![](media/image1.jpeg){width="2.0833333333333335in"
height="3.0520833333333335in"}**FY 2009\
Small Business Innovation Research\
Program**

> **SOLICITATION**

**U.S. DEPARTMENT OF COMMERCE National Institute of Standards and
Technology**

Opening Date: November 12, 2008

Closing Date: January 22, 2009

**NIST -- 09 -- SBIR**

PROGRAM SOLICITATION AVAILABLE IN ELECTRONIC FORM ONLY

GO TO:
[**[http://www.nist.gov/sbir]{.underline}**](http://www.nist.gov/sbir)

**TABLE OF CONTENTS\
**

**1.0 [PROGRAM DESCRIPTION](#book1_0)\
**

**1.01** [**Introduction**](#book1_01)

> **1.01.01 [NIST SBIR"R" Subtopics](#book1_01_01)**
>
> **1.01.02 [NIST SBIR"TT" Subtopics](#book1_01_02)\
> **
>
> **1.02 [Three-Phase Program](#book1_02)\
> **

**1.03 [Manufacturing-related Priority](#book1_03)**

**1.04 [Energy Efficiency and Renewable Energy Priority](#book1_04)**

> **\
> 1.05 [Eligibility](#book1_05)\
> **

**1.06 [Contact with NIST](#book1_06)\
**

**2.0 [DEFINITIONS](#book2_0)\
**

**2.01 [Commercialization](#book2_01)\
**

**2.02 [Essentially Equivalent Work](#book2_02)\
**

**2.03 [Feasibility](#book2_03)\
**

**2.04 [Funding Agreement](#book2_04)\
**

**2.05 [HUB ZONE Small Business Concern](#book2_05)\
**

**2.06 [Joint Venture](#book2_06)**

**2.07 [NIST-Owned Patented Background Inventions](#book2_07)**

**2.08 [Primary Employment](#book2_08)\
**

**2.09 [Research or Research and Development](#book2_09)\
**

**2.10 [SBIR Technical Data](#book2_10)\
**

**2.11 [SBIR Technical Data Rights](#book2_11)\
**

**2.12** **[Small Business Concern (SBC)](#book2_12)\
**

**2.13** **[Socially and Economically Disadvantaged Small Business
Concern](#book2_13)\
**

**2.14 [Subcontract](#book2_14)\
**

**2.15 [Women-Owned Small Business](#book2_15)\
**

**3.0 [PROPOSAL PREPARATION GUIDELINES](#book3_0)\
**

**3.01 [Proposal Requirements](#book3_01)\
**

**3.02 [Phase 1 Proposal Limitations](#book3_02)\
**

> **3.03 [Instructions for Phase 1 Proposal Submission Forms and
> Technical Content](#book3_03)\
> **

**4.0 [METHOD OF SELECTION AND EVALUATION CRITERIA](#book4_0)\
**

**4.01 [Introduction](#book4_01)\
**

**4.02 [Phase 1 Screening Criteria](#book4_02)\
**

**4.03 [Phase 1 Evaluation Criteria](#book4_03)\
**

**4.04 [Phase 2 Evaluation Criteria](#book4_04)\
**

**4.05 [Release of Proposal Review Information](#book4_05)\
**

**5.0 [CONSIDERATIONS](#book5_0)\
**

**5.01 [Awards](#book5_01)\
**

**5.02 [Reports](#book5_02)\
**

**5.03 [Deliverables](#book5_03)\
**

**5.04 [Payment Schedule](#book5_04)\
**

**5.05 [Proprietary Information, Inventions, and Patents](#book5_05)\
**

**5.06 [Additional Information](#book5_06)\
**

> **5.07 [Research Projects with Human Subjects, Human Tissue, Data or
> Recordings Involving Human Subjects](#book5_07)[\
> ]{.underline}**

**5.08 [Research Projects Involving Vertebrate Animals](#book5_08)**

**5.09 [Technical Assistance for Proposal Preparation and Project
Conduct](#book5_09)**

**\
**

**6.0 [SUBMISSION OF PROPOSALS](#book6_0)\
**

**6.01 [Deadline for Proposals](#book6_01)\
**

**6.02 [Proposal Submission](#book6_02)\
**

**7.0 [SCIENTIFIC AND TECHNICAL INFORMATION SOURCES](#book7_0)\
**

**8.0 [SUBMISSION FORMS](#book8_0)\
**

**8.01 [Cover Sheet](#book8_01)\
**

**8.02 [Project Summary](#book8_02)\
**

**8.03 [Proposed Budget](#book8_03)[\
]{.underline}**

**8.04 [Checklist of Requirements](#book8_04)\
**

**9.0 [RESEARCH TOPIC AREAS](#book9_0)**

**9.01 [Advanced Biological and Chemical Sensing](#book9_01)**

**9.02 [Analytical Methods](#book9_02)**

**9.03 [Assistive Technologies](#book9_03)**

**9.04 [Energy: Alternative and Efficiency](#book9_04)**

**9.05 [Healthcare and Medical Physics](#book9_05)[\
]{.underline}**

**9.06 [Homeland Security](#book9_06)\
**

**9.07 [Information Technology](#book9_07)\
**

**9.08 [Manufacturing System Integration](#book9_08)**

**9.09 [Micro- and Nano-fabrication Micromachining](#book9_09)\
**

**9.10 [Microelectronics Manufacturing](#book9_10)**

**9.11 [Nanofabrication](#book9_11)[\
]{.underline}**

**9.12 [Optics and Optical Technology](#book9_12)**

**9.13 [X-ray System Technologies](#book9_13)\
**

**US DEPARTMENT OF COMMERCE NATIONAL INSTITUTE OF STANDARDS AND
TECHNOLOGY**

**SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM**

**SOLICITATION**

[]{#book1_0 .anchor}**1.0 PROGRAM DESCRIPTION**

[]{#book1_01 .anchor}**1.01 Introduction**

The National Institute of Standards and Technology (NIST) invites small
businesses to submit research proposals under this solicitation. Firms
with strong research capabilities in any of the areas listed in Section
9 of this solicitation are encouraged to participate. **Unsolicited
proposals are not accepted under the SBIR program**.

The SBIR program was originally established in 1982 by the Small
Business Innovation Development Act (P.L. 97-219). It was then expanded
by the Small Business R&D Enhancement Act of 1992, extending the program
to the year 2000. Subsequent legislations (P.L. 106-554 and P.L.
110-235) have extended the program to March 20, 2009. Ten federal
agencies set aside a portion of their extramural research and
development budget each year to fund research proposals from small
science and technology-based firms.

The objectives of the SBIR program include stimulating technological
innovation in the private sector and strengthening the role of small
business in meeting Federal research and development (R&D) needs. It
also seeks to increase the commercial application of innovations derived
from Federal research and improve the return on investment from
federally funded research for the economic benefit of the Nation. The
NIST SBIR Program identifies and solicits proposals in subtopics that
fall within NIST's mission and allow collaboration between NIST
scientists and the SBIR awardee whenever possible.

**Subtopics listed in Section 9 of this Solicitation each are annotated
with either an "R" or a "TT."**

1.  []{#book1_01_01 .anchor}**NIST SBIR "R" Subtopics**

Subtopics with the "R" designation address the objective of stimulating
small business innovation in areas that meet NIST's programmatic goals
while possibly resulting in commercial potential beyond NIST for the
successful awardee.

[]{#book1_01_02 .anchor}**1.01.02 NIST SBIR"TT" Subtopics**

Subtopics with the "TT" designation address the objective of increasing
the commercial application of innovations derived from Federal R&D.
While NIST Laboratory scientists conduct breakthrough research that
leads to innovations, the range of NIST's effort does not extend to
product development in any of its intramural research areas. The
remaining work needed to fully exploit NIST technologies for commercial
viability necessarily requires innovation on behalf of the private
sector. As with all SBIR awards, these "TT" subtopics are intended to
cultivate private sector innovation. Specifically, each "TT" subtopic
identifies a commercially promising NIST technology and the
technological gaps that must be filled in order to transition it to the
marketplace.

SBIR awards resulting from "TT" subtopics will include, as necessary,
the grant of a non-exclusive research license to use the NIST-owned
patented background inventions specifically identified within the "TT"
subtopic being awarded. SBIR offerors are hereby notified that no
exclusive or non-exclusive commercialization license to make, use or
sell products or services incorporating the NIST background invention
will be granted until an SBIR awardee applies for, negotiates and
receives such a license. Awardees with contracts for subtopics that
identify specific NIST-owned patented background inventions will be
given the opportunity to negotiate a non-exclusive commercialization
license to such background inventions. If available, Awardees may be
given the opportunity to negotiate an exclusive commercialization
license to such background inventions. License applications will be
treated in accordance with Federal patent licensing regulations as
provided in 37 CFR Part 404.

Once awarded a contract and, where necessary, granted a license to use
NIST technology and access to NIST personnel knowledgeable about the
invention, it is the goal of this program that the SBIR awardee will be
positioned to create and add its own innovation and potentially develop
a commercially viable product based on the NIST patent.

[]{#book1_02 .anchor}**1.02 Three-Phase Program**

The \"Small Business Research and Development Enhancement Act of 1992\",
as amended, requires the Department of Commerce to establish a
three-phase SBIR program by reserving a percentage of its extramural R&D
budget to be awarded to small business concerns for innovation research.

This solicitation document requests Phase 1 proposals only.

NIST has the unilateral right to select SBIR research topics and
awardees in both Phase 1 and Phase 2. As funding is limited, NIST
reserves the right to select and fund only those proposals deemed to be
superior in overall technical quality and highly relevant to the NIST
mission. As a result, NIST may fund more than one proposal in a specific
topic area. Similarly, NIST may decide not to fund any proposals in a
given topic area.

**1.02.01 Phase 1 - Feasibility Research**

The purpose of Phase 1 is for NIST to determine the technical
feasibility of the research the awardee proposes and the quality of the
awardee's performance. Therefore, the proposal should concentrate on
describing research that will significantly contribute to proving the
feasibility of the proposed research. Feasibility is a prerequisite to
further support in Phase 2.

**1.02.02 Phase 2 - Research and Development**

Only firms that receive Phase 1 awards will be given the opportunity of
submitting a Phase 2 proposal following completion of Phase 1.
Instructions for Phase 2 proposal preparation and submission will be
provided to Phase 1 awardees typically during the fourth month of the
Phase 1 period of performance.

Phase 2 is the R&D or prototype development phase. It will require a
comprehensive proposal outlining the research in detail. Further
information regarding Phase 2 proposal requirements will be provided to
all firms receiving Phase 1 awards.

**1.02.03 Phase 3 - Commercialization**

In Phase 3, it is intended that non-SBIR capital be used by the small
business to pursue commercial applications of Phase 2.

[]{#book1_03 .anchor}**1.03 Manufacturing-related Priority**

Executive Order (EO)
[13329](http://www.nist.gov/cgi-bin/exit_nist.cgi?url=http://a257.g.akamaitech.net/7/257/2422/14mar20010800/edocket.access.gpo.gov/2004/pdf/04-4436.pdf)
"Encouraging Innovation in Manufacturing" requires SBIR agencies, to the
extent permitted by law and in a manner consistent with the mission of
that department or agency, to give high priority within the SBIR
programs to manufacturing-related research and development (R&D).
"Manufacturing-related" is defined as "relating to manufacturing
processes, equipment and systems; or manufacturing workforce skills and
protection." More information on the national manufacturing initiative
may be found through links located on the NIST SBIR website
[**http://www.nist.gov/sbir**](http://www.nist.gov/sbir).

The NIST SBIR Program solicits manufacturing-related projects through
many of the subtopics described in this Solicitation. Further, NIST
encourages innovation in manufacturing by giving high priority, where
feasible, to projects that can help the manufacturing sector through
technological innovation in a manner consistent with NIST's mission.
This prioritization will not interfere with the core project selection
criteria: scientific and technical merit, and the potential for
commercial success.

[]{#book1_04 .anchor}**1.04 Energy Efficiency and Renewable Energy
Priority**

The Energy Independence and Security Act of 2007 (P.L. 110-140) directs
SBIR Programs to give high priority to small business concerns that
participate in or conduct energy efficiency or renewable energy system
R&D projects.

The NIST SBIR Program solicits energy efficiency or renewable energy
system R&D projects through many of the subtopics described in this
Solicitation. Further, NIST encourages innovation in energy efficiency
or renewable energy system R&D by giving high priority, where feasible,
to projects that conduct energy efficiency or renewable energy system
R&D through technological innovation in a manner consistent with NIST's
mission. This prioritization will not interfere with the core project
selection criteria: scientific and technical merit, and the potential
for commercial success.

[]{#book1_05 .anchor}**1.05 Eligibility**

Each organization submitting a proposal for both Phase 1 and Phase 2
**must** qualify as a small business concern ([**Section
2.12**](#book2_12)) for research or R&D purposes ([**Section
2.9**](#book2_09)) at the time of award for each phase. In addition, the
primary employment of the principal investigator must be with the small
business at the time of the award and during the conduct of the proposed
research. More than one-half of the principal investigator\'s time must
be spent with the small business for the period covered by the award.
**Primary employment with a small business precludes full-time
employment with another organization.**

Also, for both Phase 1 and Phase 2, the work must be performed in the
United States. \"United States\" means the fifty states, the territories
and possessions of the United States, the Commonwealth of Puerto Rico,
the Commonwealth of the Northern Mariana Islands, the Trust Territory of
the Pacific Islands, and the District of Columbia. However, based on a
rare and unique circumstance, for example, a supply or material or other
item or project requirement that is not available in the United States,
agencies may allow that particular portion of the R/R&D work to be
performed or obtained in a country outside of the United States.
Approval by the funding agreement officer after consultation with the
agency SBIR Program Manager/Coordinator for each such specific condition
must be in writing.

Joint ventures and limited partnerships are eligible, provided the
entity created qualifies as a small business as defined in this
solicitation. **The small business awardee may enter into subcontracts
with universities or other non-profit organizations, with the awardee
serving as the prime contractor.**

For Phase 1, a minimum of two-thirds of the research and/or analytical
effort must be performed by the awardee. For Phase 2, a minimum of
one-half of the research and/or analytical effort must be performed by
the awardee.

**Unsolicited proposals or proposals not responding to topics or
subtopics listed herein are not eligible for SBIR awards. Only proposals
that are directly responsive to the subtopics as described in section 9
will be considered.**

[]{#book1_06 .anchor}**1.06 Contact with NIST**

In the interest of competitive fairness, all oral or written
communication with NIST concerning a specific technical topic or
subtopic during the open solicitation period is strictly prohibited -
with the exception of the public discussion group located at
[**http://www.nist.gov/sbir**](http://www.nist.gov/sbir). Discussion
group questions will be routed to the appropriate person for a response.
All questions and responses will be publicly, though anonymously, posted
on the discussion group web site.

Potential awardees may not participate in the selection of any topic or
subtopic nor in the review of proposals. All offerors, including Guest
Researchers, contractors, Cooperative research and Development Agreement
(CRADA) partners and others working with NIST may only submit a proposal
if they:

> Had no role in suggesting, developing, or reviewing the subtopic; and
>
> Have not been the recipient of any information on the subtopic not
>
> available in the solicitation or other public means; and
>
> Have not received any assistance from DOC in preparing the proposal
> (including any \'informal\' reviews) prior to submission.

An Agency may not enter into, or continue an existing CRADA with an
awardee on the subtopic of the award.

**Requests for general information on the NIST SBIR program may be
addressed to:**

> SBIR Program
>
> 100 Bureau Drive, Stop 2200
>
> Gaithersburg, MD 20899-2200
>
> Telephone: (301) 975-3085, Fax: (301) 975-3482
>
> email: [**sbir@nist.gov**](mailto:sbir@nist.gov)

**For information on contractual issues contact:**

> Ricardo Cordero
>
> Acquisitions and Logistics Division
>
> Telephone: (301) 975-3976. Fax: (301) 975-8884

email: ricardo.cordero@nist.gov

or

Mario Checchia

Acquisition Management Division

Telephone: (301) 975 -- 8407. Fax: (301) 975-8884

Email: [**mario.checchia@nist.gov**](mailto:mario.checchia@nist.gov)

[]{#book2_0 .anchor}**2.0 DEFINITIONS**

[]{#book2_01 .anchor}**2.01 Commercialization**

The process of developing marketable products or services and producing
and delivering products or services for sale (whether by the originating
party or by others) to the Government or commercial markets.

[]{#book2_02 .anchor}**2.02 Essentially Equivalent Work**

This occurs when (1) substantially the same research is proposed for
funding in more than one contract proposal or grant application
submitted to the same Federal agency;

\(2\) substantially the same research is submitted to two or more
different Federal agencies for review and funding consideration; or (3)
a specific research objective and the research design for accomplishing
an objective are the same or closely related in two or more proposals or
awards, regardless of the funding source.

[]{#book2_03 .anchor}**2.03 Feasibility**

The practical extent to which a project can be performed successfully.

[]{#book2_04 .anchor}**2.04 Funding Agreement**

Any contract, grant, or cooperative agreement entered into between any
Federal agency and any small business concern (SBC) for the performance
of experimental, developmental, or research work, including products or
services, funded in whole or in part by the Federal Government. **For
purposes of this Solicitation, NIST intends to award purchase orders
and/or contracts in accordance with the Federal Acquisition
Regulation.**

[]{#book2_05 .anchor}**2.05 Historically Underutilized Business Zone
(HUBZone) Small Business Concern**

Status as a qualified HUBZone Small Business Concern is determined by
the Small Business Administration in accordance with 13 CFR Part 126.

[]{#book2_06 .anchor}**2.06 Joint Venture**

An association of persons or concerns with interests in any degree or
proportion by way of contract, express or implied, consorting to engage
in and carry out a single specific business venture for joint profit,
for which purpose they combine their efforts, property, money, skill, or
knowledge, but not on a continuing or permanent basis for conducting
business generally. A joint venture is viewed as a business entity in
determining power to control its management and is eligible under the
SBIR and STTR Programs provided that the entity created qualifies as a
\"small business concern\" as defined in herein.

[]{#book2_07 .anchor}**2.07 NIST-Owned Patented Background Inventions**

There is a background NIST technology, for each "TT" subtopic contained
in this Solicitation, some of which are patent protected. NIST-Owned
Patented Background Inventions are those patented technologies that NIST
owns and has retained patent rights.

**\
**[]{#book2_08 .anchor}**2.08 Primary Employment**

Primary employment means that more than one half of the principal
investigator\'s time is spent in the employ of the small business
concern. This requirement extends also to "leased" employees serving as
the principal investigator. Primary employment with a small business
concern precludes full time employment at another organization.

[]{#book2_09 .anchor}**2.09 Research or Research and Development**

Any activity that is (a) a systematic, intensive study directed toward
greater knowledge or understanding of the subject studied; (b) a
systematic study directed specifically toward applying new knowledge to
meet a recognized need; or (c) a systematic application of knowledge
toward the production of useful materials, devices, services, or
methods, and includes design, development, and improvement of prototypes
and new processes to meet specific requirements.

In general, the NIST SBIR program will fund Phase 1 and 2 proposals with
objectives that can be defined by (b) and (c) above.

[]{#book2_10 .anchor}**2.10 SBIR Technical Data**

All data generated during the performance of an SBIR award.

[]{#book2_11 .anchor}**2.11 SBIR Technical Data Rights**

The rights an SBC obtains in data generated during the performance of
any SBIR Phase 1, Phase 2, or Phase 3 award that an awardee delivers to
the Government during or upon completion of a Federally-funded project,
and to which the Government receives a license.

[]{#book2_12 .anchor}**2.12 Small Business Concern (SBC)**

A concern that, on the date of award for both Phase I and Phase II
funding agreements:

> \(1\) is organized for profit, with a place of business located in the
> United States, which operates primarily within the United States or
> which makes a significant contribution to the United States economy
> through payment of taxes or use of American products, materials or
> labor;
>
> \(2\) is in the legal form of an individual proprietorship,
> partnership, limited liability company, corporation, joint venture,
> association, trust or cooperative, except that where the form is a
> joint venture, there can be no more than 49 percent participation by
> business entities in the joint venture;
>
> \(3\) is (i) at least 51 percent owned and controlled by one or more
> individuals who are citizens of the United States or permanent
> resident aliens in the United States, (ii) at least 51% owned and
> controlled by another business concern that is itself at least 51%
> owned and controlled by individuals who are citizens of, or permanent
> resident aliens in the United States; or (iii) a joint venture in
> which each entity to the venture must meet the requirements of either
> (i) or (ii) of this section.
>
> \(4\) has, including its affiliates, not more than 500 employees.

Control can be exercised through common ownership, common management,
and contractual relationships. The term \"affiliates\" is defined in
greater detail in 13 CFR 121.103. The term \"number of employees\" is
defined in 13 CFR 121.106.

A business concern may be in the form of an individual proprietorship,
partnership, limited liability company, corporation, joint venture,
association, trust, or cooperative. Further information may be obtained
at [**http://www.sba.gov/size**,](../%20http://www.sba.gov/size,) or by
contacting the Small Business Administration's Government Contracting
Area Office or Office of Size Standards.

[]{#book2_13 .anchor}**2.13 Socially and Economically Disadvantaged
Small Business Concern**

A socially and economically disadvantaged small business concern is one
that is at least 51% owned and controlled by one or more socially and
economically disadvantaged individuals, or an Indian tribe, including
Alaska Native Corporations (ANCs), a Native Hawaiian Organization (NHO),
or a Community Development Corporation (CDC). Control includes both the
strategic planning (as that exercised by boards of directors) and the
day-to-day management and administration of business operations. See 13
CFR 124.109, 124.110, and 124.111 for special rules pertaining to
concerns owned by Indian tribes (including ANCs), NHOs or CDCs,
respectively.

[]{#book2_14 .anchor}**2.14 Subcontract**

This is any agreement, other than one involving an employer-employee
relationship, entered by the awardee of a Federal Government funding
agreement, calling for supplies or services required solely for the
performance of the original funding agreement.

[]{#book2_15 .anchor}**2.15 Women-Owned Small Business**

A small business concern that is at least 51% owned and controlled by a
woman or women in accordance with 13 CFR 127.200, 127.201, and 127.202.

[]{#book3_0 .anchor}**3.0 PROPOSAL PREPARATION GUIDELINES**

[]{#book3_01 .anchor}**3.01 Proposal Requirements**

NIST reserves the right to not submit to technical review any proposal
which it determines has have insufficient scientific and technical
information, or one which fails to comply with the administrative
procedures as outlined on the Checklist of Requirements in [**Section
8.04**](#book8_04). Proposals that do not successfully pass the
screening criteria given in [**Section 4.02**](#book4_02) will be
returned to the offeror without further consideration.

The offeror must provide sufficient information to demonstrate that the
proposed work represents a sound approach to the investigation of an
important scientific or engineering innovation worthy of support. **The
proposal must meet all the requirements of the subtopic in [Section
9](#book9_0) it addresses**.

