-2015.pdf;
ii. SURF Gaithersburg: the Application Checklist is available at:
http://www.nist.gov/surfgaithersburg/upload/2015-SURFApplication-Checklist.pdf.
(b) Applicable SURF Student Application Form:
i. SURF Boulder: the Student Application Form is available at:
http://www.nist.gov/surfboulder/upload/student_application_form2015.pdf;
ii. SURF Gaithersburg: the Student Applicant Information Form is
available at: http://www.nist.gov/surfgaithersburg/upload/2015SURF-Application-form.pdf.
(c) Resume;
(d) Two letters of recommendation;
(e) Transcripts (unofficial copies acceptable);
(f) Personal statement of commitment to participate and description of
prioritized research interests;
12

(g) Verification of U.S. citizenship or permanent legal residence, (e.g., copy of
birth certificate, passport, or green card).
The student’s name and college/university must appear on all of the documents.
NOTE: It is recommended that students have a G.P.A. of 3.0 or better, out of a
possible 4.0.
If submitting the application electronically via Grants.gov, items IV.2.a.(1) through
IV.2.a.(5) above are part of the standard application package in Grants.gov and can
be completed through the download application process. Items IV.2.a.(6) through
IV.2.a.(7) must be completed and attached by clicking on “Add Attachments” found
in item 15 of the SF-424, Application for Federal Assistance. This will create a zip
file that allows for transmittal of the documents electronically via Grants.gov.
Applicants should carefully follow specific Grants.gov instructions at www.grants.gov
to enable attachments to 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. When several students are being
nominated for the program, the required attachments for each student should be
packaged into a single file per student. e.g., if there are 5 nominated students, there
should be 5 student information files. Applicants will receive a series of receipts
during a process of up to two business days before the application is either validated
as electronically received by the Federal agency system, or rejected by it.
If submitting an application by paper, all of the required application documents
should be submitted in the order listed above.
b. Application Format
(1)

Application language. English.

(2)

Double-sided copy. For paper submissions, print on both sides of the paper.

(3)

E-mail submissions. Will not be accepted.

(4)

Facsimile submissions (fax). Will not be accepted.

(5)

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

(6)

Line spacing. Single.

(7)

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

(8)

Number of paper copies. For paper submissions, one (1) signed original. If
submitting electronically via Grants.gov, paper copies are not required.

13

(9)

Page layout. Portrait orientation only.

(10) Page numbering. Number pages sequentially.
(11) Paper size. 21.6 centimeters by 27.9 centimeters (8 ½ inches by 11 inches).
(12) No stapling of a paper submission. For paper submissions, DO NOT staple
the original signed application.
(13) Typed document. All applications, including forms, must be typed, except for
the student documents which should be typed but may be accepted in
handwritten format.
3. Submission Dates and Times. SURF Boulder and SURF Gaithersburg receive
and process applications separately. For both SURF Boulder and SURF
Gaithersburg, electronic applications must be received no later than 11:59 p.m.
Eastern Time, Friday, February 13, 2015. Paper applications must be received by
5:00 p.m. Mountain Time, Friday, February 13, 2015 for submissions to SURF
Boulder and 5:00 p.m. Eastern Time, Friday, February 13, 2015 for submissions for
SURF Gaithersburg. Applications received after the respective deadline will not be
reviewed or considered.
For electronic applications, NIST will consider the date and time stamped on the
validation generated by www.grants.gov as the official submission time. NIST
strongly recommends that applicants do not wait until the last minute to submit an
application. NIST will not make allowance for any late submissions. To avoid any
potential processing backlogs due to last minute Grants.gov registrations, applicants
are highly encouraged to begin their Grants.gov registration process early.
When developing your submission timeline, keep in mind that (1) a free annual
registration process in the electronic System for Award Management (SAM)
(see Section VI.4.b.) may take between three and five business days or as long
as more than two weeks, and (2) applicants using Grants.gov will receive a
series of receipts over a period of up to two business days before learning via
a validation or rejection whether a Federal agency’s electronic system has
received its application.
In the event of a natural disaster that interferes with timely application submissions,
NIST may issue an amendment to this FFO to change the application due date.
NIST SURF Directors may consider an appeal for an application rejected for
untimely submission in the two following situations only: (1) carrier failure to deliver
by the submission deadline, when the carrier accepted the package with a
guarantee for delivery by the deadline, or (2) significant weather delays or natural
disasters. In these cases an applicant must request the waiver and present the
compelling circumstances in writing received by the NIST programmatic and
14