A proposal must be self-contained and written with all the care and
thoroughness of a scientific paper submitted for publication. It should
indicate a thorough knowledge of the current status of research in the
subtopic area addressed by the proposal. Each proposal should be checked
carefully by the offeror to ensure inclusion of all essential material
needed for a complete evaluation. The proposal will be peer reviewed as
a scientific paper. All units of measurement should be in the metric
system.

The proposal must not only be responsive to the specific NIST program
interests described in Section 9 of the solicitation, but also serve as
the basis for technological innovation leading to new commercial
products, processes, or services that benefit the public. An offeror may
submit proposals on multiple subtopics or multiple proposals on one
subtopic under this solicitation. When the proposed innovation applies
to more than one subtopic, the offeror must submit its proposal under
the subtopic that is most relevant to the offeror\'s technical concept.

**Proposals principally for the commercialization of proven concepts or
for market research must not be submitted. Such efforts are considered
the responsibility of the private sector.**

The proposal should be direct, concise, and informative. Promotional and
other material not related to the project shall be omitted. The complete
proposal application must contain four copies of the following:

\(a\) Cover Sheet (required form, see [**Section 8.0**](#book8_0))

\(b\) Project Summary (required form, see [**Section 8.0**](#book8_0))

\(c\) Technical Content

\(d\) Proposed Budget (required form, see [**Section 8.0**](#book8_0))

**One original proposal -- this includes original signatures in each of
the three required forms along with the technical section - plus three
copies of the proposal are required.**

[]{#book3_02 .anchor}**3.02 Phase 1 Proposal Limitations**

Page length must be **no more than 25 pages**. Each page is to be
consecutively numbered, including the cover sheet (2 pages count as one
-- for the cover sheet only), project summary, main text, references,
resumes, any other enclosures or attachments, and the proposal summary
budget. The only exception to the page count limitation are those pages
necessary to comply with the itemization of prior SBIR phase 2 awards,
per [**Section 3.03.03.02**](#book3_030302).

Paper size used for the submission must be 21.6 cm X 27.9 cm (8 ½\" X
11\"). Print size used for the submission must be easy to read with a
fixed pitch font of 12 or fewer characters per inch or proportionally
spaced font of point size 10 or larger with no more than 6 lines per
inch.

Supplementary material, revisions, substitutions, audio or video tapes,
or computer floppy disks will **not** be accepted. If submitted these
items will not be reviewed by evaluators.

The original and all copies of each proposal must be mailed in one
package. **The bottom right corner of the outside of the package must be
clearly marked "SBIR -- Subtopic (fill in the subtopic \#
\_\_\_\_\_\_\_\_)".**

[]{#book3_03 .anchor}**3.03 Instructions for Phase 1 Proposal Submission
Forms and Technical Content**

This section includes instructions for completing each of the three
required forms as well as the format required for the Technical Content
section. A complete proposal [application must include four copies of
each of the following: **[Cover
Sheet]{.underline}**,](http://tsapps.nist.gov/ts_sbir/cover_09.pdf)
[**Project
Summary**](http://tsapps.nist.gov/ts_sbir/project_summary_09.pdf),
Technical Content (up to 22 pages), and [**[Proposed
Budget]{.underline}**](http://tsapps.nist.gov/ts_sbir/budget_09.pdf).
Any applications received missing any of these required items will be
returned without review.

**3.03.01** [**[Cover
Sheet]{.underline}**](http://tsapps.nist.gov/ts_sbir/cover_09.pdf)

Complete all items in the "Cover Sheet" required form and use as page 1
of the proposal. **NO OTHER COVER WILL BE ACCEPTED.**

Before NIST can award a contract to a successful offeror under this
solicitation, the offeror must be registered in the DoD Central
Contractor Registration (CCR) database. The CCR allows Federal
Government contractors or firms interested in conducting business with
the federal government to provide basic information on business
capabilities and financial information. To register, visit
[**[http://www.ccr.gov]{.underline}**](http://www.ccr.gov/) or call
1-888-227-2423.

The DUNS number is a nine-digit number assigned by Dun and Bradstreet
Information Services. If the offeror does not have a DUNS number, it
should contact Dun and Bradstreet directly to obtain one. A DUNS number
will be provided immediately by telephone at no charge to the offeror.
For information on obtaining a DUNS number, the offeror, if located
within the United States, should call Dun and Bradstreet at
1-800-333-0505, or access their website at
[**http://sbs.dnb.com**](http://sbs.dnb.com/).

No award shall be made under this solicitation to a small business
concern without registration in CCR or a DUNS number.

Offerors are cautioned to identify proposal page numbers that contain
their confidential information in the Proprietary Notice section at the
end of the Cover Sheet.

**3.03.02** [**[Project
Summary]{.underline}**](http://tsapps.nist.gov/ts_sbir/project_summary_09.pdf)

Complete all sections of the \"Project Summary\" form as page 2 of your
proposal. The technical abstract should include a brief description of
the problem or opportunity, the innovation, project objectives, and
technical approach. Keywords should be chosen to describe the proposed
work both generally and specifically. In summarizing anticipated
results, include technical implications of the approach and the
potential commercial applications of the research. **Each awardee's
Project Summary will be published by NIST and, therefore, must not
contain proprietary information.**

[]{#book3_03_03 .anchor}**3.03.03 Technical Content**

Commercialization of SBIR research results is an important factor in the
evaluation of all proposals. Because of the nature of the "TT"
subtopics, special attention must be given to identify not only the
technical approach to the research problem identified in the subtopic
but the proposed means for commercializing the core NIST technology
being exploited through the proposed research.

Beginning on **page 3 of the proposal**, include the following items
with headings as shown:

\(a\) **Identification and Significance of the Problem or Opportunity.**
Make a clear statement of the specific research problem or opportunity
addressed, its innovativeness, commercial potential, and why it is
important. Show how it applies to a specific subtopic in Section 9.

\(b\) **Phase 1 Technical Objectives.** State the specific objectives of
the Phase 1 effort, including the technical questions it will try to
answer, to determine the feasibility of the proposed approach.

\(c\) **Phase 1 Work Plan**. Include a detailed description of the Phase
1 R&D plan. The plan should indicate what will be done, where it will be
done, and how the R&D will be carried out. The methods planned to
achieve each objective or task should be discussed in detail. This
section should be at least one-third of the proposal.

> **NIST technical support or assistance will be available to awardees
> in the conduct of the research only if specifically provided for in
> the subtopic description.**

\(d\) **Related Research or R&D.** Describe research or R&D that is
directly related to the proposal, including any conducted by the
principal investigator or by the offeror. Describe how it relates to the
proposed effort, and describe any planned coordination with outside
sources. The purpose of this section is to demonstrate the offeror\'s
awareness of recent developments in the specific topic area.

\(e\) **Key Personnel and Bibliography of Related Work.** Identify key
personnel involved in Phase 1, including their related education,
experience, and publications. Where resumes are extensive, summaries
that focus on the most relevant experience and publications are
suggested. List all other commitments that key personnel have during the
proposed period of contract performance.

\(f\) **Relationship with Future R&D.** Discuss the significance of the
Phase 1 effort in providing a foundation for the Phase 2 R&D effort.
Also state the anticipated results of the proposed approach, if Phases 1
and 2 of the project are successful.

\(g\) **Facilities and Equipment.** The conduct of advanced research may
require the use of sophisticated instrumentation or computer facilities.
The offeror should provide a detailed description of the availability
and location of the facilities and equipment necessary to carry out
Phase 1. **NIST facilities and/or equipment will be available for use by
awardees only if specifically provided for in the subtopic
description.** All related transportation/shipping/insurance costs shall
be the sole responsibility of the contractor. If expressed in the
subtopic description that access to NIST resources will be made
available, then under mutual agreement between awardee and NIST staff,
arrangements will be planned prior to NIST labs visits, samples testing
or exchange, and any collaborative discussions.

\(h\) **Consultants and Subcontracts.** The purpose of this section is
to demonstrate that: research assistance from outside the firm
materially benefits the proposed effort, and arrangements for such
assistance are in place at the time the proposal is submitted.

Outside involvement in the project is encouraged where it strengthens
the conduct of the research. Outside involvement is not a requirement of
this solicitation. Outside involvement is limited to no more than 1/3 of
the research and/or analytical effort in Phase 1, per [**Section
1.05**](#book1_05).

> 1\. Consultant - A person outside the firm, named in the proposal as
> contributing to the research, must provide a signed statement
> confirming his/her availability, role in the project, and agreed
> consulting rate for participation in the project. This statement is
> part of the page count.
>
> 2\. Subcontract - Similarly, where a subcontract is involved in the
> research, the subcontracting institution must furnish a letter signed
> by an appropriate official describing the programmatic arrangements
> and confirming its agreed participation in the research, with its
> proposed budget for this participation. This letter is part of the
> page count.
>
> Absence of such documents explaining such a consultant or subcontract,
> if
>
> applicable, may disqualify the offeror from consideration.
>
> No individual or entity may serve as a consultant or subcontractor if
> they:
>
> Had any role in suggesting, developing, or reviewing the subtopic; or
>
> Have been the recipient of any information on the subtopic not
> available to
>
> the public.

\(i\) **Potential Commercial Application.** Describe in detail the
commercial potential of the proposed research, how commercialization
would be pursued and potential use by the Federal Government.

\(j\) **Cooperative Research and Development Agreements (CRADA).** State
if the offeror is a former or current CRADA partner with NIST, or with
any other Federal agency, naming the agency, title of the CRADA, and any
relationship with the proposed work. An Agency may not enter into, nor
continue, a CRADA with an awardee on the subtopic of the award.

\(k\) **Guest Researcher.** State if the offeror or any of its
consultants or subcontractors is a guest researcher at NIST, naming the
sponsoring laboratory.

\(l\) **Cost Sharing.** Offerors may propose cost-sharing. Except where
required by other statutes, NIST does not require or give preference to
offerors proposing cost sharing in Phase 1. NIST will not consider
whether an offeror proposes cost sharing in its evaluation of proposals

**3.03.03.01 Similar Proposals or Awards**

**NOTE -** While it is permissible, with proposal notification, to
submit identical proposals or proposals containing a significant amount
of essentially equivalent work for consideration under numerous Federal
program solicitations, it is unlawful to enter into funding agreements
requiring essentially equivalent work. If there is any question
concerning this, it must be disclosed to the soliciting agency or
agencies before award.

If an offeror elects to submit identical proposals or proposals
containing a significant amount of essentially equivalent work under
other Federal program solicitations, a statement must be included in
each such proposal indicating:

\(i\) The name and address of the agencies to which proposals were
submitted or from which awards were received.

\(ii\) Date of proposal submission or date of award.

\(iii\) Title, number, and date of solicitations under which proposals
were submitted or awards received.

\(iv\) The specific applicable research topics for each proposal
submitted or award received.

\(v\) Titles of research projects.

\(vi\) Name and title of principal investigator or project manager for
each proposal submitted or award received.

If no equivalent proposal is under consideration or equivalent award
received, a statement to that effect must be included in this section of
the technical content area of the proposal and certified within the
Cover Sheet.

[]{#book3_030302 .anchor}**3.03.03.02 Prior SBIR Phase 2 Awards**

If the small business concern has received more than 15 Phase 2 awards
in the prior five fiscal years, it must submit in its Phase 1 proposal:
name of the awarding agency; date of award; funding agreement number;
amount of award; topic or subtopic title; follow-on agreement amount;
source and date of commitment; and current commercialization status for
each Phase 2 award. **This required information shall not be part of the
25 page count limitation.**

NOTE: The Small Business Administration is mandated to establish an SBIR
awardee database containing demographic, technical, outcome and output
information on all SBIR awards. The database is being developed as of
the date of release of this solicitation. When it becomes available, all
NIST SBIR awardees will be required to supply the required data in a
timely fashion.

**3.03.04** [**[Proposed
Budget]{.underline}**](http://tsapps.nist.gov/ts_sbir/budget_09.pdf)

NIST will not issue SBIR awards that include provisions for
subcontracting any portion of the contract back to the federal
government.

For Phase 1, a minimum of two-thirds of the research and/or analytical
effort must be performed by the proposing small business concern. For
Phase 2 a minimum of one-half of the research and/or analytical effort
must be performed by the proposing small business concern.

Complete the [**Proposed
Budget**](http://tsapps.nist.gov/ts_sbir/budget_09.pdf) required form
for the Phase 1 effort, and include it as the last page of the proposal.
Some items of this form may not apply to every proposal. Enough
information should be provided to allow NIST to understand how the
offeror plans to use the requested funds if the award is made. A
complete cost breakdown should be provided giving labor rates, proposed
number of hours, overhead, G&A, and profit. A reasonable profit will be
allowed.

The offeror is to submit a cost estimate with detailed information for
each Line Item, consistent with the offeror\'s cost accounting system.
This does not eliminate the need to fully document and justify the
amounts requested in each category. Such documentation should be
contained, as appropriate, within the proposal technical content.

**Lines A and B, Labor.** List the key personnel and consultants by name
and function or role in the project. Other direct personnel need not be
named, but their role, such as "technician," and total hours should be
entered. Personnel whose costs are indirect (e.g. administrative
personnel) should be included in Line D. Fringe benefits can be listed
for each employee in the space provided, or they may be included within
the indirect costs in Line G. The PI must be employed by the small
business concern at the time of contract award and during the period of
performance of the research effort. Additionally, more than half of the
PI\'s time must be spent with the awardee during the contract
performance.

**Line C, Equipment.** List items costing over \$5,000 and exceeding one
year of useful life. Lesser items may be shown in Line D. Indicate if
equipment is to be purchased or leased. Where equipment is to be
purchased or leased, list each individual item with the corresponding
cost. The inclusion of equipment will be carefully reviewed relative to
need and appropriateness for the research proposed.

**Line D, Travel.** Itemize by destination, purpose, period and cost for
both staff and consultants. Budgets including travel funds must be
justified and related to the needs of the project. Inclusion of travel
expenses will be carefully reviewed relative to need and appropriateness
for the research proposed. Foreign travel is not an appropriate expense.

**Line E, Other Direct Costs.** The materials and supplies, testing
and/or computer services, and subcontracts required for the project must
be identified. Specify type, quantity and unit cost (if applicable), and
total estimated cost of these other direct costs.

**Line F, Total Direct Costs.** Enter the sum of Lines A through E.

**Line G, Indirect Costs.** Cite your established Overhead (OH) and
General and Administrative (G&A) rate, if any. Otherwise include all
indirect costs (e.g. facilities, shared equipment, utilities, property
taxes, administrative staff) for the period of the project. Indirect
costs are costs not directly identified with a single final cost
objective.

**\
Line H, Total Costs.** Enter the total amount of the proposed project,
the sum of Lines F and G.

**Line I, Profit.** The small business concern may request a reasonable
profit.

**Line J, Total Amount of this request.** Enter the sum of Lines H and
I. This amount must equal the amount entered in the Cover Sheet Form.

**Line K, Corporate/Business Authorized Representative.** A signature of
someone with the authority to commit the company must be given.

[]{#book4_0 .anchor}**4.0 METHOD OF SELECTION AND EVALUATION CRITERIA**

[]{#book4_01 .anchor}**4.01 Introduction**

All Phase 1 and 2 proposals will be evaluated and judged on a
competitive basis. Proposals will be initially screened to determine
responsiveness. Proposals passing this initial screening will be
technically evaluated by engineers or scientists to determine the most
promising technical and scientific approaches. Each proposal will be
judged on its own merit. The Agency is under no obligation to fund any
proposal or any specific number of proposals in a given topic. It also
may elect to fund several or none of the proposed approaches to the same
topic or subtopic.

[]{#book4_02 .anchor}**4.02 Phase 1 Screening Criteria**

Phase 1 proposals that do not satisfy all the screening criteria shall
be returned to the offeror without further review and will be eliminated
from consideration for award. Proposals may not be resubmitted (with or
without revision) under this solicitation. The screening criteria are:

\(a\) The proposing firm must qualify as eligible according to the
criteria set forth in\
[**Section 1.05**](#book1_05).

\(b\) The Phase 1 proposal must meet **all** of the requirements stated
in [**Section 3.0**](#book3_0).

\(c\) The Phase 1 proposal must be limited to one subtopic and clearly
address\
research for that subtopic.

\(d\) **Phase 1 total proposal budget must not exceed \$90,000.**

\(e\) **The R&D duration for the Phase 1 research must not exceed 6
months.**

\(f\) The proposal must contain information sufficient to be peer
reviewed as research.

[]{#book4_03 .anchor}**4.03 Phase 1 Evaluation Criteria**

Phase 1 proposals that comply with the screening criteria will be rated
by NIST scientists or engineers in accordance with the following
criteria:

\(a\) The scientific and technical merit of the proposed research (25
points)

\(b\) Innovation, originality, and feasibility of the proposed research
(20 points)

\(c\) Relevance and responsiveness of the proposed research to the
subtopic to which it is addressed (20 points)

\(d\) Quality and/or adequacy of facilities, equipment, personnel
described in the\
proposal (15 points)

\(e\) Quality of the proposal's commercialization potential as evidenced
by the offerors record of commercializing other research products;
existence of outside, non-SBIR, funding or partnering commitments; or
the presence of other indicators of commercial potential of the idea (20
points)

Technical reviewers will base their ratings on information contained in
the proposal. It cannot be assumed that reviewers are acquainted with
any experiments referred to, key individuals, or the firm. No technical
clarifications may be made after proposal submission.

Final award decisions will be made by NIST based upon ratings assigned
by reviewers and consideration of evaluation of additional factors such
as possible duplication of other research, the importance of the
proposed research as it relates to NIST needs, and the availability of
funding. In the event of a "tie" between proposals,
manufacturing-related projects as well as those regarding energy
efficiency and renewable energy system will receive priority in the
award selection process. NIST may elect to fund several or none of the
proposals received on a given subtopic. Upon selection of a proposal for
a Phase 1 award, NIST reserves the right to negotiate the amount of the
award.

[]{#book4_04 .anchor}**4.04 Phase 2 Evaluation Criteria**

Phase 2 proposals that comply with the screening criteria will be rated
by NIST scientists or engineers in accordance with the following
criteria:

1\. Degree to which Phase 1 objectives were met (25 points)

2\. The scientific and technical merit of the proposed research,
including innovation, originality, and feasibility (25 points)

3\. Quality and/or adequacy of facilities, equipment, personnel
described in the\
proposal (25 points)

4\. Quality of the proposal's commercialization potential as evidenced
by either the offerors record of commercializing other research
products, existence of outside, non-SBIR, funding or partnering
commitments, or the presence of other indicators of commercial potential
of the idea. (25 points)

[]{#book4_05 .anchor}**4.05 Release of Proposal Review Information\
**

After final award decisions have been announced, the technical
evaluations of proposals that passed the screening criteria will be
provided to the offeror with written notification of award/non-award.
The identity of the reviewers will not be disclosed.

[]{#book5_0 .anchor}**5.0 CONSIDERATIONS**

[]{#book5_01 .anchor}**5.01 Awards**

NIST will award **firm-fixed-price purchase orders and/or contracts** to
successful offerors. A firm-fixed-price purchase order or contract
identifies a price that is not subject to any adjustment on the basis of
the contractor\'s cost experience in performing the effort. This
agreement type places upon the contractor the risk and full
responsibility for all costs and resulting profit or loss. It provides
maximum incentive for the contractor to control costs and perform
effectively and imposes a minimum administrative burden upon both
parties. NIST also does not allow any advance payments to be made on its
awards. The firm-fixed-price shall be inclusive of all
transportation/shipping/insurance costs for government furnished
property made available for use by awardee and all
deliverables/prototypes to be furnished to NIST.

Contingent upon availability of funds, NIST anticipates making a total
number of approximately 14 Phase 1 firm-fixed-price SBIR awards of no
more than **\$90,000** each. The total performance period shall be no
more than seven (7) months beginning on the contract start date. A
period of one (1) month is allotted after the six (6) month R&D duration
for the awardee to prepare and submit a final report.

Phase 2 awards shall be for no more than **\$300,000**. The R&D activity
period of performance in Phase 2 will depend upon the scope of the
research, but should not exceed 25 months. One year after completing the
R&D activity, the awardee shall be expected to report on their
commercialization activities. The total period of performance for Phase
2 is 37 months.

It is anticipated that approximately one-fourth of the Phase 1 awardees
will receive Phase 2 awards, depending upon the availability of funds.
To provide for an in-depth review of the Phase 1 final report and the
Phase 2 proposal and commercialization plan, Phase 2 awards will be made
approximately 5 months after the completion of Phase 1, contingent upon
availability of funds.

**This solicitation does not obligate NIST to make any awards under
either Phase 1 or Phase 2. Furthermore, NIST is not responsible for any
monies expended by the offerors before awards are made.**

Upon award, the awardee will be required to make certain legal
commitments through acceptance of numerous clauses in Phase 1 funding
agreements. The outline that follows is illustrative of the types of
clauses to which the contractor would be committed. This list is not a
complete list of clauses to be included in Phase 1 funding agreements,
and is not the specific wording of such clauses. Copies of complete
terms and conditions are available upon request.

These statements are examples only and may vary depending upon the type
of funding agreement used.

\(1\) Standards of Work. Work performed under the funding agreement must
conform to high professional standards.

\(2\) Inspection. Work performed under the funding agreement is subject
to Government inspection, evaluation, and acceptance at all times.

\(3\) Examination of Records. The Comptroller General (or a duly
authorized representative) must have the right to examine any pertinent
records of the awardee involving transactions related to this funding
agreement.

\(4\) Default. The Government may terminate the funding agreement if the
contractor fails to perform the work contracted.

\(5\) Termination for Convenience. The funding agreement may be
terminated at any time by the Government if it deems termination to be
in its best interest, in which case the awardee will be compensated for
work performed and for reasonable termination costs.

\(6\) Disputes. Any dispute concerning the funding agreement that cannot
be resolved by agreement must be decided by the contracting officer with
right of appeal.

\(7\) Contract Work Hours. The awardee may not require an employee to
work more than 8 hours a day or 40 hours a week unless the employee is
compensated accordingly (for example, overtime pay).

\(8\) Equal Opportunity. The awardee will not discriminate against any
employee or offeror for employment because of race, color, religion,
sex, or national origin.

\(9\) Affirmative Action for Veterans. The awardee will not discriminate
against any employee or application for employment because he or she is
a disabled veteran or veteran of the Vietnam era.

\(10\) Affirmative Action for Handicapped. The awardee will not
discriminate against any employee or offeror for employment because he
or she is physically or mentally handicapped.

\(11\) Officials Not To Benefit. No Government official must benefit
personally from the SBIR funding agreement.

\(12\) Covenant Against Contingent Fees. No person or agency has been
employed to solicit or secure the funding agreement upon an
understanding for compensation except bona fide employees or commercial
agencies maintained by the awardee for the purpose of securing business.