technical questions point of contact as listed in Section VII. by 5:00 pm Eastern
Time, Friday, February 20, 2015.
4. Intergovernmental Review. Proposals under this Program are not subject to
Executive Order 12372.
5. Funding Restrictions. The SURF Program will not authorize funds for indirect
costs or fringe benefits.
6. Other Submission Requirements
a. Applications may be submitted by paper or electronically.
(1) Paper applications must be submitted (one (1) signed original) to the NIST
personnel listed below:
For SURF Boulder: Ms. Cynthia Kotary, National Institute of Standards and
Technology, SURF Boulder Program, 325 Broadway, Mail Stop 104.01, Boulder,
CO 80305-3337 (Phone: 303-497-3319).
For SURF Gaithersburg: Dr. Brandi Toliver, National Institute of Standards and
Technology, SURF NIST Gaithersburg Program, 100 Bureau Drive, Mail Stop
1090, Gaithersburg, MD 20899-1090 (Phone: 301-975-2371).
(2) Electronic applications must be submitted via Grants.gov at www.grants.gov,
under announcement 2015-NIST-SURF-01.
a) Submitters of electronic proposals should carefully follow specific Grants.gov
instructions in the subcategories to ensure the attachments will be accepted
by the Grants.gov system. A receipt from Grants.gov indicating a proposal is
received does not provide information about whether attachments have been
received. For further information or questions regarding applying
electronically for the 2015-NIST-SURF-01 announcement, contact
Christopher Hunton by phone at 301-975-5718 or by e-mail at
christopher.hunton@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 a proposal through Grants.gov. The Grants.gov registration
process must be completed before a new registrant can apply electronically.
If all goes well, the registration process takes three (3) to five (5) business
days. If problems are encountered, the registration process can take up to
two (2) weeks or more. Applicants must have a Dun and Bradstreet Data
Universal Numbering System (DUNS) number (see Section VI.4.b. of this
FFO) and must maintain a current registration in the Federal government’s
primary registrant database, the System for Award Management
15

(https://www.sam.gov/), as explained on the Grants.gov Web site. After
registering, it may take several days or longer from the initial log-on before a
new Grants.gov system user can submit an application. Only authorized
individual(s) will be able to submit the application, and the system may need
time to process a submitted application. Applicants should save and print the
proof of submission they receive from Grants.gov. If problems occur while
using Grants.gov, the applicant is advised to (a) print any error message
received and (b) call Grants.gov directly for immediate assistance. If calling
from within the United States or from a U. S. territory, please call 800-5184726. If calling from a place other than the United States or a U. S. territory,
please call 606-545-5035. Assistance from the Grants.gov Help Desk will be
available around the clock every day, with the exception of Federal
holidays. Help Desk service will resume at 7:00 a.m. Eastern Time the day
after Federal holidays. For assistance using Grants.gov, you may also
contact support@grants.gov.
c) To find instructions on submitting an application on Grants.gov, Applicants
should refer to the “Applicants” tab in the banner just below the top of the
www.grants.gov home page. Clicking on the “Applicants” tab produces the
“Grant Applicants” page.
In addition to following the “Steps” and instructions described in the “Applicant
Actions” section and its sub-categories, further detailed instructions are
described in “Applicant Resources” and all of its subcategories. This appears
in the box near the top left of the Grant Applicants page. Applicants should
follow the links associated with each subcategory.
Applicants will receive a series of receipts during a process of up to two
business days before the application is either validated as electronically
received by the Federal agency system, or rejected by it. Closely following the
detailed information in these subcategories will increase the likelihood of
acceptance of the application by the Federal agency’s electronic system.
Applicants should pay close attention to the instructions under “Applicant
FAQs,” as it contains information important to successful submission on
Grants.gov, including essential details on the naming conventions for
attachments to Grants.gov applications.
All applicants, both electronic and paper submitters, should be aware that adequate
time must be factored into applicants’ schedules for delivery of their application.
Submitters of electronic applications are advised that volume on Grants.gov may be
extremely heavy on the deadline date, and if Grants.gov is unable to accept
applications electronically in a timely fashion, applicants are encouraged to exercise
their option to submit applications in paper format. Submitters of paper applications
should allow adequate time to ensure a paper application will be received on time,
taking into account that Federal Government security screening for U.S. Postal
16

Service mail may delay receipt of mail for up to two (2) weeks and that guaranteed
express mailings and/or couriers are not always able to fulfill their guarantees.
Refer to important information in Section IV.3. Submission Dates and Times, to help
ensure your proposal is received on time.
b. Amendments. Any amendments to this FFO will be announced through
Grants.gov. Applicants may sign up for Grants.gov FFO amendments or may
request copies from Dr. Brandi Toliver at (301) 975-2371; email:
brandi.toliver@nist.gov.

V. Application Review Information
1. Evaluation Criteria. The evaluation criteria that will be used in evaluating
applications and assigned equal weights are as follows:
a. Student's Interest in Participating in the Program, Academic Ability,
Laboratory Experience, and Advanced Degree Interest. Evaluation of GPA
(grade point average) in relevant courses, career goals, activities, honors and
awards, letters of reference, commitment of the student to working in a laboratory
environment, and interest in pursuing graduate school.
b. Applicant's Commitment to Program Goals. Evaluation of the institution's
academic department(s) relevant to the discipline(s) of the student(s), as
demonstrated by accrediting organizations, course offerings in the relevant
departments, enthusiastic support by the academic department, school, or
institution, and extensive publications in nanoscale science, engineering,
computer science, mathematics, materials science, chemistry, biology, neutron
research, and/or physics.
2. Selection Factors. The Selecting Official shall select applications for award based
upon the rank order of the applications (see Section V.4.b. of this FFO), and may
select an application out of rank based on one or more of the following selection
factors:
a. Fit of the undergraduate student’s stated interest and commitment to the program
priorities of NIST (see Section V.3. of this FFO) and objectives of the SURF
program as described in Section I. of this FFO (i.e., SURF Boulder or SURF
Gaithersburg);
b. Fit of the undergraduate student’s interests and abilities to the available projects
and when appropriate, to NIST scientists and engineers in that laboratory
program;