\(13\) Gratuities. The funding agreement may be terminated by the
Government if any gratuities have been offered to any representative of
the Government to secure the award.

\(14\) Patent Infringement. The awardee must report each notice or claim
of patent infringement based on the performance of the funding
agreement.

\(15\) American Made Equipment and Products. When purchasing equipment
or a product under the SBIR funding agreement, purchase only
American-made items whenever possible.

[]{#book5_02 .anchor}**5.02 Reports**

An R&D final report on the Phase 2 project shall be submitted to NIST
within 30 calendar days after completion of the two-year Phase 2 R&D
activity period. A commercialization update report on the SBIR project
shall be submitted to NIST within 30 calendar days after three years
after the Phase 2 award date, i.e. one year after the completion of the
two-year Phase 2 R&D activity period. The total period of performance
for Phase 2 is 37 months.

Each final report shall include a single-page project summary as the
first page, identifying the purpose of the research, and giving a brief
description of the research carried out, the research findings or
results, and the commercial applications of the research in a final
paragraph. The remainder of the report should indicate in detail the
research objectives, research work carried out, results obtained, and
estimates of technical feasibility.

All final reports must carry an acknowledgment on the cover page such
as: \"This material is based upon work supported by the National
Institute of Standards and Technology (NIST) under contract
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. Any opinions, findings, conclusions or
recommendations expressed in this publication are those of the author(s)
and do not necessarily reflect the views of NIST.\"

The commercialization update report will include the target markets and
customers that have been identified for the technology developed under
the SBIR project. The report shall include details about additional
activities that have been planned and executed along with future plans
to derive revenues from the technology; these may include but are not
limited to: pricing, partners, licensing, production plans,
manufacturing partners, follow-on R&D funding. Resources committed by
the awardee to effectively commercialize technologies developed under
the SBIR project will be clearly demonstrated as well as projections for
further commercialization.

**INSERT PROGRESS REPORT REQUIREMENTS FOR PHASES 1 AND 2**

[]{#book5_03 .anchor}**5.03 Deliverables**

Offers submitted in response to subtopics that require delivery of a
prototype should state in the proposal, the plan to develop and deliver
the specified prototype. Notwithstanding the absence of such an explicit
statement in the offeror's proposal, delivery of the developed prototype
as called for by the solicitation subtopic is required.

[]{#book5_04 .anchor}**5.04 Payment Schedule**

The specific payment schedule (including payment amounts) for each award
will be incorporated into the purchase order and/or contract.

No advance payments will be allowed.

NIST will allow the Phase 1 award amount to be paid on a bimonthly
interim basis upon delivery and acceptance of three progress reports
that describe services performed, and one final payment upon delivery
and acceptance of the final report.

NIST will allow the Phase 2 award amount minus \$5,000 to be paid in
five equal increments on an interim basis upon delivery and acceptance
of four progress reports (at the 2^nd^, 6^th^, 12^th^, and 18^th^ months
of the project) that describe services performed, and one final equal
increment payment upon delivery of the final R&D report and prototype,
if applicable per subtopic requirement, at the 25^th^ month of the
project. The final \$5,000 will be paid upon delivery and acceptance of
the commercialization update report at the 37th month of the
project. Failure to submit the report within thirteen months of the
completion of the R&D activity period for Phase 2 will result in a
de-obligation of the \$5,000.

[]{#book5_05 .anchor}**5.05 Proprietary Information, Inventions, and
Patents**

**5.05.01 Limited Rights Information and Data**

Information contained in unsuccessful proposals will remain the property
of the offeror. Any proposal which is funded will not be made available
to the public, except for the \"Project Summary\" page.

The inclusion of proprietary information is discouraged unless it is
necessary for the proper evaluation of the proposal. Information
contained in unsuccessful proposals will remain the property of the
offeror. The Government may, however, retain copies of all proposals.
Public release of information in any proposal submitted will be subject
to existing statutory and regulatory requirements. If proprietary
information is provided by an offeror in a proposal, which constitutes a
trade secret, proprietary commercial or financial information,
confidential personal information or data affecting the national
security, it will be treated in confidence, to the extent permitted by
law. This information must be clearly marked by the offeror with the
term \"confidential proprietary information\" and the following legend
must appear on the first page of the technical section of the proposal:

\"These data shall not be disclosed outside the Government and shall not
be

> duplicated, used, or disclosed in whole or in part for any purpose
> other than
>
> evaluation of this proposal. If a funding agreement is awarded to this
>
> offeror as a result of or in connection with the submission of these
> data,
>
> the Government shall have the right to duplicate, use, or disclose the
> data to
>
> the extent provided in the funding agreement and pursuant to
> applicable
>
> law. This restriction does not limit the Government\'s right to use
> information
>
> contained in the data if it is obtained from another source without
> restriction.
>
> The data subject to this restriction are contained on pages \_\_\_\_
> of this
>
> proposal.\"

Any other legend may be unacceptable to the Government and may
constitute grounds for removing the proposal from further consideration,
without assuming any liability for inadvertent disclosure. The
Government will limit dissemination of such information to within
official channels.

Examples of laws that restrict the government to protect
confidential/proprietary information about business operations and trade
secrets possessed by any company or participant include: Freedom of
Information Act (FOIA)---5 U.S.C. § 552(b); Economic Espionage Act---18
U.S.C. § 1832; and Trade Secrets Act---18 U.S.C. § 1905.

In view of the above, proposers are cautioned that proposals are likely
to be less competitive if significant details are omitted due to the
proposer's reluctance to reveal confidential/proprietary information.

**5.05.02 Copyrights**

The contractor may normally establish claim to copyright any written
material first produced in the performance of an SBIR contract. If a
claim to copyright is made, the contractor shall affix the applicable
copyright notice of 17 U.S.C. 401 or 402 and acknowledgment of
Government sponsorship (including funding agreement number) to the
material when delivered to the Government, as well as when the written
material or data are published or deposited for registration as a
published work in the US Copyright Office. For other than computer
software, the contractor gives to the Government, and others acting on
its behalf, a paid-up, nonexclusive, irrevocable, worldwide license to
reproduce, prepare derivative works, distribute copies to the public,
and perform publicly and display publicly, by or on behalf of the
Government.

For computer software, the contractor gives to the Government a paid-up,
nonexclusive, irrevocable, worldwide license for all such computer
software to reproduce, prepare derivative works, and perform publicly
and display publicly, by or on behalf of the Government.

**5.05.03 Rights in Data Developed Under SBIR Contracts**

To preserve the SBIR data rights of the awardee, the legend (or
statements) used in the SBIR Data Rights clause included in the SBIR
award must be affixed to any submissions of technical data developed
under that SBIR award. If no Data Rights clause is included in the SBIR
award, the following legend, at a minimum, should be affixed to any data
submissions under that award:

**SBIR RIGHTS NOTICE**

> "These SBIR data are furnished with SBIR rights under Contract No.
> \_\_\_\_\_\_\_\_\_\_\_ (and subcontract No. \_\_\_\_\_\_\_\_\_\_\_ if
> appropriate), Awardee Name \_\_\_\_\_\_\_\_\_, Address, Expiration
> Period of SBIR Data Rights \_\_\_\_\_\_\_\_\_\_. The Government may
> not use, modify, reproduce, release, perform, display, or disclose
> technical data or computer software marked with this legend for
> (choose four (4) or five (5) years). After expiration of the (4- or
> 5-year period), the Government has a royalty-free license to use, and
> to authorize others to use on its behalf, these data for Government
> purposes, and is relieved of all disclosure prohibitions and assumes
> no liability for unauthorized use of these data by third parties,
> except that any such data that is also protected and referenced under
> a subsequent SBIR award shall remain protected through the protection
> period of that subsequent SBIR award. Reproductions of these data or
> software must include this legend."

**(END OF NOTICE)**

The Government\'s sole obligation with respect to any properly
identified SBIR data shall be as set forth in the paragraph above.

**5.05.04 Patents**

Small business concerns normally may retain the principal worldwide
patent rights to any invention developed with Government support. The
Government receives a royalty free license for Federal Government use,
reserves the right to require the patent holder to license others in
certain circumstances, and requires that anyone exclusively licensed to
sell the invention in the United States must normally manufacture it
domestically. To the extent authorized by 35U.S.C. 205, the Government
will not make public any information disclosing a Government supported
invention for a minimum 4-year period (that may be extended by
subsequent SBIR funding agreements) to allow the awardee a reasonable
time to pursue a patent**.**

**5.05.04.01 NIST-Owned Patented Background Inventions**

SBIR awards made subsequent to "TT" subtopics in this Solicitation,
will, upon the request of the awardee to a NIST licensing officer,
include the grant of a non-exclusive research license to use NIST-owned
patented background inventions which are specifically identified within
the subtopic being awarded. SBIR offerors are hereby notified that no
exclusive or non-exclusive commercialization license to make, use or
sell products or services incorporating the NIST background invention is
granted until an SBIR awardee applies for, negotiates and receives such
a license. Awardees of solicited subtopics that identify specific
NIST-owned patented background inventions will be given the opportunity
to negotiate a non-exclusive commercialization license to such
background inventions. If available, Awardees may be given the
opportunity to negotiate an exclusive commercialization license to such
background inventions. License applications will be treated in
accordance with Federal patent licensing regulations as provided in 37
CFR Part 404.

Any invention developed by awardee during the course of the SBIR
contract period of performance is subject to the terms of section
5.05.04.

**5.05.05 Invention Reporting**

SBIR awardees must report inventions to the NIST SBIR Program within 2
months of the inventor's report to the awardee. The reporting of
inventions may be accomplished by submitting paper documentation,
including fax or through the iEdison Invention Reporting System at
**[[www.iedison.gov](http://www.iedison.gov/).]{.underline}**

[]{#book5_06 .anchor}**5.06 Additional Information**

\(1\) If there is any inconsistency between the information contained
herein and the terms of any resulting SBIR funding agreement, the terms
of the funding agreement are controlling.

\(2\) Before award of an SBIR funding agreement, the Government may
request the offeror to submit certain organizational, management,
personnel, and financial information to assure responsibility of the
offeror.

\(3\) The Government is not responsible for any monies expended by the
offeror before award of any funding agreement.

\(4\) This program solicitation is not an offer by the Government and
does not obligate the Government to make any specific number of awards.
Also, awards under the SBIR Program are contingent upon the availability
of funds.

\(5\) The SBIR Program is not a substitute for existing unsolicited
proposal mechanisms. Unsolicited proposals will not be accepted under
the SBIR Program in either Phase 1 or Phase 2.

\(6\) If an award is made pursuant to a proposal submitted under this
SBIR Program solicitation, a representative of the contractor will be
required to certify that the concern has not previously been, nor is
currently being, paid for essentially equivalent work by any Federal
agency.

\(7\) The responsibility for the performance of the principal
investigator, and other\
employees or consultants who carry out the proposed work, lies with the
management of the organization receiving an award.

\(8\) Cost-sharing is permitted for proposals under this program
solicitation; however, cost-sharing is not required. Cost-sharing will
not be an evaluation factor in consideration of your Phase 1 proposal.

[]{#book5_07 .anchor}**5.07 Research Projects with Human Subjects, Human
Tissue, Data or Recordings Involving Human Subjects**

Any proposal that includes research involving human subjects, human
tissue, data or recordings involving human subjects must meet the
requirements of the Common Rule for the Protection of Human Subjects,
codified for the Department of Commerce at [15 CFR Part 27. In addition,
any proposal that includes such research on these topics
must](http://www.nist.gov/cgi-bin/exit_nist.cgi?url=http://www.access.gpo.gov/nara/cfr/waisidx_99/15cfr27_99.html)
be in compliance with any statutory requirements imposed upon NIH and
other federal agencies regarding these topics, all regulatory policies
and guidance adopted by NIH, FDA, and other federal agencies on these
topics, and all Presidential statements of policy on these topics. Any
questions regarding these requirements should be addressed to Melissa
Lieberman at (301) 975-4783 or
[**melissa.lieberman@nist.gov**](mailto:melissa.lieberman@nist.gov).

**IRB Education Documentation.** A signed and dated letter is required
from the Organizational Official who is authorized to enter into
commitments on behalf of the organization documenting that appropriate
IRB education has been received by the Organizational Official, the IRB
Coordinator or such person that coordinates the IRB documents and
materials if such a person exists, the IRB Chairperson, all IRB members
and all key personnel associated with the proposal. The NIST requirement
of documentation of education is consistent with NIH notice OD-00-039
(June 5, 2000). Although NIST will not endorse an educational
curriculum, there are several curricula that are available to
organizations and investigators which may be found at:
**<http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html>[.]{.underline}**

[]{#book5_08 .anchor}**5.08 Research Projects Involving Vertebrate
Animals**

Any proposal that includes research involving vertebrate animals
(including fish) must be in compliance with the National Research
Council's \"Guide for the Care and Use of Laboratory Animals\" which can
be obtained from National Academy Press, 2101 Constitution Avenue, NW,
Washington, D.C. 20055. In addition, such proposals must meet the
requirements of the Animal Welfare Act (7 U.S.C. 2131 et seq.), 9 CFR
Parts
[1,](http://www.nist.gov/cgi-bin/exit_nist.cgi?url=http://www.access.gpo.gov/nara/cfr/waisidx_01/9cfr1_01.html)
[2](http://www.nist.gov/cgi-bin/exit_nist.cgi?url=http://www.access.gpo.gov/nara/cfr/waisidx_01/9cfr2_01.html),
and
[3,](http://www.nist.gov/cgi-bin/exit_nist.cgi?url=http://www.access.gpo.gov/nara/cfr/waisidx_01/9cfr3_01.html)
and if appropriate, [21 CFR Part
58.](http://www.nist.gov/cgi-bin/exit_nist.cgi?url=http://www.access.gpo.gov/nara/cfr/waisidx_01/21cfr58_01.html)
These regulations do not apply to proposed research using pre-existing
images of animals or to research plans that **do not** include live
animals that are being cared for, euthanized, or used by the project
participants to accomplish research goals, teaching, or testing. These
regulations also do not apply to obtaining animal materials from
commercial processors of animal products or to animal cell lines or
tissues from tissue banks.

[]{#book5_09 .anchor}**5.09 Technical Assistance For Proposal
Preparation and Project Conduct**

Proposers may wish to contact the NIST Hollings Manufacturing Extension
Partnership (MEP), a nationwide network of locally managed extension
centers whose sole purpose is to provide small- and medium-sized
manufacturers with the help they need to succeed. The centers provide
guidance to high-technology companies seeking resources and teaming
relationships. To contact an MEP center, call 1-800-MEP-4-MFG
(1-800-637-4634) or visit MEP's website at
**[www.mep.nist.gov](http://www.mep.nist.gov/).**

Proposers may wish to contact independent state, regional, or area
specific resources, for example, economic development agencies for
additional assistance and resources.

[]{#book6_0 .anchor}**6.0 SUBMISSION OF PROPOSALS**

[]{#book6_01 .anchor}**6.01 Deadline for Proposals**

**Deadline for Phase 1 SBIR proposal receipt is 3:00 pm on Thursday,
January 22, 2009 at the Contracts Office address below.**

**NIST does not accept electronic submission of proposals.**

All Offerors should expect delay in delivery due to added security at
NIST. It is the responsibility of the Offeror to make sure delivery is
made on time.

Because of the heightened security at NIST, USPS, FED-EX, UPS or
similar-type service is the preferred method of delivery of proposals.

If proposals are to be hand delivered prior to the due date, delivery
must be made by the actual deadline date and a 24-hour notice must be
made to the NIST Contracts Office prior to delivery. All Offerors must
notify Ricardo Cordero at 301-975- 3976 or ricardo.cordero@nist.gov. The
name of the individual or courier company making the delivery must be
included in the notification.

NIST will not for evaluate proposals received after the stated deadline
or that do not adhere to the other requirements of this solicitation
(see checklist in section 8.04).

**[[Federal Acquisition
Regulation]{.underline}](http://www.arnet.gov/far/loadmainre.html)**
(FAR 52 215-1) regarding late proposals shall apply.

Letters of instruction will be sent to those eligible to submit Phase 2
proposals. The Phase 2 proposals are due shortly after the deadline for
Phase 1 final reports.

Offerors are cautioned to be careful of unforeseen delays, which can
cause late arrival of proposals at NIST, resulting in them not being
included in the evaluation procedures. No information on the status of
proposals under scientific/technical evaluation will be available until
formal notification is made.

[]{#book6_02 .anchor}**6.02 Proposal Submission**

**If courier delivered,** the Offeror must submit the Proposal Packages
**(four (4) copies)** as defined in [**Section 3.03**](#book3_03) to:

> National Institute of Standards and Technology\
> Acquisitions and Management Division\
> Attn: Ricardo Cordero, NIST--08-SBIR\
> 100 Bureau Drive STOP 1640 Building 301, Room B129\
> Gaithersburg, MD 20899-1640

Phone Number: (301) 975- 3976

**Hand delivery will be accepted ONLY at the following location on the
due date, Thursday, January 22, 2009, from 8:00 AM EST until closing
time at 3:00 PM EST:**

National Institute of Standards and Technology

100 Bureau Drive (Off Clopper Road)

**Visitor Center ONLY**

Gaithersburg, MD 20899

**Photocopies will be accepted.**

Acknowledgment of receipt of a proposal by NIST will be made. All
correspondence relating to proposals must cite the specific **proposal
number** identified on the acknowledgment.

> \(a\) **Packaging\--Secure packaging is mandatory. NIST cannot process
> proposals damaged in transit. All 4 copies of the proposal must be
> sent in the same package. Do not send separate \"information copies,\"
> or several packages containing parts of a single proposal, or two
> packages of 4 copies of the same proposal. Clearly mark the bottom
> right-hand corner of the package with the subtopic number to which the
> proposal is responding.**
>
> \(b\) Bindings\--**Do not use special bindings or covers.** Staple the
> pages in the upper left hand corner of each proposal. Separation or
> loss of proposal pages cannot be the responsibility of NIST.
>
> []{#book7_0 .anchor} **7.0 SCIENTIFIC AND TECHNICAL INFORMATION
> SOURCES\
> \
> **Background information related to the NIST research programs
> referenced within the subtopics may be found within the NIST website
> at: [**[www.nist.gov]{.underline}**](http://www.nist.gov/). Wherever
> possible, reference citations are provided within the individual
> subtopics.\
> \
> \
> []{#book8_0 .anchor}**8.0 SUBMISSION FORMS\
> \
> **[]{#book8_01 .anchor}**8.01 Click on this link: [[Cover
> Sheet]{.underline}](http://tsapps.nist.gov/ts_sbir/cover_09.pdf) in
> order to access the required form (2 pages) in pdf format.\
> \
> **[]{#book8_02 .anchor}**8.02 Click on this link: [[Project
> Summary]{.underline}](http://tsapps.nist.gov/ts_sbir/project_summary_09.pdf)
> in order to access the required form in pdf format.\
> \
> **[]{#book8_03 .anchor}**8.03 Click on this link: [[Proposed
> Budget]{.underline}](http://tsapps.nist.gov/ts_sbir/budget_09.pdf) in
> order to access the required form in pdf format.\
> \
> **[]{#book8_04 .anchor}**8.04 Checklist of Requirements** Please
> review this checklist carefully to assure that your proposal meets the
> NIST requirements. Failure to meet these screening requirements will
> result in your proposal being returned without consideration. **Four
> copies of the proposal must be received by 3:00p.m. EST January 22,
> 2009.\
> \
> **1. The [**[COVER
> SHEET]{.underline}**](http://tsapps.nist.gov/ts_sbir/cover_09.pdf)
> (both pages combined) has been completed and is **PAGE 1** of the
> proposal.\
> \
> 2. The [**[PROJECT
> SUMMARY]{.underline}**](http://tsapps.nist.gov/ts_sbir/project_summary_09.pdf)
> **PAGE 2** of the proposal.\
> \
> 3.The **TECHNICAL CONTENT** of the proposal **begins on PAGE 3** and
> includes the items identified in **[SECTION 3.03.03](#book3_03_03)**
> of the solicitation. The technical content section of the proposal is
> limited to 22 pages in length.\
> \
> 4. The SBIR PROPOSAL [**[PROPOSED
> BUDGET]{.underline}**](http://tsapps.nist.gov/ts_sbir/budget_09.pdf)
> has been completed and is the **LAST PAGE** of the proposal.\
> \
> 5. The entire proposal, including forms and the technical content, is
> **25 PAGES OR LESS** in length.\
> \
> 6. The proposal is limited to only **ONE** of the subtopics in Section
> 9.\
> \
> 7. The proposal budget is for **\$90,000 or LESS**. No more than
> one-third of the budget is allocated to consultants and/or
> subcontractors.\
> \
> 8. The abstract contains **no proprietary information** and does **not
> exceed** space provided on the Project Summary.\
> \
> 9. The proposal contains only pages of 21.6cm X 27.9cm size (8 ½\" X
> 11\").\
> \
> 10. =The proposal contains an **easy-to-read font (fixed pitch of 12
> or fewer characters per inch or proportional font of point size 10 or
> larger) with no more than 6 lines per inch,** except as a legend on
> reduced drawings, but not tables.\
> \
> 11. =The P.I. is employed by the company.\
> \
> NOTE: Offerors are cautioned to be careful of unforeseen delays that
> can cause late arrival of proposals, with the result that they
> **WILL** not be forwarded for evaluation.\
> \
> **Potential offerors are advised to sign up within
> [http://www.fedbizopps.gov](http://www.fedbizopps.gov/) to receive
> notification of any amendment to the solicitation that may be released
> after opening date. Also, potential offerors are advised to check the
> public Q&A website located at
> [www.nist.gov/sbir](http://www.nist.gov/sbir) for up to date
> information concerning specific subtopics that may be posted during
> the Solicitation open period.**

[]{#book9_0 .anchor}**9.0 RESEARCH TOPIC AREAS**

[]{#book9_01 .anchor}**9.01 [Advanced Biological and Chemical
Sensing]{.underline}**

> **9.01.01-5.TT Facile, Scalable Synthesis of Water Soluble CdSe/Zn
> Sulfide Quantum Dots for Bioimaging**
>
> Quantum dot (QD) nanostructures possessing highly luminescent
> properties in the visible spectrum are finding widespread application
> in diagnostic and in vitro imaging applications. Previous methods for
> synthesizing water soluble quantum dots with suitable luminescence
> quality have required specialized custom reagents, air free procedures
> and a ligand exchange process, which degrade the optical properties of
> the dot and a stabilizing polymer coating which result in a
> substantially larger particle population, which limits the potential
> applications of current commercially produced materials. NIST has
> recently developed a scalable two-step microwave-based synthetic
> procedure that sidesteps the ligand exchange process, resulting in
> water soluble particles that are closer in size to unfunctionalized
> QDs. This low temperature method directly solubilizes the QDs with
> organic species during the shell coating process, without degraded
> them through subsequent high-temperature conditions. NIST is
> soliciting proposals to develop this technology to a commercially
> viable stage. Aspects to be considered are the use of alternate
> surface ligands and functional handles which afford faster or more
> biologically relevant end materials, as well as scale up to larger
> production quantities. NIST will provide latest information regarding
> technology development, and measurements of
>
> Research needed to develop this into a commercial technology:
>
> 1\. Optimize the shell coating procedure for maximum fluorescence and
> oxidative stability
>
> 2\. Optimize scalability to commercial quantities of about 10 gram
>
> 3\. Custom functional handles for derivatizations with additional
> targeting species
>
> Phase 1 deliverables:
>
> 1\. Report and demonstrate microwave conditions to minimize particle
> size distribution to 5% or less.
>
> 2\. Report and demonstrate the shell coating procedure obtaining for
> obtaining quantum yields of 50% or greater.
>
> 3\. Report and demonstrate method to scale synthesis to quantities of
> at least 1 gram.
>
> Phase 2 deliverables:
>
> 1\. Report and demonstrate method for adding custom functional
> moieties to quantum dots for labeling target species.
>
> 2\. Report and demonstrate method to scale synthesis of quantities of
> at least 10 grams, while maintaining particle size distribution and
> quantum yield targets achieved in phase 1.
>
> References:
>
> MD Roy, A Herzing, SH Lacerda, ML Becker\* "Emission-Tunable,
> Microwave Synthesis of Highly Luminescent Water Soluble Quantum Dots"
> Chemical Communications, 2008, 2106-2108.