17

c. Relevance of the student’s course of study to the program objectives of the NIST
laboratory in which that SURF Program resides as described in Section I.,
Funding Opportunity Description, of this FFO;
d. Assessment of whether the laboratory experience is a new opportunity for the
student which may encourage future postgraduate training; and
e. The availability of Federal funds.
3. Program Priorities. All applicable fields of science that promote U.S. innovation
and industrial competitiveness by advancing measurement science, standards, and
technology in ways that enhance economic security and improve our quality of life.
More information about those programs can be found at www.nist.gov.
4. Review and Selection Process
a. Initial Administrative Review of Applications. An initial review of timely received
applications will be conducted to determine applicant and undergraduate student
eligibility and application completeness and responsiveness to this FFO and the
scope of the stated program objectives. Applications determined to be ineligible,
incomplete, and/or non-responsive based on this FFO may be eliminated from
further review. However, NIST, in its sole discretion, may continue the review
process for an application that is missing non-substantive information which may
easily be rectified or cured. As SURF Boulder and SURF Gaithersburg are receiving
applications separately, in the event a timely and complete application package
appears to have been inadvertently submitted to the incorrect campus, NIST will
direct the application to the appropriate office for review only if the application was
received by the deadline of the campus to which it should have been submitted.
b. Full Review of Eligible, Complete, and Responsive Applications.
For SURF Boulder:
Applications that are determined to be eligible, complete, and responsive will
proceed for full reviews in accordance with the review and selection process
below:
(1) Applications will be separated into student/applicant packets and directed to
the SURF sub-program contact for the Laboratory as designated by the
student as his/her first Program choice. For the purposes of the selection
process, each student selectable program choice on the Student Applicant
Information Cover Sheet (which means each of the subprograms designated
by a subject area) is considered a separate SURF Laboratory sub-program.
(2) Each student/application packet will be reviewed by at least three (3)
independent, objective reviewers, which will include written evaluations and
scores, based on the evaluation criteria (see Section V.1. of this FFO). The
18

independent reviewers will be NIST employees or associates who are
knowledgeable in the scientific areas of the program. The scores based on
this merit review will be averaged for each student/applicant packet, creating
a rank order.
(3) The Selecting Official, the Director of the NIST Communications Technology
Laboratory, or their designee, will select funding recipients based upon the
rank order of the student /applicant packets and the selection factors (see
Section V.2. of this FFO).
For SURF Gaithersburg:
Applications that are determined to be eligible, complete, and responsive will
proceed for full reviews in accordance with the review and selection process
below:
(1) Applications will be separated into student/applicant packets and directed to
the SURF sub-program contact for the Laboratory as designated by the
student as his/her first Program choice. For the purposes of the selection
process, each student selectable program choice on the Student Applicant
Information Cover Sheet (which means each of the subprograms designated
by a subject area) is considered a separate SURF Laboratory sub-program.
(2) The review and selection process occurs in three (3) rounds as follows:
(a) First round: Three (3) reviewers in each SURF Laboratory sub-program
will conduct independent, objective reviews of each student/applicant
packet, which will include scores and comments, based on the evaluation
criteria (see Section V.1. of this FFO). The independent reviewers will be
NIST employees who are knowledgeable in the scientific areas of the
program. Based on the average of the reviewers’ scores, a separate rank
order of the student/applicant packets will be prepared within each SURF
Laboratory sub-program and provided to the Selecting Official for further
consideration.
The Selecting Official, who is the coordinator for each SURF Laboratory
sub-program, will select funding recipients based upon the rank order of
the student/applicant packets and may select proposals out of rank order
based on the selection factors (see Section V.2. of this FFO).
Based on these results, the Selecting Official for each SURF Laboratory
sub-program will divide the rank ordered student/applicant packets into
three categories: Priority Funding; Fund if Possible; and Do Not
Fund. Student/applicant packets placed in the Priority Funding category
will be selected for funding in that SURF Laboratory sub-program,
contingent upon availability of funds. Student/applicant packets placed in
the Do Not Fund category will not be considered for funding by any other
19

SURF Laboratory sub-program.
(b) Second round: Student/applicant packets placed in the Fund if Possible
Category may be considered for funding at a later time by the categorydesignating SURF program. The “category-designating” program is the
SURF Laboratory sub-program Selecting Official who first categorized the
student/applicant packet as “Priority Funding,” “Fund if Possible,” or “Do
Not Fund.” This is the same SURF Laboratory sub-program that was
designated by the student on his/her NIST SURF Program Student
Application Information form as his/her first choice. In the interim period
these student/applicant packets (along with those for unfunded “Priority
Funding” applicants) will be released for consideration for funding by the
SURF Laboratory sub-program which was designated by the student on
his/her NIST SURF Program Student Application Information form as
his/her second choice.
The student’s second choice SURF Laboratory sub-program’s Selecting
Official will take into consideration the comments and scores of the
reviewers who conducted the technical reviews for the student’s first
choice SURF Gaithersburg Program, apply the selection factors (see
Section V.2. of this FFO) as applied to that second choice SURF
Laboratory sub-program, and arrive at a final rank order of the students
available for the second round of selections and placements. Any
Selecting Official may look at any student application in advance of the
second or subsequent round. Any Selecting Official may choose not to
participate in the second round if he/she does not see suitable students in
the second round appropriate for the available projects within his/her
laboratory and/or there are no slots available.
(c) Third round: Student/applicant packets not selected for funding by their
first or second choice SURF Laboratory sub-program, and students who
did not designate a second choice, will then be considered for selection
and placement by all Selecting Officials that still have slots available in a
third round, using the same process as the second round. In making
selections for the third round, each Selecting Official will take into
consideration the comments and scores of the reviewers who conducted
the technical reviews for the student’s first choice SURF Laboratory subprogram, apply the selection factors (see Section V.2. of this FFO) as
applied to that presently evaluating SURF Laboratory sub-program, and
arrive at a final rank order of the students available for the third round of
selections and placements. Any Selecting Official may choose not to
participate in the third round if he/she does not see suitable students in the
third round appropriate for the available projects within his/her laboratory
and/or there are no slots available.
NIST reserves the right to negotiate the budget costs with the applicants that have
20

been selected to receive awards, which may include requesting that the applicant
remove certain costs. Additionally, NIST may request that the applicant modify
objectives or work plans and provide supplemental information required by the
agency prior to award. Substitutions for students who decline offers will be made
from the remaining pool of ranked students consistent with the review and selection
process (see Section V.4. of this FFO). NIST also reserves the right to reject an
application where information is uncovered that raises a reasonable doubt as to the
responsibility of the applicant. NIST may select some, all, or none of the
applications, or part(s) of any particular application. The final approval of selected
applications and issuance of awards will be by the NIST Grants Officer. The award
decisions of the NIST Grants Officer are final.
5. Anticipated Announcement and Award Dates. Review, selection, and award
processing is expected to be completed in April 2015. The earliest anticipated start
date for awards made under this FFO is expected to be May 1, 2015.
6. Additional Information
a. 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.
b. Notification to Unsuccessful Applicants. Unsuccessful applicants will be notified
in writing.
c. Retention of Unsuccessful Applications. An electronic copy of each non-selected
application will be retained for three (3) years for record keeping purposes. After
three (3) years, it will be destroyed.
VI. Award Administration Information
1. Award Notices. Successful applicants will receive an award from the NIST Grants
Officer. The award cover page, i.e., CD-450, Financial Assistance Award is
available at
http://ocio.os.doc.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/content/
dev01_002513.pdf. This award cover page may be updated between publication of
this funding announcement and issuance of awards in this program. Refer to Section
VII. Agency Contacts, Grant Rules and Regulations, if you seek the information at
this link and it is no longer working or you need more information.
2. OMB Uniform Administrative Requirements, Cost Principles and Audit
Requirements. Please note that on December 26, 2013, OMB published final
guidance titled “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements” (OMB Uniform Guidance)
21

(https://www.federalregister.gov/articles/2013/12/26/2013-30465/uniformadministrative-requirements-cost-principles-and-audit-requirements-for-federalawards), which streamlines the language from eight existing OMB circulars,
including Cost Principles (OMB Circulars A-21, A-87, A-122) and administrative
requirements (OMB Circulars A-102 and A-110), into one consolidated set of
guidance applicable to federal assistance awards. Once adopted by the Department
of Commerce through the promulgation of updated financial assistance regulations,
the OMB Uniform Guidance will supersede DOC’s uniform administrative
requirements for financial assistance awards, currently set forth in 15 C.F.R. parts
14 and 24.
The DOC expects to adopt the OMB Uniform Guidance by December 26, 2014,
meaning that the OMB Uniform Guidance will apply to all new awards and to
additional funding to existing awards made after December 26, 2014. In
addition, the audit requirements of the OMB Uniform Guidance will apply to
audits of non-Federal entities beginning on or after December 26, 2014.
Therefore, applicants should familiarize themselves with the OMB Uniform
Guidance. Additional information on the substance of and transition to the OMB
Uniform Guidance may be found at https://cfo.gov/cofar. When it becomes
available, Commerce implementation of the Uniform Guidance is expected to be
posted at http://www.osec.doc.gov/oam/grants_management/policy/default.htm.
Refer to Section VII. Agency Contacts, Grant rules and regulations, if you seek the
information at this link and it is no longer working or you need more information.
3. Financial Assistance Standard Terms and Conditions. The DoC will apply
Financial Assistance Standard Terms and Conditions to this award. A current
version of these terms, from January 2013, is available at
http://www.osec.doc.gov/oam/grants_management/policy/documents/DOC_Standar
d_Terms_and_Conditions_01_10_2013.pdf. These Terms are expected to be
updated between publication of this funding announcement and issuance of awards
in this program to ensure consistency with DoC implementation of the OMB Uniform
Guidance referenced in the previous paragraph, Section VI.2. of this FFO. When
they become available, updated terms are expected to be posted at
http://www.osec.doc.gov/oam/grants_management/policy/default.htm. Refer to
Section VII. Agency Contacts, Grant Rules and Regulations, if you seek the
information at this link and it is no longer working or you need more information. To
the extent applicable, Federal-wide Research Terms and Conditions at
http://www.nsf.gov/awards/managing/rtc.jsp and Special Award Conditions
necessary to implement the NIST SURF Program will apply to awards in this
program.
4. Administrative and National Policy Requirements
a. DoC Pre-Award Notification Requirements. The DoC Pre-Award Notification
Requirements for Grants and Cooperative Agreements, 77 FR 74634 (December 17,
22