[]{#book9_02 .anchor}**9.02 [Analytical Methods](#book9_01)**

> **9.02.01-3.R Multiplexed Electrophoresis System With "Detectorless"
> Conductivity Detection**
>
> The ability to acquire large amounts of high quality data very rapidly
> is increasingly important for progress in the biological sciences
> (e.g. drug discovery and systems biology). Capillary electrophoresis
> (CE) has a number of advantages that make it well suited to provide
> the kind of quantitative data that is necessary. In particular, it is
> relatively fast, requires only small amounts of sample and reagents,
> and can be applied to a wide variety of biochemical analysis problems.
> Although capillary array electrophoresis systems have been described
> for high throughput operation, they are complicated, expensive, and
> difficult to operate.
>
> NIST has recently described a new approach to multiplexed
> electrophoresis which is much simpler and less expensive than
> conventional CE. In the new approach, the bundle of long separation
> capillaries is replaced by an array of very short (1-2 mm)
> electrophoresis channels (≈ 5-10 µm diameter) that connect between the
> samples to be analyzed and one or more reservoirs of separation
> buffer. To further simplify the device, the multi-point optical
> detection system of the conventional CE approach is replaced by an
> array of electrical resistors used to measure the current through each
> electrophoresis channel. The electrophoresis device can be made to fit
> into a format similar to a microtiter plate, making it compatible with
> existing robotic systems for high throughput measurements.
>
> The "detectorless" electrophoresis approach is an implementation of
> the gradient elution moving boundary electrophoresis (GEMBE) technique
> with very short channels. With GEMBE, a combination of an electric
> field and controlled, variable buffer counterflow is used to achieve
> high resolution separations of multiple analyte species. Typically,
> the polarity of the applied voltage is set so that the analytes of
> interest are driven by electrophoresis from the sample toward the
> separation channel. At the beginning of a separation, the counterflow
> is high so that none of the analytes of interest will enter the
> channel. Over the course of the separation, the counterflow is
> gradually reduced so that each analyte, in turn, will enter the
> channel as a moving boundary or step. With very short channels, only
> one step at a time is present in the channel, and the channel current
> can be used as a detector signal, with essentially no detector
> hardware. The time derivative of the current is then equivalent to a
> conventional electropherogram. Because of the simplicity of the
> hardware used, the "detectorless" electrophoresis approach is simple
> and inexpensive to multiplex; making it ideally suited to high
> throughput measurements.
>
> NIST seeks the design and construction of a prototype apparatus for
> multi-plexed "detectorless" electrophoresis. NIST is willing to work
> collaboratively with the awardee on all aspects of the project. A
> first prototype will be delivered to NIST for evaluation for Phase 1.
> The Phase 1 prototype apparatus will be capable of automated
> electrophoretic analysis of at least 16 samples simultaneously.
>
> Phase 2, if awarded, will involve the design of an improved apparatus
> taking into account the results obtained with the Phase 1 prototype.
> The Phase 2 prototype will be integrated with a robotic system for
> automated sample mixing and will be capable of automated analysis of
> at least 96 samples simultaneously.

**9.02.02-3.R Electron Energy Analyzer for Ion Neutralization
Spectroscopy**

> With the advent of the helium ion microscope (HeIM), NIST would like
> to explore the possibility of performing ion neutralization
> spectroscopy and related techniques at the lateral resolution of the
> helium ion-beam incidence (on the order of nm). With this capability,
> the HeIM could potentially generate surface band gap and density of
> state information on the nanoscale. Such a tool would prove invaluable
> to many industries, such as those utilizing heterogeneous catalysis or
> semiconductors. A successful nanoscale analysis tool requires the
> development of an electron energy analyzer that can be integrated into
> an existing HeIM. The analyzer should be highly sensitive (\<1 nA
> measured current) and be capable of 0.5% or better energy resolution
> (ΔE/EP) from 10 eV to 55 eV. Due to the low electron emission currents
> expected, the energy analyzer should have a very large acceptance
> angle.
>
> For the Phase 1 effort, participants will provide a proposed design
> for an electron energy analyzer capable of meeting the performance
> parameters outlined above. Phase 2 will require delivery of a
> spectrometer and associated hardware and software to NIST for
> installation in the HeIM. The NIST HeIM will be made available to
> participants during the course of their work.
>
> A successful ion neutralization electron spectrometer will provide a
> critical analytical function urgently needed for the HeIM and strongly
> assist the development of this important new ultra-high resolution
> microscopy invented and under commercial development in the United
> States. The successful small business will have an immediate market
> for the spectrometer with the potential for substantial expansion as
> HeIM technology moves into the marketplace.
>
> **9.02.03-3.TT Signal Processing Methods for High-Dimensional
> Microsensor Data Streams**
>
> There exists a growing need for gas phase chemical analyses that can
> be performed reliably by portable systems. The application areas
> driving these needs are highly diverse, ranging from long-term
> environmental monitoring and process control to homeland security and
> medical diagnostics. Sensors and microsensors are expected to fulfill
> the detection role for many of the numerous application sectors, often
> be-cause instruments (even when they can be miniaturized) are too
> expensive and/or labor intensive, and because they cannot be easily
> configured into network monitoring schemes.
>
> This demand for sensors creates a significant set of challenges for
> sensor and microsensor performance. They must also be able to work
> under differing background conditions and identify a wide variety of
> target species. In fact, many applications (e.g. - personal safety or
> breath analysis for health screening) require that very low levels (\~
> 1 ppb to 100 ppb) of target compounds be tracked against complex and
> dynamic backgrounds that are mixtures of 10\'s to 100\'s of chemicals.
> Recognition, classification and quantification of the target analytes
> in such situations by sensors (not spectroscopic instruments) can
> require extremely rich datastreams as well as signal processing
> techniques that extract critical analytical information efficiently,
> rap-idly and successfully.
>
> NIST seeks the design and development of high performance signal
> processing routines to mate with microsensor technology being
> developed at its Gaithersburg, MD campus. Rich signal streams are
> produced from multielement (9 to 36) arrays, which are controlled and
> interrogated via circuitry that can individually address each element
> and also modulate the transduction properties of each microsensor
> within the arrays. Varied sensing materials populate the arrays so
> that differing responses are produced \[1\]. An example of \"higher
> dimensionality\" modulation of the elements is temperature programming
> (over a range of \~ 450 °C in 10 s), which temporally alters
> interfacial phenomena contributing to orthogonal signals coming from
> the sensor elements \[2\]. Data from a 16-element array can be
> obtained at a rate of up to \~ 200/s, with tests lasting weeks or even
> months. Training/testing sequences can also be rich in the variety of
> conditions they seek to examine (moving through \~ 40 conditions with
> specific exposure times of minutes). Signal processing methods are
> required that can model responses under known conditions, and then use
> those models for recognition of species during test sequences. It is
> expected that successful signal analysis will also require signal
> preprocessing subroutines that adapt to certain levels of signal
> offset and drift in order to track useable response (shape) features.
> The models and signal analysis must quickly probe the rich datastreams
> to locate the most useful data for recognizing chemical events in
> time, discriminate between test flow constituents, and then identify
> and quantify target compounds. Certain aspects of the NIST technology
> can also benefit from software capabilities for tracking microsensor
> element \"fatigue\". Ultimately, the signal processing software would
> be re-fined to operate with the sensing hardware for near-real time
> detection and quantification. Many mathematical approaches can be
> considered to achieve these tasks, but it is imperative that the
> selected components work effectively together in the assembled signal
> processing system.
>
> To make any award under this program most beneficial, NIST researchers
> will work closely with performers to provide databases that will be
> used in the development project.
>
> Databases will be delivered for both training and testing experiments.
> Provided data will be accompanied by full descriptions of the
> experimental protocol and an explanation of any special operational
> aspects programmed into the microsensors in order to enrich or
> supplement the signal stream. During Phase I, the awardee would
> develop methods for determining the most valuable portions of the data
> as a means of constructing recognition algorithms, and as appropriate,
> target libraries. Recognition models would be delivered to NIST,
> initially for off-line testing, and after refinements including
> integration with the NIST sensor control system, for on-line testing.
> Success would be measured by percentage of target analyte recognition
> the model allows (for multiple \"on-off\" presentations of from 3 to 4
> compounds) in on-line testing demonstrations under a variety of
> backgrounds (including several interferences). Recognition from the
> coupled hardware-signal processing system must be indicated within 6
> operational cycles (typical cycles running from 15 s to 30 s).
>
> Phase II, if awarded, would seek to improve the performance of the
> signal processing software, in terms of both percentage of proper
> recognition of targets, and the speed with which those assignments are
> made (down from 6 operational cycles to 3 cycles). In addition, NIST
> would require the demonstration of a number of other features,
> including a target quantification software module, flexibility to
> respond to adaptive operational modes, and a sensor fatigue tracking
> metric. Close collaboration with NIST researchers is envisioned for
> optimization of the system efficiency.
>
> References:
>
> 1\. K. D. Benkstein and S. Semancik "Integration of Nanostructured
> Materials with MEMS Microhotplate Platforms to Enhance Chemical Sensor
> Performance", Journal of Nanoparticle Research 8, 809-822 (2006).
>
> 2\. D. C. Meier, J. K. Evju, Z. Boger, B. Raman, K. D. Benkstein, C.
> J. Martinez, C. B. Montgomery, and S. Semancik, "The Potential for and
> Challenges of Detecting Chemical Hazards with Temperature-Programmed
> Microsensors", Sensors and Actuators B 121, 282-294 (2007).

**9.02.04-5.TT Development of a Multi-sample Multi-Slit Rheometer**

> The Multi-Sample Micro-Slit Rheometer is a versatile instrument which
> performs rheological measurement and processing operations (mixing,
> stacking, molding...) on molten polymers but requires up to 1000 times
> less material than traditional methods. This makes the technology
> amenable to inclusion in high-throughput materials research workflows,
> or for testing of specialty synthesized components of which there are
> small amounts.  It is an application of microfluidic techniques to the
> regime of polymer melts; i.e., high temperatures and high viscosities.
> This technology has been under development at NIST over the past three
> years, and we believe that it is sufficiently mature that it can be
> commercialized.  However, the instrument will require significant
> development to be a commercial product, including optimization for
> cost, for software and hardware interfacing, for usability and for
> simplification of the design.  Accordingly, NIST is soliciting
> proposals from small companies to meet these challenges and bring the
> product to market.  This product would be of interest to the major
> polymers manufacturers and also to academic laboratories which need to
> conduct research on small quantities of materials.  
>
> Phase 1 deliverable:

-   Develop a full-design of the device, including mechanical drawings,
    pressure, heating and optical components and computer interfacing
    components.

```{=html}
<!-- -->
```
-   Development of a commercialization plan for the instrument.

> Phase 2 deliverables:

-   Construction of a prototype device with measurement capabilities up
    to 300 ^o^C. This will necessitate a design which is more
    stream-lined and integrated than the current NIST device. The
    prototype device will be controlled by integrated software which can
    control the instrument and analyze the resulting data.

-   Measurement of rheological properties of polymer melts and solutions
    on a prototype device.

-   Development of a technology for forming polymer droplets in a matrix
    of an immiscible polymer as well as for mixing two and three
    component polymer blends.

-   Demonstration of the device to the Technical Contact.

> Reference: Multi-sample micro-slit rheometry, Moon D, Bur AJ , Migler
> KB, JOURNAL OF RHEOLOGY, Volume: 52 , Issue: 5, Pages: 1131-1142
> Published: SEP-OCT 2008

**9.02.05-5.R Attogram-Level Single Nanoparticle Mass Sensing in Liquid
Media**

> Engineered nanoparticles present opportunities for a number of
> important biomedical technologies. For instance, multifunctional
> nanoparticle-based platforms for targeting, treating and imaging
> cancer are now in development and show promise for clinical studies.
> Although application development in this and other biomedical areas is
> progressing rapidly, there are significant analytical barriers to
> assessing the physical and chemical properties of both ensembles and
> individual nanoparticles. In particular, the measurement of individual
> particles is challenging and few methods offer the sensitivity and
> accuracy necessary to provide precise data on single particles.
> Development of single particle measurement capabilities will
> facilitate commercial and clinical application of these new
> technologies. Methods are needed to rapidly measure physical
> properties such as mass, volume and density of individual
> nanoparticles, under biologically relevant conditions and in
> biologically relevant media. Resonant mass sensing approaches appear
> promising for individual nanoparticle measurements, but a device must
> be capable of resolving mass changes at the sub-femtogram (fg, 10^-15^
> g) to attogram (ag, 10^-18^ g) level with high signal-to-noise ratio
> and preferably on a continuous flow basis. The most widely used
> mass-sensing technique is the quartz crystal microbalance; however,
> these devices are limited to a mass resolution of order 1 nanogram
> (ng, 10^-9^ g). Sub-fg level detection has been reported for
> measurements in aqueous media using a mass sensing microchannel
> resonator. It has been suggested that these devices could be improved
> further and potentially approach the ag mass detection level. Sub-ag
> sensitivity using nanomechanical resonators has been reported for dry
> measurements, but not in liquids.
>
> We seek proposals for resonant mass sensing instrumentation that will
> enable the detection and analysis of individual nanoparticles and
> their payloads in the sub-fg to sub-ag range with a quality factor of
> order 1000 or better. To be relevant to biomedical and other
> solution-mediated applications, this technology must be compatible
> with the analysis of particles in aqueous suspension and should
> incorporate a microfluidic system or other effective mechanism for
> delivering individual particles to the analysis platform. Ease of
> sample introduction, rapid analysis of results and robust sensor
> design are important characteristics for widespread adoption of this
> technology. The ability to perform these measurements in complex media
> and buffers will broaden its applicability and overall utility.
>
> A successful Phase 1 endpoint should:
>
> • demonstrate the feasibility of the overall approach
>
> • result in a prototype mass resonator platform (sensor chip)
>
> • produce a compatible sample delivery system (e.g. based on
> microfluidics).
>
> Since multiple mass resonator "chips" will be necessary in order to
> replace contaminated or damaged units, the awardee should also
> demonstrate the feasibility of the fabrication approach and its
> capacity for high yield production. The awardee will provide data from
> the prototype system that clearly demonstrates a mass resolution
> capability in aqueous-based suspensions of nanoparticles at least a
> factor of 100 below the single-fg level. NIST can provide test
> materials for this purpose if needed. The awardee will provide NIST
> with an assessment of feasibility for attaining single digit ag-level
> resolution in a reproducible manner.
>
> In Phase 2 the awardee will construct, deliver and validate a fully
> functional and integrated prototype system complete with instrument
> control and analysis software appropriate for a non-expert
> applications community. This system should demonstrate:
>
> • reproducible sub-fg mass resolution for aqueous phase suspended
> particles detected under continuous flow conditions,
>
> • proven ability to sense mass changes at least 100x below the fg
> level.
>
> The awardee should also demonstrate and validate a NIST-traceable
> calibration procedure that will enable mass measurements with an
> uncertainty better than 10%.
>
> References:
>
> A. Gupta, D. Akin, and R. Bashir, Applied Physics Letters, 84,
> 1976--1978 (2004).
>
> T.P. Burg, M. Godin, S.M. Knudsen, W. Shen, G. Carlson, J.S. Foster,
> K. Babcock, S.R. Manalis, Nature, 446, 1066-1069 (2007).
>
> X. Xia and X. Li, Rev. Sci. Instrum., 79, 074301 (2008);
> DOI:10.1063/1.2949390.

[]{#book9_03 .anchor}**9.03 [Assistive Technologies]{.underline}**

> **9.03.01-9.TT Pervasive Information Technology for Sensor
> Infrastructure for Multi Modal Interfaces and Smart Spaces**
>
> The NIST Smart Space and Meeting Room projects serve a broad research
> and development community investigating the technical issues that must
> be solved to create viable multimodal audiovisual computer interfaces.
> Among the key elements of this research are acoustic sensor arrays.
> But advances in acoustic processing techniques are needed in order to
> bring spoken/visual interfaces to practical usability levels. Key
> problems in research and development of effective multiple microphone
> techniques include:
>
> • Beamforming in the near field, far field, and in multiple geometries
>
> • Source localization in support of signal enhancement and sensor
> fusion experiments
>
> • Source separation, both directionally and blind, to deal with
> simultaneous speakers
>
> • Enhancing audio quality for speech recognition, which may include
> array processing or other signal processing techniques
>
> • Assistive audiovisual biometric computer interfaces that can
> recognize users using multimodal inputs including voice
>
> The existing NIST Mk-III Microphone Array provides an extensible
> processing architecture with a fully networked sensor platform with
> sixty-four channels of analog to digital conversion per motherboard.
> An issue with the NIST Mk-III is that the data acquisition cards are
> hybrid analog/digital boards and there is detectable digital noise is
> leaking into the analog-to-digital converters. One important issue in
> our multimodal interface initiative would be a redesign of the Mk-III
> data acquisition boards to reduce this digital noise in the microphone
> signals. Another would be the development of signal processing
> algorithms to allow the acquisition of high quality speech from
> distant speakers using the data from the improved Mk-III array.
>
> Also, the Mk-III its current form offers only a linear geometry; which
> is an important baseline, but which exhibits certain spatial
> ambiguities. Other geometries improved algorithmic approaches to
> beamforming are desirable, and may use multiple arrays, random
> placement microphones, such as tabletop microphones, spherical
> geometries, or entirely different ones. Future generation NIST Smart
> Spaces may use these enhancements to create hardware and software
> reference platforms, and data for our research communities. Specific
> information on the Mk-III array can be found at
> [**http://www.nist.gov/smartspace**](http://www.nist.gov/smartspace).
>
> Proposals submitted under this subtopic may address access to the
> staff of the NIST Smart Space Laboratory, and its hardware and
> software designs. We anticipate working collaboratively with the
> grantee to export the NIST software and hardware base to the grantee
> company. Then we will work collaboratively to test and evaluate the
> resulting improved algorithms and/or hardware.
>
> A proof-of-concept laboratory implementation for improved Mk-III
> hardware, and possibly data acquisition and reduction software is
> expected as a result of the Phase I activity. In Phase II a detailed
> reference design for improved Mk-III hardware in a form that can be
> replicated by contracts electronics manufactures, and any statistical
> signal processing algorithms (e.g. beamforming), associated computer
> codes that enhance the performance of the improved Mk-III array.

[]{#book9_04 .anchor}**9.04 [Energy: Alternative and
Efficiency]{.underline}**

**9.04.01-5.TT Electrodeposition of Pt-alloy Electrocatalyst for PEM and
DMFC**

> Fuel cells with their higher efficiency, fuel flexibility and
> continuous operation are attractive choices for future portable and
> stand alone power generation. A significant obstacle to the wide
> spread use of polymer electrolyte (PEFC) and direct methanol (DMFC)
> fuel cells is associated with the loading, efficiency and stability of
> Pt electrocatalyst. Indeed, in a recent benchmarking exercise,
> researchers at General Motors-Fuel Cell Activities Division note that
> the most viable approach to obtaining the targeted 0.15 mg Pt/cm2
> loading, required for cost-effective high volume automotive
> technology, is the development of improved Pt-alloy catalyst \[1\].
> Several other commercial ventures are intensely exploring new
> processes for producing catalyst dispersions for use in DMFC and
> related micro-fuel cells.
>
> Recent publications have shown Pt alloys including Fe, Ni, and Co can
> actually be more effective catalysts than pure platinum. In the case
> of the oxygen reduction reactions that account for 70 % of the losses
> in a typical fuel cell, alloying Pt with these elements can enhance
> the kinetics by an order of magnitude, substantially reducing the
> amount of Pt required. Likewise, these Pt alloys demonstrate greatly
> enhanced resistance to CO-poisoning associated with the oxidation of
> reformed hydrogen fuel or methanol that otherwise shuts down the
> catalytic activity of Pt. Fundamental investigations into the behavior
> of these alloys have been based on either thermo-mechanically
> processed bulk materials or sputter deposited thin films \[2\], \[3\];
> limited information is available concerning the synthesis and
> reactivity of Ptt-x(Fe, Co, Ni)x alloy electrocatalyst.
>
> NIST researchers have developed technology to electrodeposit compact
> bright films of Fe-Pt, Co-Pt and Ni-Pt alloys with controlled
> composition, and experiments with the Pt-Co and Pt-Ni thin films
> exhibit enhanced catalytic behavior towards oxygen reduction compared
> to electrodeposited Pt. Early details on the NIST process can be found
> in the literature \[4\].
>
> Because conventional fuel cell applications usually involve a fine
> dispersion of alloy particles on conductive catalyst supports, NIST is
> soliciting proposals to extend this alloy electrodeposition process to
> the synthesis of catalyst on more relevant gas diffusion layer (GDL)
> electrode supports. Offerors should have experience in the field of
> electrodeposition and fabrication of GDL/membrane electrode array
> (MEA) and catalyst performance testing in fully integrated fuel cells.
>
> • Contractor will fabricate GDL/MEA using NIST electrodeposition
> process to form the relevant Pt-Ni and Pt-Co alloy catalyst.
>
> • Contractor will then test the performance of novel GDL/MEA against
> conventional fuel cell electrodes.
>
> References:
>
> 1\. H.A. Gasteiger, S.S. Kocha, B. Sompalli and F.T. Wagner, Applied
> Catalysis B: Environmental 56, 9-35 (2005).
>
> 2\. V.R. Stamenkovic, B. Fowler, B.S. Mun, G. Wang, P.N. Ross, C.A.
> Lucas and N.M. Markovic, Science, 315, 493 (2007).
>
> 3\. A.F. Gulla, M.Sudan Saha, R.J. Allen and S. Mukerjee, J.
> Electrochem. Soc., 153, A366 (2006).
>
> 4\. J.J. Mallett, E.B. Svedberg, S.Sayan, A.J. Shapiro, L. Wielunski,
> T.E. Madey, W.F. Egelhoff and T.P. Moffat, Electrochem. & Solid-State
> Lett., 7, C121 (2004); ibid, 8, C15 (2005); ibid, J.Electrochem. Soc.,
> 155, D1 (2008).