2012), are applicable to this FFO at the time of publication and are available at
https://www.federalregister.gov/articles/2012/12/17/2012-30228/department-ofcommerce-pre-award-notification-requirements-for-grants-and-cooperativeagreements. These Requirements may be updated or superseded between
publication of this funding announcement and issuance of awards in this program to
ensure consistency with DoC implementation of the OMB Uniform Guidance
referenced in Section VI.2. of this FFO. Updated information is expected to be
posted at http://www.osec.doc.gov/oam/grants_management/policy/default.htm.
Refer to Section VII. Agency Contacts, Grant Rules and Regulations, if you seek the
information at this link and it is no longer working or you need more information.
b. Employer/Taxpayer Identification Number (EIN/TIN), Dun and Bradstreet Data
Universal Numbering System (DUNS), and System for Award Management
(SAM). All applicants for Federal financial assistance are required to obtain a
universal identifier in the form of DUNS number and maintain a current registration in
the Federal government’s primary registrant database, SAM. On the form SF-424
items 8.b. and 8.c., the applicant’s 9-digit EIN/TIN and 9-digit DUNS number must
be consistent with the information in SAM (https://www.sam.gov/) and if applicable,
the U.S. Treasury’s Automated Standard Application for Payment System (ASAP), if
the applicant has received prior Federal awards and has received award funding
through ASAP. For complex organizations with multiple EIN/TIN and DUNS
numbers, the EIN/TIN and DUNS numbers MUST be the numbers for the applying
organization. Organizations that provide incorrect/inconsistent EIN/TIN and DUNS
numbers may experience significant delays in receiving funds if their proposal is
selected for funding. Confirm that the EIN/TIN and DUNS number are consistent
with the information on the SAM and ASAP.
Per 2 C.F.R. Part 25, each applicant must:
(1)
(2)

(3)

Be registered in the Central Contractor Registry (CCR) before submitting a
proposal noting the CCR now resides in SAM;
Maintain an active CCR registration, noting the CCR now resides in SAM,
with current information at all times during which it has an active Federal
award or a proposal under consideration by an agency; and
Provide its DUNS number in each application or proposal it submits to the
agency.

The applicant can obtain a DUNS number from Dun and Bradstreet. A DUNS
number can be created within one business day. The CCR or SAM registration
process may take five or more business days to complete. If you are currently
registered with the CCR, you may not need to make any changes. However, please
make certain that the EIN/TIN associated with your DUNS number is correct. Also
note that you will need to update your CCR registration annually. This may take
three or more business days to complete. Information about SAM is available at
SAM.gov. See also 2 C.F.R. Part 25 and the Federal Register notice published on
September 14, 2010, at 75 FR 55671.
23

c. Collaborations with NIST Employees. The SURF Program Description specifically
anticipates that SURF students will collaborate with NIST. Applicants are not
required to collaborate with specific NIST employees, however if the applicant
wishes to propose collaboration with a specific NIST employee, the statement of
work should include a statement of this intention, a description of the collaboration,
and prominently identify the NIST employee(s) involved, if known. Any collaboration
by a NIST employee must be approved by appropriate NIST management and is at
the sole discretion of NIST. Prior to beginning the merit review process, NIST will
verify the approval of the proposed collaboration. Any unapproved collaboration will
be stricken from the application prior to the merit review. Any collaboration with an
identified NIST employee that is approved by appropriate NIST management will not
make an application more or less favorable in the competitive process.
d. Use of NIST Intellectual Property. If the applicant anticipates a student 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 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, 15 C.F.R. §
14.36, and in Section B.21 of the DoC Pre-Award Notification Requirements, 77 FR
74634 (December 17, 2012). Please note that 15 C.F.R. Parts 14 and 24 and the
DoC Pre-Award Notification Requirements are subject to revision prior to issuance of
awards in this program, as described in Section VI.2 and Section VI.4.a. of this FFO.
Questions about these requirements may be directed to the Chief Counsel for NIST,
(301) 975-2803.
Any use of NIST-owned intellectual property by an applicant 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 FFO, the United States government may retain its
ownership rights in any such invention. Licensing or other disposition of NIST's
rights in such inventions will be determined solely by NIST, and include the
possibility of NIST putting the intellectual property into the public domain.
e. Research 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 involving human subjects, including software
testing, must satisfy the requirements of the Common Rule for the Protection of
24