**9.04.02-6.R Refrigerant Circuit Balancing Device for Finned-Tube
Evaporators**

> Residential air conditioning systems use finned-tube heat exchangers
> to transfer thermal energy between air and the refrigerant. These heat
> exchangers typically consist of several dozen parallel tubes with
> return bend connectors directing the flow of the refrigerant from one
> tube to the next. Since the number of tubes in a heat exchanger is
> related to its capacity while the number of tubes in a given circuit
> (path) is related to the parasitic loss in pumping power, finned-tube
> evaporators often feature parallel refrigerant circuits (multiple
> inlet tubes and multiple outlet tubes) to produce the appropriate
> capacity with a tolerable penalty in pressure drop. This concept,
> however, introduces difficulty in properly distributing the
> refrigerant between the circuits to ensure a uniform refrigerant
> thermodynamic state at the outlet tubes, which is required for
> attaining maximum heat exchanger effectiveness and system energetic
> efficiency. In low temperature applications, the maldistribution of
> refrigerant manifests itself in uneven frost accumulation on the heat
> exchanger, which imposes a severe performance penalty on the
> performance of the heat exchanger and the fan.
>
> The objective of this project is to formulate a concept capable of
> balancing the refrigerant flow through a finned-tube heat exchanger in
> such a way that the thermodynamic state exiting each circuit's outlet
> is uniform. This concept can take various forms, but it must be
> adaptable to various environments and have the ability to balance
> circuits in real time to reduce the efficiency losses in response to
> frost formation. Phase 1 requires a validated concept of a flow
> balancing device. Validation may take the form of simulation,
> bench-top experimentation, or some combination thereof. Phase 2 will
> require prototype development and delivery.

**9.04.03-6.R Sensor Systems for Complete Residential Energy
Monitoring**

> A major challenge in assessing the effectiveness of energy
> conservation measures in buildings is conveying real-time information
> about energy consumption by particular end-use to occupants. The World
> Business Council for Sustainable Development identified "Lack of
> awareness and information on energy consumption and cost" as one of
> three major barriers to energy efficient behavior and reports that
> "technical devices to measure energy consumption and provide immediate
> feedback help households to cut energy consumption by as much as 20%."
>
> The objective of this project solicitation is to develop sensor
> systems that can be easily placed in and around a building to develop
> a complete picture of the energy consumption within that building.
> Quantities of interest to be measured include, but are not necessarily
> limited to, the following: air temperatures, water temperatures,
> relative humidity, electrical energy consumption, natural gas energy
> consumption, heating oil consumption, water consumption, air speed,
> and sunlight. Two key features for any such system will be its
> potential to be produced at a price at which a typical homeowner would
> purchase it and its ability to be installed with minimal effort. This
> ease-of-installation not only applies to the physical placement of the
> sensors, but it also applies to software needed to run the system.
>
> To meet this need, systems are sought that have the following
> features. The sensor nodes should be comprised of radio boards that
> have a standard interface for a variety of sensors. Sensing techniques
> for critical quantities of interest related to residential energy
> consumption shall be suggested. Innovative methods of measuring
> quantities of interest that can minimize the cost of the system are
> encouraged. The proposal should discuss the method by which the data
> from the sensors will be assigned to a particular end-use. Data
> transmission and/or storage at a central location shall be
> standardized to allow monitoring and analysis software the ability to
> easily access the data. The system should be capable of being easily
> expanded at a later time by the addition of more sensors. Some sensors
> may be needed outdoors (e.g., to measure outdoor temperature,
> sunlight), so the equipment must be capable of being installed in such
> conditions. Phase 1 will require a deliverable prototype of the radio
> nodes, at least 5 different sensor types relevant to building energy
> consumption, one of which measures electricity consumption, and
> simplified software to indicate the collection of data at a central
> point. In Phase 2, a functioning system that uses the sensor nodes
> developed in Phase 1 and which incorporates hardware to assign the
> particular end-use, location, and sensed quantity to the sensor node,
> software to display the data at a station within the home, and the
> ability to access the data over the Internet.

[]{#book9_05 .anchor}**9.05 [Healthcare and Medical
Physics]{.underline}**

**9.05.01-3.TT Instrument for Detection of Inhaler Dose Concentration**

> Little quantitative information describing spatially or temporally
> resolved drug concentrations in individual droplets of an aerosol
> (i.e., presence of the active agent within any particular droplet) is
> available; concentration along with droplet size is critical for
> proper dosage and transport efficiency to the site of action. The
> droplet range of interest is between 1 and 10 microns. We have
> developed a measurement approach to obtain droplet dose concentration
> of pharmaceutical-laden, multiphase aerosols \[1\]. Since many
> biological molecules either are naturally fluorescent or can be
> chemically modified with fluorophores, one can relate fluorescence
> intensity to concentration (or mass) of these inclusions within the
> droplet volume. The approach used distinguishes between aerosol
> droplets that may or may not contain fluorescing agent (i.e., to
> identify droplet-to-droplet variations in agent concentration). A
> functional prototype instrument should the following two existing
> optical technologies into a suitable optical arrangement. The first
> requirement addresses the need to image and quantify fluorescence
> intensity within droplets, as is accomplished with optical
> patternators. Optical patternation generally determines total mass
> concentration throughout a cross section of an aerosol while the need
> here is the measurement of the fluorescing component mass within
> individual droplets (which is within the imaging capability of optical
> patternation systems). Secondly, is the need to statistically
> correlate paired-images of fluorescing droplets within an aerosol
> (containing a multitude of droplets), analogous to correlation
> strategies used for particle imaging velocimetry.
>
> Phase I should demonstrate the concept for integrating the
> above-mentioned components, and address other potential issues, which
> is necessary for successful development of a functioning prototype
> instrument. The objective of Phase II is the delivery of a functioning
> prototype device. It is expected that this new measurement capability
> will find immediate commercial applications for a wide range of
> healthcare technologies, based on aerosol delivery of pharmaceuticals.
> It is expected that re-search will be collaborative with NIST during
> both phases of the research, including coauthoring manuscripts to be
> submitted for archival publication.
>
> \[1\] Presser, C., \"Detection of Dose Concentration in Droplets
> Generated by Pulmo-nary Drug Delivery Devices,\" 21st Annual Conf. on
> Liquid Atomization and Spray Systems (ILASS Americas 2008), on CD,
> Orlando, FL, 2008.
>
> This publication may be found at:
> [**http://www.cstl.nist.gov/div836/836.07/ilass08_inhaler_v1.pdf**](http://www.cstl.nist.gov/div836/836.07/ilass08_inhaler_v1.pdf)

**9.05.02-9.R Trustworthy Networked Medical Devices**

> Implantable and wearable medical devices began as relatively simple
> analog/digital devices with long products life spans, grew in
> complexity to become discrete hybrid devices with shorter product life
> spans (longer operational life span), and are now evolving into
> networked hybrid devices that interact with other implantable devices,
> wearable devices, and medical support equipment to monitor the health
> of patients and to administer medication. Medical devices are also
> advancing from proprietary hardware/software designs to distributed,
> pervasive, and autonomous applications based on standard interfaces
> such as ISO/IEEE 11073. In order for these networked hybrid devices to
> help make the promise of telemedicine, remote patient monitoring, and
> other medical advances a reality, new technologies must be developed
> to improve their trustworthiness. There are approximately 12,000
> medical device manufacturers with the majority of the manufacturers
> having fewer than 50 employees. More products are being introduced to
> the market and the ability to design, test, and evaluate the
> trustworthiness of these products is becoming increasingly important
> as people's lives depend on their proper operation. As product
> complexity and capabilities increase, patients, manufacturers, heath
> care professionals, insurance companies, and government agencies need
> technologies that will help improve the trustworthiness of networked
> medical devices throughout the product life-cycle. The human
> intervention required to input information from one device into
> another is the cause of numerous fatalities. Networked medical devices
> can help reduce the number of fatalities, but new technologies are
> needed to evaluate the trustworthiness of these networked devices to
> prevent another set of critical problems. Technologies are sought that
> will help assure that the information technology of networked
> pervasive medical devices operates correctly, reliably, securely,
> safely, and preserves the privacy of the patients.

[]{#book9_06 .anchor}**9.06 [Homeland Security](#book9_02)**

> **\
> 9.06.01-1.TT Technology Transfer of Scanning Magnetic Field Imaging**
>
> This project is to investigate and quantify applications of highly
> resolution magnetic technology developed at NIST in Boulder, CO. This
> technology employs 256 channel magnetic sensors that have 16 micron
> lateral resolution The applications include forensic analysis of
> cassette and VHS magnetic tapes. The research done at NIST up to this
> point includes making a full proto-type imaging system. This involved
> fabricating multi-channel read heads, designing and making electronics
> to interface to the heads, and developing software to control the
> hardware. The ultimate goal is to provide forensic analysts with
> state-of-the-art, nano-engineered magnetic imaging methods for
> screening data and recovering data from media that is damaged or was
> tampered with. This will greatly increase the accuracy of criminal
> investigations through identification of specific types of machines
> use, whether or not the tapes are original, and will allow
> investigators to recover data from catastrophic events. This is linked
> to the NIST strategic focus areas in Homeland Security, Information
> Technology, and Nano-technology. The potential new applications of
> this technology include mapping magnetic fields from electronic
> components and induced fields in metallic materials (rivets and/or
> bridge structure elements) with high resolution for non-destructive
> evaluation.
>
> The awardee will work closely with NIST staff members who developed
> the magnetic imaging system. The goal in Phase 1 will to investigate
> the resolution of the magnetic imaging system and the practicality of
> making a commercial system using this technique to. The Phase 2 goal
> will be to develop research and develop commercial applications of
> this technology.
>
> Phase 1 -- The awardee will demonstrate the efficacy of the NIST
> system to conduct these studies. The awardees will have access to the
> existing magnetic sensors at NIST, an electronics control box, and the
> software developed to control it. The awardee will need to set up a
> system, demonstrate the capability already at NIST, and extend it to
> measure the magnetic fields from interesting samples. In order to
> achieve this, the awardee will need to:
>
> 1\. Measure test artifacts that fit into the existing ½" slot that is
> close to the magnetic sensor array. These should include, but not be
> limited to:
>
> a\. Magnetic tapes played in cassette decks as well as reel-reel.
>
> b\. Imaging magnetic fields from test artifacts such as currents in
> integrated circuits.
>
> Phase 2 -- In this phase the awardee will need to move toward
> commercialization of this technology. Milestones will be:
>
> 1\. Design and fabricating their own multi-element heads. The awardee
> will have access to the NIST drawings and design criteria. The new
> heads should be:
>
> 1\. fabricated on AlTiC substrates
>
> 2\. Have standard bridge set up (per NIST drawings) to reject thermal
> asperities
>
> 3\. Have stabilization and sensitivity tuning as described in
> Reference \[1\],
>
> 2\. Develop flip-chip bonding of the senso dies so that the sensors
> will have access to larger systems.

3\. Develop software to invert magnetic fields from arbitrary 2-d
current sources.

> 4\. Implement full suite of non-destructive evaluation tools.
>
> References:
>
> 1\. Permanent magnet free tailoring of the sensitivity of the free
> layer in magnetic sensors, S. Halloran, F.C.S. da Silva, D. P. Pappas,
> Submitted J. Appl. Phys. June (2007).
>
> 2\. Second-harmonic magnetoresistive imaging to authenticate and
> recover data from magnetic storage media, D.P. Pappas, A.V. Nazarov,
> D. Stevenson, S. Voran, M.E. Read, E.M. Gormley, J. Cash, K. Marr,
> J.J. Ryan, Journal of Electronic Imaging 14(1), 013015 (Jan-Mar 2005).
>
> 3\. Low-frequency noise measurements on commercial magnetoresistive
> magnetic field sensors, N. A. Stutzke, S. E. Russek, D. P. Pappas,M.
> Tondra, Journal of Appl. Physics, 97, 10Q107 (2005).
>
> 4\. Arrays of magnetoresistive sensors for nondestructive testing,
> Nazarov AV, da Silva FCS, Pappas DP, Journal Of Vacuum Science &
> Technology A 22 (4): 1375-1378 JUL-AUG (2004).
>
> **9.06.02-1.R Biometric Signature Extraction Software Tool for
> Through-barrier Sensing**
>
> Radio frequency (rf) techniques have been developed and, in the last
> couple of years, come on the market to provide pseudo-real-time
> information on human presence behind optically opaque barriers (such
> as walls). Some of these techniques claim to exploit "micro-Doppler"
> methods in which characteristic physiological signatures (respiration,
> voice, postural sway, heart rate) can be detected. The Office of Law
> Enforcement Standards (OLES) at NIST has a program to develop minimum
> performance standards and test and evaluation methods for these
> through-barrier systems. To evaluate the capability of these systems
> to extract biometric signatures requires we maintain a capability and
> a reference for this extraction process.
>
> Requirements:
>
> An open-source software tool that will provide a:
>
> 1\. Categorization and separation of the spectra and waveforms of
> biometric signatures from micro-Doppler-based waveforms acquired with
> OLES' rf through-barrier system
>
> 2\. Graphical user interface (GUI) for selection and spectral and
> waveform analysis of the signatures provided in 1.
>
> NIST is willing to work collaboratively with the awardee to help with
> the evaluation of operating parameters of the modeling tool.
>
> The awardee will work closely with NIST staff who require this
> software tool to ensure the GUI provides the flexibility and ease of
> use required for entry-level operators.
>
> Deliverables:
>
> For Phase 1, the awardee shall provide:
>
> 1\. A detailed block diagram of how they plan to provide the
> functionality described in the Requirements.
>
> For Phase 2, the awardee shall provide:
>
> 2\. A functioning software tool as described in the Requirements.

**9.06.03-1.R Urban Electromagnetic Modeling**

> Radio frequency (rf) techniques have been developed and, in the last
> couple of years, come on the market as electronic countermeasures
> (ECM) against remote controlled improvised explosive devices
> (RC-IEDs). To ensure these ECM devices have the optimal effect on the
> disruption of the activation of RC-IEDS requires knowing where to
> place the ECM. In urban and suburban environments, the electromagnetic
> complexity of the terrain makes it difficult to know a priori where to
> place the ECM. However, if tools were provided in which the local
> topography could be easily inserted along with placement of arbitrary
> electromagnetic sources, optimal placement of ECM could be achieved.
>
> Requirements:
>
> An open-source software tool that will provide:
>
> 1\. Download capability of local geography/topography model into a
> 3-dimensional model for subsequent simulation, where the accuracy of
> the topography model is within 0.5 m in all directions.
>
> 2\. Capability to insert predefined 3-dimensional structures and
> objects not shown in topographical model at any location into model.
>
> 3\. A pull down list of all locally/geographically applicable building
> materials and their electromagnetic properties.
>
> 4\. Automatic function for ascribing nominal electromagnetic
> properties to buildings and other structures after selection of
> materials of construction (item 3).
>
> 5\. Insertion of up to 10 arbitrarily-placed antenna-based
> transmitters from:
>
> a\. a pull down menu selection of common antennas
>
> b\. input files that define an antenna
>
> 6\. Operation on a PC-compatible platform running the latest version
> of Windows.
>
> 7\. Incorporation with appropriate electromagnetic field solver.
>
> 8\. Coarse (50 % accuracy relative to a predefined model and
> reference) estimate of electric field and magnetic field intensity at
> up to 5 points in the model within 30 min.
>
> 9\. Accurate (20 % accuracy relative to a predefined model and
> reference) estimate of electric field and magnetic field intensity at
> up to 5 points in the model within 120 min.
>
> NIST is willing to work collaboratively with the awardee to help with
> the evaluation of operating parameters of the modeling tool.
>
> The awardee will work closely with NIST staff who require this
> software tool to ensure the GUI provides the flexibility and ease of
> use required for entry-level operators.
>
> Deliverables:
>
> For Phase 1, the awardee shall provide:
>
> 1\. A detailed block diagram of how they plan to provide the
> functionality described in the Requirements.
>
> 2\. A table showing the most common construction materials used in the
> US along with the electromagnetic properties
>
> 3\. How they plan to extract/provide the local topology models for the
> simulation.
>
> 4\. A list of the antenna models and associated beam patterns.
>
> 5\. A list of predefined structures.
>
> For Phase 2, the awardee shall provide:
>
> 1\. A complete and functioning topography simulation tool per the
> Requirements.
>
> **9.06.04-1.R Accurate Human Biomechanical Model for Radio Frequency
> Surveillance and Imaging**
>
> Radio frequency (rf) techniques have been developed and, in the last
> couple of years, come on the market to provide pseudo-real-time
> information on human presence behind optically opaque barriers (such
> as walls). Some of these techniques claim to exploit "micro-Doppler"
> methods in which characteristic physiological signatures (respiration,
> voice, postural sway, heart rate) can be detected. The Office of Law
> Enforcement Standards (OLES) at NIST has a program to develop minimum
> performance standards and test and evaluation methods for these
> through-barrier systems. To do this, we require real-life scenarios
> and subjects/objects. However, it is an insurmountable task to
> maintain and/or consider all possible scenarios and test
> subjects/objects. To represent test subjects, we will use human
> phantoms; the fidelity of these phantoms relative to human form will
> be based on electromagnetic modeling. Consequently, we require a
> physical model of the human form, the accuracy of which can be
> adjusted to provide the optimal construction for an articulating
> phantom.
>
> Requirements:
>
> An open-source physical modeling tool that will provide a:
>
> 1\. Model of a human that can be adjusted via a graphical user
> interface (GUI) and file input to provide the desired height, weight,
> limb proportions, androgynous anatomical features, and internal
> structures
>
> 2\. User control, via the GUI and file input, of the amount of volume
> resolution in the human model,
>
> 3\. Simultaneous and realistic (kinesiologically) arbitrary
> positioning of the human model
>
> 4\. Arbitrary placement and orientation of the human model within any
> volume
>
> 5\. Volumetrically-accurate and tissue-dependent electromagnetic
> properties for the human model
>
> 6\. Compatibility with the most recent version of Windows and running
> on a PC-compatible platform
>
> 7\. Rapid model repositioning and placement, after adjustment through
> the GUI or an input deck, in less than 10 s
>
> 8\. Common file format for the human model that allows ready
> integration into a higher-level software package to provide batch
> simulation runs to show the effects of motion.
>
> NIST is willing to work collaboratively with the awardee to help with
> the evaluation of operating parameters of the modeling tool.
>
> The awardee will work closely with NIST staff who require this model
> to ensure the GUI provides the flexibility and ease of use required
> for entry-level operators.
>
> Deliverables:
>
> For Phase 1, the awardee shall provide:
>
> 1\. A detailed block diagram of how they plan to provide the
> functionality described in the Requirements.
>
> 2\. A table showing the electromagnetic properties of the major human
> tissue groups, with appropriate references
>
> For Phase 2, the awardee shall provide:
>
> 1\. A complete human modeling tool as described in the Requirements.
>
> **9.06.05-9.TT Technology Transfer of the Multimodal Biometric
> Application Resource Kit (MBARK)**
>
> Despite existing efforts, building modern biometric applications (or
> clients) that are flexible with respect to changes in sensors,
> workflow, configuration, and responsiveness remains both difficult and
> costly. The Multimodal Biometric Application Resource Kit, or MBARK
> reduces the complexity and costs of implementing such an application.
> MBARK is public domain source code that may be leveraged to develop
> the next-generation of biometric and personal identity verification
> applications.
>
> Incorporating the MBARK libraries can yield a variety of enhancements
> critical for the success of any real-world system. For example, MBARK
> provides a usability-tested and consistent user interface. MBARK
> provides operators means to quickly recover from both minor mistakes
> and major hardware failures. In addition, the use of Extensible Markup
> Language (XML) facilitates true sensor interoperability via plug-ins
> and allows for changes in workflow on-the-fly.
>
> NIST seeks innovative proposals that would facilitate the technology
> transfer of MBARK. Potential activities include:
>
> • Integration of commercial or research sensors
>
> • Removal of third-party components and dependencies
>
> • Migration to additional computing platforms (such as Mono,
> [**http://www.mono-project.com**](http://www.mono-project.com/))
>
> • A comprehensive suite of unit, integration, interaction, and/or user
> acceptance tests
>
> Applicants are encouraged to propose technology transfer activities
> not listed above---all reasonable activities will be considered. NIST
> is prepared to collaborate closely with the applicants should the
> proposed activity warrant so.
>
> MBARK was developed at the National Institute of Standards and
> Technology (NIST) by employees of the Federal Government in the course
> of their official duties. Pursuant to Title 17 Section 105 of the
> United States Code, this software is not subject to copyright
> protection and is in the public domain. Proposals should clearly
> describe the disposition of any generated intellectual property.
> Applicants are encouraged to include a component that returns both
> major and minor changes to the core MBARK source-code back to the
> public domain. Applicants are encouraged to use an open source license
> for their value-added components, although this is not a hard
> requirement of the proposal.
>
> Delivery is expected in two phases. Source code, documentation, and
> accompanying tools are the expected deliverables for both phases.
> Phase 1 should demonstrate the technical feasibility of the proposed
> research. Phase 2 is the full development and implementation phase.
> Should the proposal be accepted, the applicant should expect to
> collaborate with NIST to further refine the phases to better reflect
> the particular activity proposed.