Human Subjects (“Common Rule”), codified for the Department of Commerce (DoC)
at 15 C.F.R. Part 27. Research activities involving human subjects who fall within
the classes of subjects found in 45 C.F.R. Part 46, Subparts B, C and D must satisfy
the requirements of the applicable subpart. In addition, any such application that
includes research activities on these topics must be in compliance with any statutory
requirements imposed upon the Department of Health and Human Services (DHHS)
and other Federal agencies regarding these topics, all regulatory policies and
guidance adopted by DHHS, the Food and Drug Administration, and other Federal
agencies on these topics, and all Executive Orders and Presidential statements of
policy on these topics.
NIST reserves the right to make an independent determination of whether an
applicant’s activities include research involving human subjects. NIST policy also
requires a NIST administrative review for research involving human subjects
approved by a non-NIST Institutional Review Board (IRB). (15 C.F.R. § 27.112
Review by Institution.) If NIST determines that an application includes research
activities which involve human subjects, the applicant will be required to provide
additional information for review and approval. If an award is issued, no research
activities involving human subjects shall be initiated or costs incurred for those
activities under the award until the NIST Grants Officer issues written
approval. Retroactive approvals are not permitted.
NIST will accept applications that include exempt and non-exempt research activities
involving human subjects. Organizations that have an IRB are required to follow the
procedures of their organization for approval of exempt and non-exempt research
activities that involve human subjects, if the application is funded. Both domestic
and foreign organizations performing 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. 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.
The applicant should clearly indicate in the application, by separable task, all
research activities believed to be exempt or non-exempt research involving
human subjects and the expected institution(s) where the research activities
involving human subjects may be conducted, and which institutions are
expected to be engaged in the research activities.
If an activity/task involves data obtained through intervention or interaction with living
individuals or identifiable private information obtained from or about living individuals
but the applicant participant(s) believes that the activity/task is not research as
25

defined under the Common Rule, the following information may be requested for that
activity/task:
(1) Justification, including the rationale for the determination and in some cases
additional documentation, to support a determination that the activity/task in
the application is not research as defined in the Common Rule. See 15 C.F.R.
§ 27.102 Definitions.
(2) If the applicant participant(s) uses a cognizant IRB that provides a
determination that the activity/task is not research, a copy of that
determination documentation will be required by NIST. The applicant
participant(s) is not required to establish a relationship with a cognizant IRB if
they do not have one, but if the applicant participant(s) has a cognizant IRB
that requires review of the activity/task, or the applicant participant(s) elects to
obtain IRB review, a copy of the IRB approval/determination documentation
will be required by NIST.
NIST will review the information submitted and may coordinate further with the
applicant before determining whether the activity/task will be defined as research for
purposes of implementing the Common Rule in the applicable NIST financial
assistance program or project.
If the application appears to NIST to include exempt research activities, and the
performer of the activity or the supplier and/or the receiver of the biological materials
or data from human subjects does not have a cognizant IRB to provide an
exemption determination, the following information may be requested during the
review process so that NIST can evaluate whether an exemption under the Common
Rule applies (see 15 C.F.R. § 27.101 To what does this policy apply?).
(1) The name(s) of the institution(s) where the exempt research will be
conducted; and/or from which biological materials or data from human
subjects will be provided.
(2) A copy of the protocol for the research to be conducted; and/or the biological
materials or data from human subjects to be collected/provided, not preexisting samples (i.e., will proposed research collect only information without
personal identifiable information, will biological materials or data be deidentified and when and by whom was the de-identification performed, how
were the materials or data originally collected).
(3) For pre-existing biological materials or data from human subjects, provide
copies of the consent forms used for collection and a description of how the
materials or data were originally collected and stripped of personal identifiers.
If copies of consent forms are not available, explain.
(4) Any additional clarifying documentation that NIST may request during the
review process in order to make a determination that the activity/task or use
of biological materials or data from human subjects is exempt under the
Common Rule (see 15 C.F.R. § 27.101 To what does this policy apply?).

26

If the application appears to NIST to include research activities (exempt or nonexempt) involving human subjects, and the performer of the activity has a cognizant
IRB registered with OHRP, the following information may be requested during the
review process:
(1) The name(s) of the institution(s) where the research will be conducted;
(2) The name(s) and institution(s) of the cognizant IRB(s), and the IRB
registration number(s);
(3) The FWA number of the applicant linked to the cognizant IRB(s);
(4) The FWAs associated with all organizations engaged in the planned research
activity/task, linked to the cognizant IRB;
(5) If the IRB review(s) is pending, the estimated start date for research involving
human subjects;
(6) The IRB approval date (if currently approved for exempt or non-exempt
research);
(7) If any of the engaged organizations has applied for or will apply for an FWA or
IRB registration, those details should be clearly provided for each engaged
organization.
Additional documentation may be requested by NIST for performers with a
cognizant IRB during review of the application, and may include the following for
research activities involving human subjects that are planned in the first year of the
award:
(1) A signed (by the study principal investigator) copy of each applicable final
IRB-approved protocol;
(2) A signed and dated approval letter from the cognizant IRB(s) that includes the
name of the institution housing each applicable IRB, provides the start and
end dates for the approval of the research activities, and any IRB-required
interim reporting or continuing review requirements;
(3) A copy of any IRB-required application information, such as documentation of
approval of special clearances (i.e., biohazard, HIPAA, etc.) conflict-ofinterest letters, or special training requirements;
(4) A brief description of what portions of the IRB submitted protocol are
specifically included in the application submitted to NIST, if the protocol
includes tasks not included in the application, or if the protocol is supported
by multiple funding sources. For protocols with multiple funding sources,
NIST will not approve the study without a non-duplication-of-funding letter
indicating that no other federal funds will be used to support the tasks
proposed under the proposed research or ongoing project;
(5) If a new protocol will only be submitted to an IRB if an award from NIST is
issued, a draft of the proposed protocol may be requested;
(6) Any additional clarifying documentation that NIST may request during the
review process to perform the NIST administrative review of research
involving human subjects. (See 15 C.F.R. § 27.112 Review by Institution.)

27

This clause reflects the existing NIST policy for Research Involving Human
Subjects. Should the policy be revised prior to award, a clause reflecting the
policy current at time of award may be incorporated into the award.
If the policy is revised after award, a clause reflecting the updated policy may
be incorporated into the award.
f. Research Applications Involving Live Vertebrate Animals. Any application that
includes research activities involving live vertebrate animals, that will be cared for,
euthanized, or used by participants in the research described in the application to
accomplish research goals, teaching, or testing, must meet the requirements of the
Animal Welfare Act (7 U.S.C. § 2131 et seq.), 9 C.F.R. Parts 1, 2, and 3, and if
appropriate, 21 C.F.R. Part 58. In addition, such applications should be in
compliance with the National Research Council's “Guide for the Care and Use of
Laboratory Animals (8th edition),'' (the Guide) which can be obtained from National
Academy Press, 500 5th Street, N.W., Department 285, Washington, DC 20055, or
online at http://grants.nih.gov/grants/olaw/Guide-for-the-Care-and-Use-ofLaboratory-Animals.pdf.
The requirements described above do not apply to proposed research using
preexisting images of animals or to research plans that do not include live animals.
The requirements also do not apply to obtaining stock items from animal material
suppliers (e.g., tissue banks), such as cell lines and tissue samples, or from
commercial food processors, where the vertebrate animal was euthanized for food
purposes and not for sample collection. NIST does require documentation for
obtaining custom samples from live vertebrate animals from animal material
suppliers and other organizations (i.e., universities, companies, and government
laboratories, etc.). Custom samples includes samples from animal material
suppliers, such as when a catalog item indicates that the researcher is to specify the
characteristics of the live vertebrate animal to be used, or how a sample is to be
collected from the live vertebrate animal.
Some “field studies” of animals may be exempt under the Animal Welfare Act from
full review and approval by an animal care and use committee, as determined by
each institution. Field study is defined as “…a study conducted on free-living wild
animals in their natural habitat.” However, this term excludes any study that involves
an invasive procedure or that harms or materially alters the behavior of an animal
under study. Field studies, with or without invasive procedures, may also require
obtaining appropriate federal or local government permits (e.g., marine mammals,
endangered species etc.)
The applicant should clearly indicate in the application, by separable task, all
research activities believed to include research involving live vertebrate
animals, the institution(s) where the research activities involving live
vertebrate animals may be conducted, and if any special permits are required.

28

NIST reserves the right to make an independent determination of whether an
applicant’s research activities involve live vertebrate animals, custom samples from,
or field studies with live vertebrate animals. If NIST determines that the application
includes research activities, field studies or custom samples involving live vertebrate
animals, the applicant will be required to provide additional information for review
and approval. If an award is issued, no research activities involving live vertebrate
animals subjects shall be initiated or costs incurred for those activities under the
award until the NIST Grants Officer issues written approval.
If an application appears to include research activities, field studies or custom
sample collections involving live vertebrate animals the following information may be
requested from the applicant during the application review process:
(1) The name(s) of the institution(s) where the research involving live vertebrate
animals will be conducted and/or custom samples collected;
(2) The assurance type and number, as applicable, for the cognizant Institutional
Animal Care and Use Committee (IACUC) where the research activity is
located. [For example: Animal Welfare Assurance from the Office of
Laboratory Animal Welfare (OLAW) should be indicated by the OLAW
assurance number, i.e. A-1234; a USDA Animal Welfare Act certification
should be indicated by the certification number i.e. 12-R-3456; and an
Association for the Assessment and Accreditation of Laboratory Animal Care
(AAALAC) should be indicated by AAALAC.]
(3) The IACUC approval date for the Animal Study Protocol (ASP) (if currently
approved);
(4) If the review by the cognizant IACUC is pending, the estimated start date for
research involving vertebrate animals;
(5) If any assurances must be obtained or IACUCs must be established, those
details should be clearly provided for each instance.
(6) If any special permits are required for field studies, those details should be
clearly provided for each instance.
Additional documentation may be requested by NIST during review of the application
and may include the following for research activities and/or custom sample
collections involving live vertebrate animals that are planned in the first year of the
award:
(1) A signed (by the Principal Investigator) copy of the IACUC approved ASP;
(2) Documentation of the IACUC approval indicating the approval and expiration
dates of the ASP; and
(3) If applicable, a non-duplication-of-funding letter if the ASP is funded from
several sources.
(4) If a new ASP will only be submitted to an IACUC if an award from NIST
issued, a draft of the proposed ASP may be requested.