**9.06.06-9.R Automated Interaction with Fingerprint Sensors**

> The Federal government has a long history of evaluating sensing
> technologies of fingerprint scanners. For example, Appendix F of the
> Federal Bureau of Investigation (FBI) IAFIS Image Quality
> Specification describes various imaging properties such as the
> required geometric accuracy, special frequency response,
> signal-to-noise ratios, gray-level uniformity. These requirements
> ensure that the imaging characteristics are sufficient for law
> enforcement purposes.
>
> NIST seeks innovative proposals for an apparatus or technology that
> would physically interact with an active fingerprint sensor to
> automatically, but synthetically, generate repeatable and realistic
> fingerprint images.
>
> This technology would be used to perform sensor testing, calibration,
> and/or experimentation. A physical, controllable, repeatable,
> fingerprint generation technology would assist the biometrics
> community in precisely quantifying various effects on performance and
> image quality.
>
> Even under the tightest of controls, producing identical fingerprint
> images from two different impressions is unlikely. Therefore,
> applicants should include potential definitions and metrics of the
> technology's capability to generate a "repeatable" fingerprint. This
> "repeatability" would also have benefits for calibration applications.
> Deviations of the generated image from that known ideal would be
> attributable to the sensor characteristics and known variability of
> the proposed technology. The ideal technology would have a degree of
> repeatability high enough so that these deviations could be
> attributable solely to the sensing process.
>
> Target users of this technology include biometric system evaluators,
> integrators, and sensor developers. While the primary audience of this
> topic area is government, such technology has applications in the
> commercial sector as well.
>
> Sought Capabilities
>
> Specifically, at minimum, the proposed technology:
>
> • must be completely computer controlled, and require no ongoing
> interaction by a user (interaction during setup and breakdown is
> acceptable)
>
> • must be compatible with 500-dpi optical fingerprint scanners based
> on frustrated total internal reflection (FTIR) technology
>
> • must be capable of generating flat or slap-style images
>
> • must be able to operate at 'normal' room temperature, humidity, and
> lighting conditions
>
> • must not require any physical modifications to the scanner being
> tested beyond a normal mounting apparatus
>
> • has a mean time between failures (MTBF) on the order of hundreds of
> impressions or better before requiring servicing or manual
> intervention
>
> • must have programmatically controllable initiation and termination
> of the fingerprint image generation process
>
> It is highly desirable if the proposed technology
>
> • can operate on a wide variety of sensing technologies, including
> other (non-FTIR) optical-based sensing techniques, non-planar (3D)
> sensors, capacitive-based sensors, or ultrasonic-based sensors
>
> • is controllable in such a way to control the position, rotation, and
> pressure when generating fingerprints
>
> • can interact with a fingerprint scanner's 'auto capture' mechanism
>
> • has a mean time between failures (MTBF) on the order of thousands or
> better before requiring servicing or manual intervention
>
> It is desirable, but not necessary, if the proposed technology:
>
> • can generate individual rolled fingerprint images
>
> • would generate images with features typically only visible at
> 1000dpi
>
> The proposed technology should not be intended for 'spoofing'---i.e.,
> defeating liveness detection. The technology may be based on the
> assumption that any built-in liveness detection would be disabled on
> target sensors.
>
> Phase 1
>
> Awardee would deliver to NIST, for its retention, a prototype
> demonstrating the feasibility of the technical approach by of the
> proposed technology. This prototype would be capable of generating
> single finger slap images on a live FTIR-based fingerprint sensor that
> meets the Homeland Security 10-Print Capture User Group's 10-Print
> Capture Scanner & Software Requirements.
>
> **<http://www.itl.nist.gov/iad/894.03/pact/10pWS/10pWS-Capture_Scanner_Req_0.9_Final_9-30-05.pdf>**
>
> Phase 2
>
> At a minimum, the awardee would deliver to NIST, for its retention,
> the technology capable of generating a four finger slap image on a
> live FTIR-based fingerprint sensor.

[]{#book9_07 .anchor}**9.07 [Information Technology](#book9_03)**

**9.07.01-9.TT Policy Machine**

> To solve the interoperability and policy enforcement problems of
> today's access control paradigm, NIST (in part under sponsorship of
> the Department of Homeland Security) has developed a specification and
> reference implementation, of an access control system, referred to as
> the Policy Machine (PM). The PM is defined in terms of a standardized
> set of configurable data relations and a set of standardized functions
> that are generic to the specification and enforcement of arbitrary
> combinations of attribute-based access control policies. The PM is not
> an extension or adaptation of any existing access control model or
> mechanism, but instead is an attempt to fundamentally redefine access
> control in terms of its basic configuring data abstractions and
> functions. Its objective is to provide a unifying framework to support
> not only current OS and application policies, but also a host of
> orphan policies for which no mechanism yet exists for their viable
> enforcement. The PM requires changes only in its data configuration in
> the enforcement of arbitrary and organization-specific,
> attribute-based access control policies. See
> [**http://csrc.nist.gov/groups/SNS/pm/PMInventionDescription.pdf**](http://csrc.nist.gov/groups/SNS/pm/PMInventionDescription.pdf)
> for descriptions and specifications. Although the PM logical model is
> precise, there exist great latitude in selecting an architecture and
> environment for its secure implementation. For example, we can
> envision the PM implementation within a Web services environment or
> centralized decision making and local enforcement architecture, to
> name a few.
>
> We seek proposals for PM product specifications to include a product
> architectural design and functional specification as Phase 1
> deliverables. A prototype system would be deliverable for the Phase 2
> project. It is expected that NIST will collaborate extensively with
> awardee(s). As part of this collaboration NIST will make available
> access to the source code of its reference implementation.

**9.07.02-9.R Tools to Automate and Visualize Computer Security
Metrics**

> Security Metrics is an emerging field of study for information
> security professionals.
>
> Security metrics will allow you to answer important questions such as
> "are we more secure than yesterday" or "how does the security of one
> network configuration compare with another one". Good metrics can be
> measured consistently, are inexpensive to collect, are expressed
> numerically, have units of measure, and have specific context \[1\].
> Security metrics have been suggested based on criteria compliance,
> intrusion detection, security policy and security incidents.
>
> Your proposal should include what sort of things that we need to
> measure for security and how to gather the data to compute the
> metrics. Because much of the data that we seek for metrics may be
> stored in a vast array of databases and system logs the design must
> include how to gather and present data on a large scale. A good
> automation of data collection and analysis will have the benefits of
> accuracy, repeatability and more frequent measurement of security
> features of a system. In order to effectively design and implement
> security metrics tools, you need to create a logical model of the
> threats, vulnerabilities, assets and countermeasures (such as IDS,
> firewalls and so on).
>
> Your proposal should include new data visualization techniques such as
> scatter plots and temporal modeling. The proposed techniques should
> also provide support for multiple views, data aggregations and drill
> down. The scope of this research project is to first develop a data
> model for storing and analyzing the data for security metrics. Phase 2
> deliverable will include a reference implementation and a software
> system with code and documentation. The software will include a
> Graphical User Interface for user interaction and data visualization.
>
> NIST is willing to work collaboratively with the awardee to help in
> the design and reference implementation. Phase 1 will demonstrate the
> feasibility and software design of a Security Metrics Tool with a
> definition of interfaces for inputs and outputs. In Phase 2 a
> functioning and tested software system for this Application will be
> delivered to NIST for its retention and ownership.
>
> References:
>
> 1\. Andrew Jaquith, Security Metrics: Replacing Fear, Uncertainty, and
> Doubt, Addison Wesley, 2007.
>
> 2\. A. Singhal and S. Jajodia "Data Warehousing and Data Mining
> Techniques for Intrusion Detection Systems", Journal of Distributed
> and Parallel Databases, Volume 20, Number 2, pp. 149-166, September
> 2006.

**9.07.03-9.R Device Identification Management for Pervasive Computing**

> Pervasive computing is a rapidly developing information technology
> that pervades the users' environment by making use of multiple
> independent information devices (fixed and mobile, homogeneous or
> heterogeneous) interconnected seamlessly through wireless or wired
> computer communication networks \[1\]. Pervasive computing has
> demonstrated its enormous benefits to the society and is becoming a
> major impact to our everyday life; it also brings significant security
> concerns. Due to the diversity of pervasive computing systems, the
> security vulnerabilities range from hardware-, firmware-, software-,
> database-, to system-level. Most current security studies for
> pervasive computing only focus on higher levels. (i.e., software-,
> database-, system-level) However, the basic and essential low level
> components are most vulnerable to attacks and once compromised, may
> render the protection mechanisms at other higher levels useless.
>
> Electronic fingerprinting has been demonstrated that a non-human
> device can be uniquely identified by its physical fingerprint based on
> characteristics such as clock skews, transient timing responses, and
> frequency responses \[2, 3, 4\]. We are looking for innovative
> proposals that extend the fingerprinting of non-human devices to the
> capability of modifying their identities in a controlled way for the
> maintenance of the relationship between a non-human object and its
> administrating entity. Such capability allows managements including 1)
> transferring of copyrighted digital media to prevent forgery
> (copyright violation) in Digital Right Management (DRM); 2) hiding the
> relationship between a non-human object and the person who is using it
> from a privacy point of view; and 3) re-propagating devices in
> response to a new system configuration.
>
> Scope of this research project in Phase 1 is to demonstrate the
> feasibility, effectiveness, and efficiency of the proposed method, and
> to project a plan for prototyping on commercial devices, and Phase 2
> is to develop a prototype system consisting of the target device, the
> identification generation/management process, and the test/evaluation
> methods. The result should enable one device for multiple applications
> (e.g., an AutoID is used for office entrance, driver license, bank
> account access, insurance claim, etc.) by providing different
> verifiable identities for the applications.
>
> NIST is willing to work collaboratively with the awardee to provide
> guidance on the identification requirements and testing. Deliverable
> for Phase 1 will be proposed research methods and plans, and Phase 2
> will be a prototype system (with test results) that manages device
> identification as specified in the Phase 1.
>
> \[1\] R. Banerjee, "Pervasive Computing Device Technologies," Birla
> Institute of Technology & Science, Pilani, India.
>
> \[2\] T. Kohno, A. Broido, and K. C. Claffy, "Remote physical device
> fingerprinting," IEEE Transactions on Dependable and Secure Computing,
> vol. 2, no. 2, pp. 93-108, Apr.-Jun., 2005.
>
> \[3\] M. J. Riezenman, "Cellular security: better, but foes still
> lurk," IEEE Spectrum, pp. 39-42, Jun. 2000.
>
> \[4\] M. C. Mallette, "Sherlock in the XP age," CQ VHF, pp. 61-64,
> Winter 2006.
>
> **\
> **

[]{#book9_08 .anchor}**9.08 [Manufacturing System
Integration](#book9_04)**

**9.08.01-2.R Time Synchronization of Wireless Sensor Networks**

> In recent years, the manufacturing industry has shifted from
> centralized control to more distributed architectures. Manufacturing
> process measurement and control applications are increasingly using
> distributed system technologies such as network communication and
> distributed objects. Manufacturing sensor networks, consisting of a
> number of sensor and actuator nodes, are connected to monitor specific
> physical parameters of a machine or to control machine motions. Hence,
> sensor networks play a very important role in distributed
> manufacturing process measurement, monitoring, diagnosis, and possible
> control operation. The IEEE 1451.0 smart transducer interface standard
> \[Ref. 1\] provides a common interface and enabling technology for
> connecting transducers (sensors or actuators) to IEEE 1451.5 wireless
> sensor networks \[Ref. 2\]. The IEEE 1588 standard \[Ref. 3\]
> specifies a protocol to synchronize independent clocks running on
> sensor network nodes of a distributed measurement and control system
> to a high degree of accuracy and precision. Thus, the integration of
> IEEE 1451 and IEEE 1588 provide a means to ensure the quality and
> synchronicity of real-time sensor data in a manufacturing sensor
> network.
>
> Innovative ideas are sought that create new ways to develop
> synchronization (based on the IEEE 1588-2008 standard) between Network
> Capable Application Processor (NCAP) specified in the IEEE 1451.0
> standard and IEEE 1451.5--Bluetooth, IEEE 1451.5-ZigBee, or IEEE
> 1451.5-6LowPAN Wireless Transducer Interface Module (WTIM) specified
> in the IEEE 1451.5 standard. Clock synchronization should occur at or
> close to the network physical layers. Time-stamping of sensor data
> should take place at the time of sensor data capture at the WTIM.
> Proposals submitted under this subtopic may address access to NIST
> staff. NIST staff is willing to work collaboratively with the
> awardee(s) to help with the evaluation of the operating parameters,
> but will not be involved in the design of the system. A successful
> Phase 1 awardee shall deliver to NIST a prototype IEEE 1451 wireless
> sensor network consisting of at least one NCAP, two or more WTIMs, and
> appropriate sensors and actuators described above integrated with the
> IEEE 1588 time synchronization protocol and accurate time stamping
> that demonstrates the feasibility of the technology. A successful
> Phase II awardee shall deliver to NIST a fully developed low-cost
> prototype IEEE 1451 wireless sensor network integrated with IEEE 1588
> time synchronization capability with two or more NCAPs and six or more
> WTIMs equipped with appropriate sensors and actuators for
> demonstrating synchronicity of real-time sensor data suitable for
> manufacturing system operations.
>
> Establishing the precise time that a particular observation or
> measurement is made in sensor networks is of crucial importance. For
> instance, when raw sensor data is fused from multiple sources, it is
> imperative that the data was generated at the exact same moment when
> the event occurred. Thus it is important to synchronize the time of
> sensor nodes for sensor data fusion. It is possible to integrate the
> IEEE 1451 and the IEEE 1588 standards for distributed and synchronized
> measurement and control applications. For example, an IEEE 1451
> Network Capable Application Processor (NCAP) using a master clock with
> one or more Precision Time Protocol (PTP) ports can synchronize with
> an IEEE 1451.5 WTIM that has a slave clock. In this manner, the NCAP
> can synchronize with a number of WTIMs to implement synchronized and
> distributed measurement and control in networked manufacturing
> systems.
>
> References:
>
> 1\. IEEE 1451.0-2007, Standard for a Smart Transducer Interface for
> Sensors and Actuators--Common Functions, Communication Protocols, and
> Transducer Electronic Data Sheet (TEDS) Formats. Copy can be obtained
> from Ref. 4.
>
> 2\. IEEE 1451.5-2007, Standard for a Smart Transducer Interface for
> Sensors and Actuators--Wireless Communication and Transducer
> Electronic Data Sheet (TEDS) Formats. Copy can be obtained from Ref.
> 4.
>
> 3\. IEEE 1588-2008, Standard for a Precision Clock Synchronization
> Protocol for Networked Measurement and Control Systems. Copy can be
> obtained from Ref. 4.
>
> 4\. IEEE website for acquiring the IEEE standards:
>
> [**https://sbwsweb.ieee.org/ecustomercme_enu/start.swe?SWECmd=GotoView&src=0&SWEView=Parametric+Search+Results+View&mem_type=Customer&SWEHo=sbwsweb.ieee.org&SWETS=1190390750**](https://sbwsweb.ieee.org/ecustomercme_enu/start.swe?SWECmd=GotoView&src=0&SWEView=Parametric+Search+Results+View&mem_type=Customer&SWEHo=sbwsweb.ieee.org&SWETS=1190390750)

**9.08.02-2.R Virtual Measurement Metrology for Economic Optimization**

> Manufacturing of mechanical components is an extremely energy
> intensive activity. The energy consumption in mining, refining,
> transporting, and machining the raw materials used in discrete
> component manufacturing often represent a double digit percentage of
> the product cost. Competitiveness is enhanced and energy consumption
> is reduced by decreasing scraped and reworked components, shorting the
> production time, and optimizing the use of manufacturing tools. US
> competitiveness in manufacturing depends on using materials and
> processes in a highly efficient manner. This project seeks to exploit
> recent advances computational metrology, measurement uncertainty, and
> computer computational power to reduce waste and increase productivity
> in US discrete component mechanical manufacturing.
>
> NIST has conducted research to improve mechanical component
> dimensional metrology through the use of computer simulation, known as
> simulation by constraint \[1\]. In particular, methodologies have been
> developed to simulate the complex errors associated with coordinate
> measuring machine (CMM) metrology and those associated with the
> manufactured component. (The output of this method is a probability
> distribution function that describes the particular measurement under
> consideration.) This technology shortens metrology time, improves
> product quality, increases throughput and hence reduces energy
> consumption. Additionally, NIST has developed and promoted
> methodologies to compute the probability and economic consequences of
> inspecting components with known metrological uncertainty
> distributions \[2\].
>
> What is needed is a system that implements these techniques and is
> proactive. Proactively includes the ability to determine the
> economically optimal combination of metrology instrumentation and
> measurement strategies available to the user. This involves computing
> the economically optimal measurement uncertainty distribution when
> considering the cost of measurement, the cost of accepting a defective
> component (warranty and liability costs), and the cost of erroneously
> scrapping or reworking the component. (Users of this technique should
> be able to input their own specific economic cost functions.) Once the
> economically optimal uncertainty is computed the optimal combination
> of CMM, probing system, measurement strategy, and environmental
> conditions must be determined that meets this constraint. This is
> likely to be recursive since the cost of measurement depends on these
> parameters.
>
> A successful Phase 1 awardee shall deliver to NIST a feasible plan to
> integrate, compute, and optimize the metrology process, and initial
> prototype software sufficient to demonstrate the concept (does not
> need to be full-featured). A successful Phase 2 awardee shall deliver
> to NIST a fully developed low-cost prototype software implementation.
> Considerations for a commercially competitive product should include
> the following items seamless integrated into the manufacturing system:
>
> • Ability to import most common solid modeling representations used to
> define component geometry.
>
> • Ability to intrinsically relate tolerances to features (not just
> notation attached to geometry).
>
> • Computation of detailed kinematically based parametric errors in CMM
> structures based on publicly available information, e.g. CMM
> specification sheets.
>
> • Modeling probing systems in a directionally dependent manner.
>
> • Modeling component errors such as deviations from perfect geometry
> (i.e. form errors).
>
> • Modeling errors arising from non-ideal thermal environments in both
> the CMM and the component, including dynamic thermal errors in the
> component.
>
> • Ability to permit a wide variety of sampling strategies (number and
> location of measurement points) for the CMM measurement
>
> • Computation of measurement time for the task under simulation
> (needed for cost estimations)
>
> • Computation of the task specific measurement uncertainty probability
> distribution based on the above parameters
>
> • Ability to input manufactured component production distributions for
> each feature (i.e. the distribution of features due to non-ideal
> production manufacturing)
>
> • Ability to input cost parameters including a minimum of:

-   Cost per minute of measurement time

-   Cost function of accepting a defective component

-   Cost function of rejecting a functional component

> • Computation of the optimal measurement uncertainty distribution base
> on cost parameters and a user defined suite of available CMMs, probing
> systems, environmental conditions, and reasonable sampling strategies.
>
> NIST may, at its discretion, collaborate with the awardee to suggest
> possible approaches to this problem, but will not be on any critical
> path for a successful project. It is the responsibility of the awardee
> to develop innovative techniques to assess, analyze, and compute the
> necessary results. Additionally, the process should show feasibility
> to be implemented on a high end personal computer with computation
> times acceptable to engineering users.
>
> \[1\] S.D. Phillips et. al., The Calculation of CMM Measurement
> Uncertainty via The Method of Simulation by Constraints, Published in
> the 1997 Proceedings of the ASPE pages 443-446; also see
> [**http://www.ptb.de/en/publikationen/news/html/news032/artikel/03206.htm**](http://www.ptb.de/en/publikationen/news/html/news032/artikel/03206.htm)
>
> \[2\] ASME B89.7.4.1 - 2005 Measurement Uncertainty and Conformance
> Testing: Risk Analysis.

[]{#book9_09 .anchor}**9.09 [Micro- and Nano-fabrication
Micromachining](#book9_06)**

> **9.09.01-1.TT Multijunction Thermal Converters for Precision
> Radio-Frequency Metrology**
>
> Multijunction Thermal Converters (MJTCs) are used as primary standards
> for ac-dc difference metrology, which in turn forms the basis for ac
> metrology worldwide. MJTCs fabricated using thin-film technology
> \[1,2\] are regularly used at frequencies from 10 Hz to 1 MHz, but
> have not been widely used at higher frequencies owing to errors caused
> by the dielectric loss in the silicon substrate. Recent work indicates
> that quartz substrates may be successfully used to reduce the ac-dc
> differences of MJTCs at frequencies up to 100 MHz; however quartz is
> both difficult and expensive to micromachine. Research at NIST has
> shown that optimizing the design of the MJTCs, including improvements
> in the materials for the substrate (using ceramics or sapphire for
> example), and in the design of the chip may significantly reduce the
> ac-dc differences of these devices to near zero at frequencies up to 1
> GHz. Production of an inexpensive device with very small ac-dc
> differences could revolutionize measurements in the 100 MHz to 1 GHz
> frequency range by providing a new reference for use in
> instrumentation such as voltage sources, radio-frequency voltmeter,
> and power meters. NIST would immediately use such devices to improve
> its RF-dc calibration services in this frequency range, where the
> uncertainties are presently on the order of several percent, and these
> devices would be extremely attractive to manufacturers of instruments
> such as microwave power meters and power analyzers as significant
> improvements for their present sensors.
>
> NIST will work collaboratively with the awardee to design and
> fabricate a new generation of MJTCs with small ac-dc differences at
> frequencies of 1 GHz. Phase 1 will result in a detailed design
> including an appropriate material for the substrate, and an optimize
> design including microwave feed onto the chip, design of the heater
> and thermocouples, and packaging that enhances the high-frequency
> performance. Phase 2 includes the manufacturing and testing of these
> devices, and subsequent improvement in the design and materials. It is
> possible that some of the fabrication work will take place in the NIST
> Nanofabrication Facility.
>
> References:
>
> \[1\] J. R. Kinard, D. X. Huang, and D. B. Novotny, "Performance of
> Multilayer Thin-Film Multijunction Thermal Converters," IEEE Trans.
> Instrum. Meas. Vol. 44, no. 2, April 1995.
>
> \[2\] U. S. Patent 5,393,351, "Multilayer film multijunction thermal
> converters," Joseph R. Kinard, et. al., issued February 28, 1995.
>
> **9.09.02-2.T Integration of High Precision 6DOF Micropositioners with
> Microscopes for Micrometrology Applications**
>
> NIST researchers have invented \[1\] a high precision 6-Degree of
> Freedom Tri-Stage Micro Positioner (6DOF-TSMP) that can generate high
> accuracy, small displacement, and high-resolution motions. The moving
> platform of the device has six degrees of freedom motions (translation
> and rotation about three orthogonal axes, X-Y-Z). The 6DOF-TSMP is
> unique because it derives its input motion from a monolithic tri-stage
> base plate and has struts that may have specially designed flexures.
> The 6DOF-TSMP capitalizes on the availability of inexpensive high
> quality planar micro-positioning stages for the control of its moving
> platform. Because the struts, which connect the planar micro
> positioning stages with the moving platform are oriented in a parallel
> mechanism fashion the in plane motion of the stages is converted into
> a translation and rotation about three orthogonal axes. Two
> experimental prototypes of the 6DOF-TSMP have been built \[2\] and
> various mathematical models have been developed. A micro-position and
> orientation measurement sensor nest has been developed, which will be
> used to test various calibration and performance testing methods for
> this type of micro-positioners.
>
> This solicitation is seeking proposals for innovative designs, control
> and integration approaches of 6DOF-TSMP devices with high precision
> microscopes for micrometrology applications. High precision micro
> devices are a critical component of micro/nano manufacturing, but
> unfortunately their 3D space characteristics and 6DOF motions are
> difficult to measure with great accuracy with the existing metrology
> tools. The objective of this solicitation is to try to address some of
> these problems. NIST researchers have several CAD drawings of
> 6DOF-TSMP devices' parts and assemblies, which will become available
> to the awardee. There is also a functioning prototype of a 6DOF-TSMP2
> which will become available for testing at a NIST laboratory. This
> prototype is controlled by a very simple controller and associated
> software, which will be available for testing at a NIST laboratory.
> This NIST prototype is equipped with a high precision 6DOF sensor,
> which can measure the displacement and rotation of the moving platform
> of 6DOF-TSMP and can be used for motion calibration. NIST researchers
> will assist the awardee in becoming familiar with this technology.
>
> Phase 1 Deliverables:
>
> 1a. A detailed user requirements and system design document.
>
> 1b. A proof-of-concept implementation (e.g., in simulation or scale
> model).
>
> Phase 2 Deliverable:
>
> A functioning prototype implementation of the 6DOF-TSMP integrated
> with a microscope, to be demonstrated to NIST upon completion.
>
> \[1\]
> [**http://www.isd.mel.nist.gov/meso_micro/US%206484,602.pdf**](http://www.isd.mel.nist.gov/meso_micro/US 6484,602.pdf)
>
> \[2\]
> [**http://www.isd.mel.nist.gov/meso_micro/kinematic_modeling.pdf**](http://www.isd.mel.nist.gov/meso_micro/kinematic_modeling.pdf)