29

(5) Any additional clarifying documentation that NIST may request during review
of applications to perform the NIST administrative review of research
involving live vertebrate animals (e.g., documentation of special permits).
This clause reflects the existing NIST policy for Research Involving Live Vertebrate
Animals. Should the policy be revised prior to award, a clause reflecting the policy
current at time of award may be incorporated into the award.
If the policy is revised after award, a clause reflecting the updated policy may be
incorporated into the award.
For more information regarding human subjects or research projects involving live
vertebrate animals, contact Linda Beth Schilling, Senior Coordinator and Policy
Advisor for Human & Animal Subjects Research at NIST (email:
linda.schilling@nist.gov; phone: 301-975-2887).
g. Funding Availability and Limitation of Liability. Funding for the programs listed
in this FFO is contingent upon the availability of appropriations. In no event will
NIST or DoC be responsible for application preparation costs if this program fails to
receive funding or is cancelled because of agency priorities. Publication of this FFO
does not oblige NIST or DoC to award any specific project or to obligate any
available funds.
h. 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.
i. Accounting Systems Certification. If an applicant has never received Federal
funding or if an applicant has an audit or other history of financial management
issues, a certification may be required from a CPA to provide information about
whether the applicant has a functioning financial management system that meets the
provisions of 15 C.F.R. § 14.21 or 15 C.F.R. § 24.30 (as applicable). Please note
that 15 C.F.R. Parts 14 and 24 are subject to revision prior to issuance of awards in
this program, as described in Section VI.2 of this FFO. As part of the proposed
project budget, such applicants may wish to include costs for an accounting systems
assessment and certification.
j. Safety. Safety is a top priority at NIST. Students participating in the NIST SURF
Program will be expected to be safety-conscious, to attend NIST safety training, and
to comply with all NIST safety policies and procedures.
3. Reporting

30

a. Reporting Requirements. In lieu of the reporting requirements described in
Sections A.01 Financial Reports and B.01 Performance (Technical) Reports of the
DoC Financial Assistance Standard Terms and Conditions dated January 2013
(http://www.osec.doc.gov/oam/grants_management/policy/documents/DOC_Standar
d_Terms_and_Conditions_01_10_2013.pdf), the following reporting requirements
shall apply:
(1) Financial Report. Each award recipient will be required to submit an SF-425,
Federal Financial Report, in triplicate (an original and two (2) copies) within 30
days after the award expiration date to the NIST Grants Officer and Grants
Specialist named in the award documents.
(2) Performance (Technical) Report. Each award recipient shall require the
undergraduate students accepted into the SURF Program to present an oral
report on his/her experiences and accomplishments during the Program. The
oral report must be presented prior to the last day of the student’s participation in
the SURF Program, at a symposium specifically organized for the student
presentations, or to the student’s mentor in the case of extenuating
circumstances preventing the student from attending the symposium.
(3) Patent and Property Reports. From time to time, and in accordance with the
Uniform Administrative Requirements and other terms and conditions governing
the award, the recipient may need to submit property and patent reports.
Please note that the DoC Financial Assistance Standard Terms and Conditions
are subject to revision prior to issuance of awards in this program, as described
in Section VI.3 of this FFO.
b. OMB Circular A-133 Audit Requirements. Single or program-specific audits shall
be performed in accordance with the applicable audit requirements. At the time of
publication of this FFO, those requirements are contained in OMB Circular A-133,
“Audits of States, Local Governments, and Non-Profit Organizations,” and the
related Compliance Supplement. OMB Circular A-133 requires any non-Federal
entity (i.e., including non-profit institutions of higher education and other non-profit
organizations) that expends Federal awards of $500,000 or more in the recipient’s
fiscal year to conduct a single or program-specific audit in accordance with the
requirements set out in the Circular. Applicants are reminded that NIST, the DoC
Office of Inspector General or another authorized Federal agency may conduct an
audit of an award at any time. Additionally, applicants should take note of the new
financial assistance audit requirements set forth in the recently published OMB
Uniform Administrative Requirements, Cost Principles, and Audit Requirements,
which is cited and discussed above in Section VI.2. of this FFO.
c. Federal Funding Accountability and Transparency Act of 2006. In accordance
with 2 C.F.R. part 170, all recipients of a Federal award made on or after October 1,
2010, are required to comply with reporting requirements under the Federal Funding
31

Accountability and Transparency Act of 2006 (Pub. L. No. 109-282). In general, all
recipients are responsible for reporting sub-awards of $25,000 or more. In addition,
recipients that meet certain criteria are responsible for reporting executive
compensation. Applicants must ensure they have the necessary processes and
systems in place to comply with the reporting requirements should they receive
funding. Also see the Federal Register notice published September 14, 2010, at 75
R 55663.
VII.

Agency Contacts

Questions should be directed to the following contact persons:
Subject Area
Programmatic and technical
questions

Point of Contact
For SURF Boulder:
Joseph Magee
Phone: (303) 497-3298
Fax: (303) 497-6682
E-mail: joe.magee@nist.gov
For SURF Gaithersburg:
Brandi Toliver
Phone: (301) 975-2371
Fax: (301) 975-3530
E-mail: brandi.toliver@nist.gov

Electronic application submission

Christopher Hunton
Phone: (301) 975-5718
Fax: (301) 975-6319
E-mail: christopher.hunton@nist.gov
or
Grants.gov
Phone: (800) 518-4726
E-mail: support@grants.gov

Grants rules and regulations

Scott McNichol
Phone: (301) 975-5603
Fax: (301) 975-6319
E-mail: scott.mcnichol@nist.gov

32