[]{#book9_10 .anchor}**9.10 [Microelectronics
Manufacturing](#book9_05)**

> **9.10.01-1.TT Autolimiting Transmission Lines using High Temperature
> Superconductors**
>
> Autolimiting transmission lines for microwave frequency applications
> have been developed over the past several years at NIST utilizing high
> temperature superconductor thin film technology \[1,2\] Such devices
> exploit the intrinsic current-limiting properties of superconductors
> to prevent high power transient signals from being delivered to
> high-performance downstream electronics. These signal limiters operate
> by exploiting the transition from the low-loss superconducting state
> to the high-loss normal state as the current densities within the
> device exceed a critical value. Devices may be designed to have
> different power limits by varying the transmission line dimensions,
> and also tuned once the device is fabricated by varying the
> temperature of operation. Wideband devices have been demonstrated over
> the frequency range from DC to 40 GHz, and the compact nature of the
> devices may allow for a moderate number of devices to be packaged on
> an economical, compact single stage cryocooler for operation in the 50
> -- 80 K temperature range.
>
> Superconducting microwave power limiters are typically fabricated from
> thin-film superconductors such as YBa2Cu3O7-x on
> high-thermal-conductivity substrates such as sapphire. Thin-film
> superconductors are fabricated into microwave transmission lines,
> which can transmit signals up to 40 GHz with very low loss and low
> dispersion at temperatures in the vicinity of 77 K. By making a
> section of the transmission line of reduced dimensions, the microwave
> current density can be made to exceed the critical current density of
> the superconductor for powers in the 100 mW -- several W range. For
> powers below this critical value, the superconducting transmission
> line is virtually transparent due to its low loss and low dispersion.
> However, if the incident power exceeds the critical value, then the
> superconductor immediately switches into the normal state, which has
> orders of magnitude higher attenuation. The incident signal is
> attenuated along the transmission line until the current densities are
> below the critical values. The superconducting line therefore
> automatically provides just the amount of attenuation that is needed
> to bring the transmitted power below the critical value. Turn-on times
> for the device to switch into the normal state have been shown to be
> less than 1 nanosecond, and since the device is usually implemented in
> a series configuration, there is no measurable leakage of the signal
> through the limiter, even on the shortest time scales investigated.
> Once in the signal blocking or limiting state, there is a significant
> portion of the incident energy that is dissipated in the cryogenic
> environment, which can lead to heating in the device such that its
> local temperature exceeds the critical temperature of the
> superconductor. If the local device temperature remains below the
> superconductor critical temperature, the device returns to the signal
> pass state within a few nanoseconds of the incident high-power signal
> being removed. However, if enough energy is dissipated in the device
> so that its local temperature exceeds the superconductor critical
> temperature, the device will take several seconds to return to the
> signal pass state.
>
> Another advantage of this type of signal limiter is the ability to
> implement several limiters with different power thresholds in series,
> so that higher power signals can be mitigated by a larger (physical)
> device, thereby making the overall component better able to handle
> higher power transients. One disadvantage of the broadband
> implementation of the signal limiter is that the entire frequency band
> is attenuated by the same amount, although the attenuation is only
> what is needed and is only active during the overpower event. Another
> important consideration is whether the device operates in a reflective
> or in an absorptive mode. This actually depends on the specific device
> design and on the frequency of operation. Although it is not in
> general desirable to dissipate the high power in a cryogenic
> environment, for some applications it is preferable to reflecting the
> high-power transient back to the antenna.
>
> Motivation for Solicited Research
>
> Microwave power limiters are key components for many communications
> and navigation systems. These devices limit the microwave energy
> incident on receiver components, and can protect sensitive elements
> from saturation and possible destruction due to large-signal
> transients. Conventional limiter designs often suffer from relatively
> high insertion loss and can also seriously degrade system linearity.
> For next-generation ultra high dynamic range receivers, microwave
> power limiters are an essential component for receiver protection, but
> lower insertion loss and greater linearity are required than can be
> provided by conventional technology.
>
> Microwave signal limiters are particularly valuable for high dynamic
> range receivers that typically operate in harsh electromagnetic
> environments, such as above military platforms, or in electronic
> warfare systems. Such limiters are also important for commercial
> communications systems in crowded EM environments.
>
> Expected Research Goals
>
> A successful program will build on the demonstrated limiter technology
> based on high temperature superconductors. This will require designing
> and fabricating limiter circuits from YBa2Cu3O7-x thin films,
> packaging the devices and mounting on a compact cryocooler for
> operation at temperatures in the range 50 -- 80 K. Further device
> could be accomplished by integrating the device with cryogenic
> circulators, for example; multi-stage limiter designs to increase
> power handling capabilities; and evaluation of the maximum energy that
> can be dissipated while maintaining the local device temperature below
> the critical temperature.
>
> NIST is willing to work collaboratively with the awardee to test new
> device designs and prototypes, as well as to provide consultations
> regarding potential new designs and implementations of superconducting
> limiter circuits.
>
> References:
>
> \[1\] J.C. Booth, D.A. Rudman, and R.H. Ono, A self-attenuating
> superconducting transmission line for use as a microwave power
> limiter\", IEEE Trans. Appl. Supercond. 13, 305 (2003).
>
> \[2\] J.C. Booth, K. Leong, and S.A. Schima, \"A superconducting
> microwave power limiter for high-performance receiver protection,\"
> 2004 IEEE MTT-S International Microwave Symposium Digest 1, 139
> (2004).
>
> **9.10.02-1.R Massively Parallel High Temperature Probe System for
> Wafer-level**
>
> **Reliability Testing**
>
> Integrated circuit technology is already in the nanometer regime and
> advancing rapidly. Many aspects of the technology are pressing against
> limits set by the laws of physics. To overcome these limitations, new
> materials and new structures are being introduced in rapid pace. For
> example, several major US semiconductor companies will deploy metal
> oxide gate dielectric to replace conventional silicon dioxide in the
> up-coming technology node. However, the long-term stability and
> reliability of advanced metal oxide gate dielectrics have yet to be
> described in the scientific literature. It is expected that as
> transistors continue to shrink in size, the control on device
> parameter will become more difficult. The combination of increasing
> variation and new material/structure creates a severe challenge to
> reliability assurance. The accuracy of lifetime projection from
> reliability tests will be very poor without a substantial increase in
> the sample size. Large sample size and long-term reliability test is
> fundamentally in conflict with each other. The problem is worse when a
> large number of tests are needed and each test requires multiple
> stress conditions. Testing thousands of devices for many months for
> each stress condition is simply too costly even for the biggest of
> manufacturers. As a result, long-term reliability is poorly understood
> and is a crisis in the making. A wafer-size probe card that can
> simultaneously contact several thousand devices and can interface with
> the control/measure electronics directly without wiring would
> revolutionize long-term reliability qualification. If the
> probe-card/electronic system can handle high testing temperatures, the
> same system can be used for a wide variety of tests and thus lower the
> cost drastically.
>
> The NIST Advanced MOS Characterization and Reliability Project is
> actively working with several major US semiconductor companies to
> develop reliability characterization methods and physical models to
> predict time-dependent dielectric breakdown in advanced gate
> dielectric materials. Currently, NIST can only test a few tens of
> devices simultaneously at the wafer-level to obtain electrical and
> reliability parameters. This process is tedious and inhibits the
> ability to gather a significant statistical sample size. Therefore,
> NIST requires a high temperature probe-card that will allow the
> testing of several thousand devices simultaneously and allow the easy
> replacement of individual probes in event they are damaged. In phase
> 1, NIST staff will assist the awardee to complete a feasibility study
> of fabricating the probe card including engineering of the
> interconnect system to allow electrical connections between each probe
> and instrumentation existing in NIST facilities.
>
> Phase 2 would include the construction and testing of a prototype
> having five thousand probes on 12 inch wafer. The phase II prototype
> will be tested and characterized on a NIST probe station at test
> temperatures up to 400^o^C with the cooperation of the NIST staff. The
> ability to align the probes with on wafer 50 um x 50 um probe pads at
> all temperature will be evaluated. The thermal stability and planarity
> of the card will be evaluated over long test times. Finally,
> reliability data will be collected using the card on a 12 inch wafer.

[]{#book9_11 .anchor}**9.11 [Nanofabrication]{.underline}**

> **9.11.01-5.TT Developing Centrifugation Based Length Separation of
> SWCNTs for Advanced Applications**
>
> Single-walled carbon nanotubes (SWCNTs) are a potentially useful
> material for biomedical or electronic applications, both through
> direct exploitation of intrinsic SWCNT properties such as their
> semi-conducting band gaps, and as a carrier particle for targeted
> delivery. However, as produced SWCNT soot typically contains broad
> distributions of lengths and diameters, and is often of low overall
> purity. Controlling the length distribution is especially critical to
> achieving the properties desired for advanced applications, as the
> length controls properties such as viscosity, percolation thresholds,
> optical response, and cellular uptake rate. To meet this urgent need
> for purified SWCNT populations with well-defined and narrow length
> distributions, NIST recently invented a technology that allows for the
> separation by length of dispersed SWCNTs in a centrifuge. NIST is
> soliciting proposals to develop this technology to a commercially
> viable stage.
>
> Several areas of the NIST technology can be approved to promote
> commercialization of the centrifuge based separation technology.
> Aspects to be considered are the use of alternate dispersant and
> density gradient liquids to allow for faster or more biologically
> relevant end materials, as well as to scale up to larger production
> volumes. One goal is the production of length separated nanotube
> fractions at under \$2 / mg, while separating nanotube populations
> into fractions with an approximately 200 nm increment in average
> length. Alternatively, the production of finely incremented
> populations with a standard deviation in the average length of less
> than 10 % of the average in biologically compatible solution is
> encouraged. NIST will provide information on advances beyond those
> documented in the literature as to the effects of parameter variation,
> including temperature, separation rate, and liquid density effects, to
> promote faster development of the technology.
>
> Phase 1 Deliverables:
>
> Demonstration of technology providing either:
>
> • an increase in separation efficiency, providing a reduction in the
> cost of separating SWCNTs to below \$2 per mg (total cost including
> soot),
>
> • or the production of finely separated (in length) nanotubes in
> biological serum.
>
> Samples of the raw SWCNTs used in the process (0.25 g), separated
> SWCNT solutions and reference solutions (at least 10 mL of each) will
> be provided to NIST.
>
> Phase 2 Deliverables:
>
> • The company will provide NIST with dispersions containing well
> dispersed length sorted single-walled carbon nanotubes at 200 μg / mL
> concentration, of fractions (0.5 L each) between (100 to 200) nm, (200
> to 300) nm, (300 to 400) nm, (400 to 600) nm, (600 to 800) nm, (800 to
> 1000) nm, and (1000 to 1500) nm.
>
> References:
>
> 1\) Fagan, J. A.; Becker, M. L.; Chun, J.: Hobbie, E. K. Adv. Mat.
> 2008, 20, 1609--1613.
>
> 2\) Fagan, J.A.; Becker, M.L.; Chun, J.; Nie, P.; Bauer, B.J.;
> Simpson, J.R.; Hight, A.R.; Hobbie, E.K. Submitted to Langmuir 2008.
>
> 3\) Haggenmueller, R. et. al. Langmuir 2008, 5070-5078.
>
> 4\) Arnold, M. S.; Green, A. A.; Hulvat, J. F.;, Stupp, S. I.; Hersam,
> M. C. Nature Nanotech. 2006, 1, 60-65.
>
> **\
> **

[]{#book9_12 .anchor}**9.12 [Optics and Optical Technology](#book9_07)**

**9.12.01-1.R Ultra-thin NbN Films for Superconducting Detectors**

> Recently, there has been a flurry of research and development of high
> speed single photon detectors using ultra-thin (4nm) superconducting
> films of NbN. However, one of the limitations in the performance of
> these devices is the poor detection efficiency. In particular, there
> has been limited success in embedding these films in the appropriate
> dielectric structures to enhance the absorption of single photons in
> to the NbN film. The main limitation has been the development of a
> process to deposit NbN films on to substrates other than sapphire or
> MgO which are lattice matched to the NbN. It is possible to obtain
> thin films (4nm) from a Russian vendor on sapphire. But it would be
> highly desirable to obtain superconducting 4nm thick NbN or NbTiN on a
> dielectric oxide or nitride (SiO~2~ or SiN) that could then be
> patterned by NIST in to a superconducting detector.
>
> In Phase I, one wafer of superconducting NbN or similar material of
> 4nm thickness and three or more wafers with 4nm thick NbN or similar
> material on top of a dielectric that has been deposited or grown on a
> 3 in silicon wafer. If necessary, NIST can provide the wafers for
> growing/depositing the NbN. For Phase 2, NIST is willing to work
> collaboratively with the awardee to help with the design and
> fabrication of the appropriate optical structure to increase the
> detection efficiency of these devices from the few percent level to
> the ninety percent efficiency level. Other Phase 2 development may
> include the development and fabrication of single photon detectors
> from these films.

**9.12.02-1.R High Efficiency Matched Pair Photodiodes at 1550nm**

> In order to accurately characterize ultra-faint light pulses, homodyne
> detection is often used for "quantum state tomography." At NIST, we
> need to assemble a low-loss homodyne detection system at
> telecommunication wavelengths (\~1550nm). Currently available
> high-speed photodiodes offer a quantum efficiency approaching 90% at
> our wavelength of interest (1550nm), which significantly degrades the
> accuracy of the system. In order to improve the sensitivity of our
> setup, the detectors must meet the following specifications:
>
> Target Detection efficiency 95%
>
> Dark current \<500 pA
>
> NEP \< 10 fW/rtHz
>
> Bandwidth (cutoff frequency) 100 MHz
>
> Area \~ 1 mm^2^
>
> The matching must achieved in both the rise- and decay- time of the
> two photodiodes, as almost perfect subtraction of the two individual
> signals is needed in a homodyne measurement. The maximum allowable
> subtraction mismatch may not exceed 0.1% of the individual photodiode
> responses. The photodiodes will be utilized in conjunction with a
> femtosecond laser system. Therefore, the efficiency has to be achieved
> with laser pulse energies of up to 1 nJ. Packaging of the photodiodes
> is preferably in a TO-5 package. The minimum active area must be no
> smaller than 0.3mm^2^.
>
> In Phase 1, five prototype matched pairs photodiodes that demonstrate
> the required technology will be delivered to NIST. For Phase 2, NIST
> is willing to work collaboratively with the awardee to help with
> evaluation of the specified parameters. In addition, Phase 2
> development will include extending the operating wavelength of the
> high quantum-efficiency photodiodes to other visible and infrared
> wavelengths. Other Phase 2 development may include increasing the
> speed of the photodiode or increasing the active area of the
> photodiodes, while maintaining the other specifications.
>
> **9.12.03-3.R Gigahertz Frequency Comb for Coherent Fourier Transform
> Spectroscopy**
>
> The objective of this SBIR solicitation is to produce the necessary
> broadband laser source, or frequency comb, to enable a new form of
> spectroscopy, multi-heterodyne spectroscopy with applications for gas
> analysis, both for concentration and species identification. Current
> commercial frequency comb systems, which have been optimized for
> frequency metrology, are not well suited for this application. In
> particular the repetition rate is too low, the systems remain
> expensive, and the wavelength range is limited.
>
> Broadband coherent laser sources produce an output that comprises a
> comb of frequencies and are good candidates for high-resolution,
> broadband laser spectroscopy because they simultaneously provide the
> means to achieve high sensitivity and broad spectral coverage. Recent
> research has demonstrated the potential for these laser systems to
> provide sensitive, broadband, high-resolution spectroscopic data on
> gas samples through multi-heterodyne spectroscopy, also known as
> coherent Fourier transform spectroscopy. In this approach, two sources
> are employed. One probes the sample while the other "reads out" the
> resulting signal using massively parallel heterodyne detection.
>
> The initial effort is expected to be the development of a prototype
> demonstrating source capability as a robust, low cost, phase-coherent,
> 1-GHz or higher repetition-rate system in the 1 to 2 μm wavelength
> region or, preferably, in the 2.5 to 4 μm wavelength region of the
> spectrum. Two control inputs will be needed to phase-lock the two
> sources together and the feedback bandwidth of the inputs must be
> sufficient for tight (less than 1 radian) phase-locking. A very broad
> spectral output of approximately an octave (at a minimum half an
> octave) is needed in order to realize sufficient spectroscopic
> characterization of complex, gas phase chemical systems. Finally, the
> laser source must be robust and affordable to support the development
> of multi-heterodyne spectroscopy as a practical gas analysis tool.
>
> The Phase I feasibility study should address the most challenging
> aspect of this source development, which include generating a broad
> spectral output from a robust, compact 1 GHz laser system. The system
> would be in the 1 to 2 μm region or the 2.5 to 4 μm region of the
> spectrum. The phase 1 deliverable is a report on a design and
> feasibility analysis of the 1 GHz phase-coherent source.
>
> The Phase 2 milestones would be the full development of a laser source
> with the specifications of \> 800 nm spectral output, \> 50 mW of
> output power with shot-noise limited RIN, and \> 50 kHz bandwidth
> feedback control of the laser repetition rate and offset frequency.
> Two 1 GHz sources would be delivered to NIST at the end of Phase 2 for
> use in proof of principle experiments demonstrating the utility of the
> device for high-resolution, coherent spectroscopy.

**9.12.04-4.TT Single-Photon Direct Detection of Lyman-alpha Radiation**

> Researchers at NIST have demonstrated a new type of neutron detector,
> called LAND, that responds to the Lyman-α radiation (wavelength 121.6
> nm, photon energy 10.2 eV) emitted after a neutron is absorbed by a
> 3He nucleus. \[1\] The development of an efficient detector of single
> photons from this reaction is essential to the development of
> field-deployable neutron detectors based on this research. Such photon
> detectors must be sufficiently small and lightweight to be
> incorporated into a hand-carried LAND device, and should require only
> modest voltage input, such as can be supplied by portable batteries.
>
> NIST seeks proposals to develop and deliver at the end of Phase 1 a
> prototype photon detector that can be used in a LAND device. The
> detector should respond directly to Lyman-α photons, without
> conversion to other wavelengths by scintillation, phosphorescence, or
> other techniques. The detector should respond to single-photon events
> with a signal that is easily discriminated against background. A
> detector with high detection efficiency is desired, the minimum
> acceptable detection efficiency being 2%. LAND devices will be
> deployed in areas with significant gamma-radiation fields, so the
> photon detector should be insensitive to gamma radiation.
>
> NIST calibration services will be made available to the awardee to
> assess the prototype detector's performance, including the absolute
> detection efficiency for 121.6 nm radiation. Such tests may be
> performed during the development process, subject to the availability
> of NIST staff and facilities, as well as upon delivery of the
> prototype detector. Efficiency tests will be performed with an
> incident photon flux of 1000 s^-1^ or greater.
>
> Commercialization plans are strongly encouraged that explicitly
> address energy-related applications for neutron detectors at nuclear
> power plants and/or in oil-well logging.
>
> \[1\] "Observation of the 3He(n,tp) Reaction by Detection of
> Far-Ultraviolet Radiation," A. K. Thompson, et al. , J. Res. Nat.
> Inst. Standards Tech. 113, 69 (2008). (Electronically at
> [**http://nvl.nist.gov/pub/nistpubs/jres/113/2/V113.N02.A01.pdf**](http://nvl.nist.gov/pub/nistpubs/jres/113/2/V113.N02.A01.pdf))

**9.12.05-4.TT High-Spectral-Purity, Millimeter-Wavelength Oscillator**

> Present and future surveillance, weapons detection, directional
> wireless power transfer, and communications systems require operation
> at ever shorter RF wavelengths---hence at increasing frequencies,
> approaching 1 THz. Improvements in spectral purity dramatically
> improve performance in these and other technologies. New wideband
> systems call for precisely timed, high-spectral-purity, equally spaced
> carrier signals in order to reduce spectral density. Basically, each
> of these sub-carriers transmits a portion of the total signal.
> Performance increases in proportion to the usable number of these
> closely spaced sub-carriers, commonly derived from a single,
> low-jitter reference. The limit to the number of sub-carriers is
> ultimately determined by the narrowness of each sub-carrier, which is
> mainly set by the spectral purity of the reference. Advanced systems
> must have a reference with highest possible spectral purity and
> vibration tolerance. To move beyond present performance levels will
> most likely require the use of active noise cancellation. \[1\]
>
> As an example, increased spectral purity of a reference oscillator in
> OFDM (orthogonal frequency division multiplexing) communications
> networks will increase the existing usable bandwidth while reducing
> critical network vulnerabilities. OFDM is a preferred data protocol
> that transmits a portion of data in each of many closely spaced
> sub-carriers that, when precisely timed and combined, can reconstruct
> the total data. In proportion to the number of sub-carriers, OFDM
> signals maximize information capacity and provide resistance to
> network jamming, fading, eavesdropping, and multipath effects.
>
> To this end, applicants are sought to develop mm-wavelength (no lower
> than 60 GHz) oscillator signals of the highest spectral purity, and
> conversely, the lowest phase and amplitude noise and vibration
> sensitivity. The preferred frequency band is 90 GHz -- 110 GHz.
> Applicants may, but are not required to, propose commercialization of
> a reference oscillator based on NIST U. S. Patent 7,075,378 B2. \[2\]
>
> Phase 1: The applicant will development of a detailed design of a
> mm-wavelength oscillator, including a prediction of spectral
> phase-noise levels as a function of offset frequency from 1 Hz to 100
> MHz, an estimate of the fabrication cost, and an estimate of size,
> weight, and power requirements.
>
> Phase 2 (if awarded): If a promising design with very high spectral
> purity is achieved during Phase I, continuation to Phase II may be
> warranted. This would require the development of a prototype
> oscillator, which would be delivered to NIST for testing and would
> become the property of NIST.
>
> We do not anticipate working collaboratively with the company to
> accomplish the project goals, but would be available for consultation
> on any aspects of the project, including testing and characterization
> of designs.
>
> \[1\] D.A. Howe and A. Hati, "Low-noise X-band Oscillator and
> Amplifier Technologies: Comparison and Status," Proc. 2005 Joint Mtg.
> IEEE Intl. Freq. Cont. Symp. and Precise Time and Time Interval (PTTI)
> Planning Meeting, pp. 481--487. (Electronically at
> [**http://tf.nist.gov/timefreq/general/pdf/2097.pdf**](http://tf.nist.gov/timefreq/general/pdf/2097.pdf))
>
> \[2\]
> [**http://tf.nist.gov/timefreq/general/pdf/2180.pdf**](http://tf.nist.gov/timefreq/general/pdf/2180.pdf)

**9.12.06-4.R Ytterbium Femtosecond Fiber Laser with High Repetition
Rate**

> For research on femtosecond-laser-based optical frequency metrology,
> we require a high-repetition-rate femtosecond laser based on
> ytterbium-doped optical fiber. Ytterbium-doped fiber lasers that have
> distinct advantages in efficiency and robustness, as well as the
> potential for amplification, will have a positive impact on several
> important NIST research areas. These areas include: optical atomic
> clocks \[1\], optical and microwave waveform synthesis \[2,3\], and
> precision spectroscopy \[4,5\].
>
> Requirements for the laser include:
>
> • Yb (ytterbium) doped fiber gain medium emitting in the wavelength
> range of approximately 1020 nm to 1100 nm
>
> • Direct pumping with laser diode(s)
>
> • Passively mode-locked operation at the fundamental cavity frequency
>
> • Pulse durations \<100 fs
>
> • Repetition rate of \>250 MHz (up to 1 GHz desirable)
>
> • Average laser output power (un-amplified) \>50 mW in single mode
> fiber
>
> • A means of controlling the cavity length and thereby the repetition
> rate (e.g., with a piezoelectric transducer)
>
> Phase 1: As a minimum demonstration of feasibility, the awardee will
> develop and deliver to NIST one prototype (bread-board system) laser
> meeting the above requirements. NIST will test and evaluate the
> prototype for amplitude, phase, and frequency noise, and use these
> data to inform the review process for Phase II proposals.
>
> Phase 2 (if awarded): The awardee would then proceed with refined
> development, engineering and optimization of the laser performance for
> NIST projects in optical frequency metrology, spectroscopy, and
> waveform generation.
>
> \[1\] S. A. Diddams, Th. Udem, J. C. Bergquist, E. A. Curtis, R. E.
> Drullinger, L. Hollberg, W. M. Itano, W. D. Lee, C. W. Oates, K. R.
> Vogel, and D. J. Wineland, "An optical clock based on a single trapped
> 199Hg+ ion," Science 293, 825 (2001).
>
> \[2\] J.J. McFerran, E.N. Ivanov, G. Wilpers, C.W. Oates, S.A.
> Diddams, and L. Hollberg, "Low noise synthesis of microwave signals
> from an optical source," Electron. Lett. 41, 36 (2005).
>
> \[3\] Z. Jiang, C.-B. Huang, D. E. Leaird, A. M. Weiner, "Optical
> arbitrary waveform processing of more than 100 spectral comb lines,"
> Nature Photonics 1, 463 (2007).
>
> \[4\] S. Diddams, L. Hollberg, and V. Mbele, "Molecular fingerprinting
> with spectrally-resolved modes of a femtosecond laser frequency comb,"
> Nature 445, 627 (2007).
>
> \[5\] I. Coddington, W. C. Swann, and N. R. Newbury, "Coherent
> Multiheterodyne Spectroscopy Using Stabilized Optical Frequency
> Combs," Phys. Rev. Lett. 100, 013902 (2008).
>
> **9.12.07-4.TT Automated, Temperature-controlled High-power LED
> Measurement System**
>
> Light emitting diodes (LEDs) are becoming increasingly important
> because of their energy-efficiency advantage over other forms of
> lighting. Measuring the photometric properties of high-power LEDs
> (those that require heat sinks for normal operation) has been
> difficult because they are highly sensitive to their operating
> temperature. For this reason, such LEDs are often measured and rated
> using short pulses at a room temperature. However, they should
> actually be measured and rated under operating conditions, preferably
> in steady DC mode.
>
> Theoretically, the characteristics of LEDs are functions of junction
> temperature, which ordinarily cannot be measured directly. Instead,
> case temperature, pin temperature, heat-sink temperature, etc. are
> often used as proxies. Different methods give different results.
>
> In response to a strong need for standardization, NIST has developed a
> practical method for measurement of high-power LEDs operating at
> steady DC current and thermal equilibrium conditions at any specified
> junction temperature. \[1\] This method can be used by LED
> manufacturers, LED users, and testing laboratories to obtain
> reproducible photometric results. In addition, the method also
> determines the thermal impedance between the junction and the heat
> sink.
>
> IESNA and CIE have begun to develop measurement standards for
> high-power LEDs based on the NIST method. We seek a private-sector
> partner that would develop and commercialize an instrument to automate
> the procedure and to ultimately realize the standards. We believe that
> in order for a standard to achieve widespread use, a commercial device
> needs to be available that integrates the necessary precision
> electronics and user controls, and which provides "push-button"
> automation for the process. NIST would be willing to work closely with
> an awardee and to provide access to NIST laboratories to assist in its
> development.
>
> Full and up-to-date details of the NIST method will be made available
> on-line at
> [**http://physics.nist.gov/Divisions/Div840/tcled/docs/practicalMethodsMeasurementHighPowerLEDS.pdf**](http://physics.nist.gov/Divisions/Div840/tcled/docs/practicalMethodsMeasurementHighPowerLEDS.pdf).
> In summary, the LED is mounted on a temperature-controlled heat sink
> and the forward voltage drop is measured across the LED for a short
> pulse of known current. Then, using that current level continuously,
> the same junction temperature is obtained by adjusting the heat sink
> temperature under feedback control to obtain the same voltage drop.
> Thermal equilibrium is reached within a few minutes, at which point
> the photometric properties of the LED can be measured with traditional
> DC light measurement instruments, such as integrating spheres,
> goniometers, or spectroradiometers. (Proposals that explain
> integration with light-measuring devices are encouraged but not
> required.)
>
> Phase 1: We will entertain proposals that describe in detail the
> engineering and performance goals of a commercial-grade device
> embodying the NIST procedure. The design must allow the mounting of
> various types of LEDs, determine the LED junction temperature to
> within 0.5 °C (k=2), and measure current and voltage to an uncertainty
> better than 0.05 % (k=2). The awardee is also encouraged to design the
> product with the measurement capability for high-power AC LEDs using
> similar principles. The ultimate product cost should be estimated and
> may be used as a rating factor (the lower the better). At the
> conclusion of Phase I, a functioning prototype must be delivered to
> NIST for evaluation.
>
> Phase 2 (if awarded): The awardee would fully implement the proposed
> design for a commercial-grade device, including integrated software
> for intuitive and flexible configuration, and fault-tolerant
> engineering. The awardee will deliver a sample of the product to NIST.
>
> \[1\] Y. Zong and Y. Ohno, "New practical method for measurement of
> high-power LEDs," Proc., CIE expert symposium 2008 on Advances in
> Photometry and Colorimetry, Turin, Italy, July 2008.

**9.12.08-4.TT Commercially Viable Chip-Scale Atomic Magnetometers**

> For several years, NIST has been developing compact, high-performance
> magnetic sensors based on vapors of alkali atoms. These instruments
> combine micromachining techniques with precision spectroscopy and
> advanced diode lasers. The goal is to better the size and power
> requirements of existing atomic magnetometer instruments by factors of
> 100. The work on chip-scale atomic magnetometers at NIST is reported
> in publications \[1-5\].
>
> The NIST work has demonstrated that the core technology is viable in a
> laboratory setting, and has identified the rough magnetometer
> sensitivity limits and expectations in several operating environments.
> However, the NIST instruments at present have not been engineered at a
> level consistent with a potential commercial product. The focus of the
> work under this SBIR topic will be to advance the designs already
> demonstrated at NIST in critical ways related to engineering and
> manufacturing. Examples of such advances are: reduced power
> dissipation through thermal engineering of the physics package, the
> development of compact, low-power control electronics, and the
> low-cost fabrication of micro-machined alkali vapor cells.
>
> We solicit proposals with the goal of developing commercially viable
> chip-scale atomic magnetometer designs and instruments with the rough
> performance goals listed below. These instruments should combine high
> sensitivity with small size, low power, high ruggedness, and low
> manufacturing cost. In Phase 1, the proposer would develop a detailed
> instrument design that includes a physics package design and assembly
> methods, the electronics architecture, and expected sensitivity. This
> design should include a detailed analysis of the proposed instrument
> size and power dissipation, supported by modeling, and an estimate of
> manufacturing cost.
>
> If Phase 2 is warranted, the proposer would be expected to develop a
> prototype commercially viable instrument that meets the size, power,
> sensitivity, and other performance goals of the Phase 1 design. The
> Phase 2 work would include the identification of suppliers for all
> critical components needed for successful commercialization of the
> instrument and a preliminary evaluation of the equipment investment
> costs for critical components and subsystems not already commercially
> available. In addition, secondary device specifications related to
> operating the instrument in the Earth's magnetic field should be
> identified and quantified. These include the heading error, accuracy,
> bandwidth, and dynamic range. At the end of Phase 2, a detailed report
> outlining the final instrument design, test results, and evaluation of
> commercialization potential would be delivered to NIST.
>
> NIST is willing to work collaboratively with the awardee to help
> advise and guide the instrument development based on experience
> already gained at NIST. NIST will not be directly involved in the
> research or development program, however, and can take on no specific
> tasks related to the development.
>
> Performance Goals
>
> Size: \< 10 cm3
>
> Power dissipation: \< 100 mW
>
> Sensitivity: \< 10 pT/√Hz at 1 Hz
>
> Bandwidth: \> 100 Hz
>
> Heading error: \< 1 nT
>
> Accuracy: \< 100 nT
>
> Operating range: 20,000 nT -- 70,000 nT
>
> Anticipated cost: \$300 per unit
>
> \[1\] L. A. Liew, S. Knappe, J. Moreland, H. Robinson, L. Hollberg,
> and J. Kitching, "Microfabricated alkali atom vapor cells," Applied
> Physics Letters, vol. 84, pp. 2694--2696, 2004.
>
> \[2\] P. D. D. Schwindt, S. Knappe, V. Shah, L. Hollberg, J. Kitching,
> L. A. Liew, and J. Moreland, "Chip-scale atomic magnetometer," Applied
> Physics Letters, vol. 85, pp. 6409--6411, 2004.
>
> \[3\] P. D. D. Schwindt, B. Lindseth, S. Knappe, V. Shah, J. Kitching,
> and L.-A. Liew, "A chip-scale atomic magnetometer with improved
> sensitivity using the Mx technique," Applied Physics Letters, vol. 90,
> pp. 081102, 2007.
>
> **http://tsapps.nist.gov/ts_sbir/chipscale.pdf**
>
> \[4\] V. Shah, S. Knappe, P. D. D. Schwindt, and J. Kitching,
> "Sub-picotesla atomic magnetometry with a microfabricated vapor cell,"
> Nature Photonics, vol. 1, pp. 649--652, 2007.
>
> \[5\] E. Hodby, E. Donley, and J. Kitching, "Differential Atomic
> Magnetometry Based on a Diverging Laser Beam," Applied Physics
> Letters, vol. 91, pp. 011109, 2007.

**9.12.09-4.R Generation of Violet and Near-UV Radiation**

> We seek development of optical frequency-doubling devices that can
> generate more than 40 mW of continuous output power (in a TEM~00~
> mode) at 399 nm and 423 nm in a single-pass configuration, with less
> than 400 mW of input infrared power from a source laser.
>
> One of the critical challenges in optical atomic clock research at
> NIST is the development of robust laser sources that can deliver
> sufficient power at the desired wavelengths. Particularly challenging
> is the generation of light in the violet (423 nm) and near-UV (399 nm)
> wavelength ranges. Traditionally, the route to these wavelengths is to
> double the frequency of infrared lasers with non-linear crystals, but
> in order to achieve required power levels, it is often necessary to
> use optical buildup cavities that contain the crystal. These cavities
> can be troublesome as they require servo systems to keep them resonant
> with the input light and often suffer from excess loss and thermal
> effects.
>
> Recently a new technology, based on frequency doubling in optical
> waveguides rather than bulk crystals, has achieved much higher
> doubling efficiencies. With the increased efficiency enhancement
> cavities are no longer needed, thereby greatly simplifying the
> experimental apparatus. To date, this technology has only been
> accessible to the yellow and green parts of the spectrum due to
> technical challenges associated with shorter wavelengths (e.g.,
> shorter poling periods, and the need for different periodically poled
> materials).
>
> We seek convenient means for generating the required laser wavelengths
> at the specified power and mode. Proposals may rely on periodically
> poled nonlinear materials or other technologies, but must be motivated
> by a factual basis that suggests feasibility. Proposals that are
> merely speculative will not be highly scored.
>
> Successful development of technology to generate laser light in the
> 395 nm to 480 nm range would benefit fields besides optical clock
> research. In particular, fields such as hazardous and trace gas
> detection, quantum computing, laser cooling and manipulation of atoms,
> and quantum degenerate atoms, often require light in this range with
> the power levels similar to those we have requested.
>
> Phase 1: As a minimum demonstration of feasibility, the awardee will
> develop and deliver to NIST one prototype frequency doubling system at
> 423 nm that can generate \> 25 mW in a single-pass configuration. NIST
> is willing to collaborate by evaluating and providing feedback on
> delivered prototypes (in an iterative process, if necessary).
>
> Phase 2 (if awarded): The awardee will extend this technology to 399
> nm and deliver multiple (at least 3) devices to NIST (for retention)
> at 399 nm and 423 nm that meet the 40 mW specification. NIST would be
> available for collaboration in this phase as well.
>
> **9.12.10-4.TT Multiple Channel Coincidence Detection**
>
> We seek proposals for commercial development of a data-acquisition
> device based on NIST technology for multiple channel coincidence
> detection. While our target application was quantum communication,
> such a device may be useful for other applications where event
> correlations between several single-photon (or other particle)
> detectors are important.
>
> The NIST invention involves using a field programmable gate array
> (FPGA) to allow multiple and complex combinatorial relationships to be
> established for many (typically four or more) binary inputs signifying
> photon detection events. The FPGA identifies those time slices
> (typically 5 ns wide) in which certain combinatorial relationships are
> satisfied, and when so records the time-stamped data. These
> pre-filtered results are then transferred off of the FPGA for any
> further processing. The device may operate either synchronously or
> asynchronously with an instigator of the event signals, such as a
> pulsed laser.
>
> We believe that no commercial device yet exists that is intended for
> the type of data acquisition problem that this invention addresses. We
> have demonstrated proof-of-principle on a prototype device using an
> FPGA evaluation board and other inexpensive components. Details may be
> found at
> [**http://physics.nist.gov/fpga**](http://physics.nist.gov/fpga)
> However, much remains to be done to implement the concepts in a
> commercial-grade product that features integrated controls, an
> intuitive user interface, and ruggedized engineering.
>
> Phase 1: We will entertain proposals that describe in detail the
> engineering and performance goals of a commercial-grade device
> embodying the NIST invention. At the conclusion of Phase 1, as a
> minimum demonstration of feasibility, the awardee will provide to NIST
> 5 copies of a prototype device with a functioning and documented
> interface (drivers) to allow communication with a PC, capable of
> processing 4 or more inputs (TTL pulses at 2 MHz/channel rates or
> higher) with scalability for more inputs. The maximum time resolution
> of the coincidence windows must be 4 ns or less. Coincidences between
> input channels should be recorded and processed simultaneously and
> sent out via a computer link. NIST would be available to work with the
> awardee in the design and development of the prototype.
>
> Phase 2 (if awarded): The awardee would fully implement the proposed
> design for a commercial-grade device, including integrated software
> for intuitive and flexible configuration, and fault-tolerant
> engineering. The awardee will deliver a sample of the product to NIST.

**9.12.11-5.TT Integrated Laser Source for broadband CARS Microscopy**

> NIST is a world leader in the development of broadband coherent
> anti-Stokes Raman scattering (BBCARS) microscopy, being the first to
> demonstrate such an instrument, in 2004 \[1\] and subsequently having
> introduced several key developments to improve the chemical
> sensitivity and detection limits of BBCARS \[2,3,4\]. BBCARS offers
> noninvasive, label-free, three-dimensional chemical imaging of
> materials and biological systems. The potential for commercialization
> of BBCARS is evident in that single-frequency CARS (SFCARS) microscopy
> is now coming on to the commercial market. SFCARS also offers 3D
> label-free imaging, but does not provide the chemical sensitivity that
> is so important in complex biological systems; the wide appeal of
> label-free imaging is sufficient to motivate its commercialization, in
> spite of its drawbacks.
>
> Discrimination of chemical composition changes in biological tissues
> (e.g. for diagnostics), and analysis of complex materials requires
> spectral data over a wide frequency range. Spectral range in the
> vibrational fingerprint region (500 cm-1 to 1800 cm-1) offered by
> BBCARS makes possible label-free imaging and the chemical sensitivity
> needed to fully characterize subtle changes in biological and material
> systems that are concomitant with processes of interest such as
> disease progress and cellular differentiation.
>
> Recent innovations in experimental technique and improvements in data
> analysis have brought the possibility of widespread use of BBCARS much
> closer. The new techniques developed by NIST are based on a "3-color"
> CARS signal generation mechanism that relies on intrapulse generation
> of vibrational coherence in the sample. While these new techniques are
> very powerful, they require advanced performance from the laser
> system, and commercialization such a BBCARS system is presently
> untenable due to the complexity of the laser sources required. In
> order to remove a crucial barrier to commercialization and wide
> dissemination of BBCARS microscopy, NIST requires a user-friendly
> laser source for such an instrument. The characteristics of the
> desired laser source are given below:
>
> • A single laser must generate two laser pulses: a femtosecond probe
> pulse and a compressible continuum pulse. These two pulses must have
> relative timing jitter of \< 20 fs.
>
> • Repetition rate should be in the range (30 MHz to 100 MHz).
>
> • Probe Pulse

-   Center wavelength should be in the range (930 nm to 980 nm). 940 nm
    is preferred

-   Bandwidth (FWHM): 100 cm^-1^ to 150 cm^-1^

-   Pulse energy: \> 2 nJ

-   Beam must be collimated ( \< 2 mrad divergence)

-   Beam diameter \< 6 mm

> • Continuum Pulse

-   The low-frequency edge of the continuum should reach at least to
    1370 nm.

-   Bandwidth (FWHM): \> 2500 cm^-1^

-   Pulse energy: \> 2 nJ

-   Must be compressible to \<20 fs with known pulse compression
    technologies (e.g., grating pair, 640-pixel SLM pulse shaper)

-   Beam must not have chromatic aberration

-   Beam must be collimated ( \< 2 mrad divergence)

-   Beam diameter \< 6 mm

> BBCARS microscopy has many potential applications, ranging from
> biophysical research lab to implementation in a hospital clinical
> setting. In order to accommodate requirements for the full range of
> applications, laser stability and ease of use for end users must also
> be addressed in the study. In particular, the following issues must be
> addressed:
>
> • Stability of the spectral shape and intensity of the continuum pulse
>
> • Frequency of need for realignment and maintenance
>
> • Ease of day-to-day use (turnkey operation is desired)
>
> In the later stages of the project, the awardee will construct and
> test a prototype of the laser source that is deemed superior as a
> result of the design study.
>
> Milestones for the project are listed below:
>
> Phase 1
>
> \- Delivery of design study for laser system with the characteristics
> above.
>
> Phase 2 year 1
>
> \- Detailed design complete. Testing of individual components such as
> continuum generation and compressibility
>
> Phase 2 year 2
>
> \- Integration of all components into a fully functioning system, with
> stability and reliability data, delivered to NIST along with detailed
> drawings.
>
> References:
>
> 1\. T. W. Kee and M. T. Cicerone, \"Simple approach to one-laser,
> broadband coherent anti-Stokes Raman scattering microscopy,\" Opt.
> Lett. 29, 2701-2703 (2004).
>
> 2\. Y. J. Lee, Y Liu, M. T. Cicerone, \"Characterization of 3-color
> CARS in a 2-pulse broadband CARS spectrum,\" Opt. Lett. 32, 3370-3372
> (2007).
>
> 3\. Y. J. Lee and M. T. Cicerone, \"Vibrational dephasing time imaging
> by time-resolved broadband coherent anti-Stokes Raman scattering
> microscopy,\" Appl. Phys. Lett. 92, 041108 (2008).
>
> 4\. Y. J. Lee and M. T. Cicerone, \"Single-shot interferometric
> approach to background free broadband coherent anti-Stokes Raman
> scattering spectroscopy,\" Submitted (2008).
>
> **9.12.12-5.T Dynamic Light Scattering Instrumentation Using Field
> Programmable Gate Array Based Digital Signal Processing**
>
> Dynamic light scattering (DLS) is a powerful and widely used
> non-invasive optical characterization technique used to measure
> particles size distribution in many areas, including nanotechnology,
> protein assays, and quality control measurements in the chemical
> industry. Recent advances in fiber optics detection and digital signal
> processing (DSP) electronics can advance the state of the art of light
> scattering. These advances can be used to increase performance, enable
> new implementation such as fiber probes for remote detection, fast low
> volume measurements, simple integration with other characterization
> techniques and make instrumentation more affordable. We expect these
> factors to propel DLS equipment into new market areas, including
> combinatorial materials research systems, which often require compact
> affordable measurement modules.
>
> NIST has examined the integration of fiber optics and fast DSP
> electronics into light scattering instrumentation. Using this
> approach, the optical tract of DLS instrumentation has been simplified
> and streamlined, enabling compact, low cost devices \[1\], \[2\]. NIST
> is soliciting proposals that further develop this optical detection
> design towards commercial instrumentation. A key challenge to be met
> in this respect is the development of advanced DSP based data
> processing and analysis. As part of this technology transfer proposal,
> the awardee is expected to develop the customizable software for
> photon count auto- and cross-correlation and photon arrival time
> stamping targeted on a field programmable gate array (FPGA) board that
> exhibit the high-speed and low-cost of current DSP modules.
> Furthermore the awardee is expected to develop a software package that
> interacts with this correlator board to acquire data and incorporate
> new advanced analysis algorithms for fitting samples with multiple
> diffusion modes \[3\], \[4\]. NIST will work with the awardee by
> making available our expertise in optical hardware, in evaluating
> potential solutions for each of these topics, and can contribute to
> evaluating the success of any prototype.
>
> Phase 1 expected results:
>
> • Run market research to select a high speed FPGA based DSP board to
> program and interface.
>
> • Develop software targeted to selected FPGA for auto- and
> cross-correlation of TTL pulses and for two channel time tagging of
> TTL pulses aiming for the highest possible pulse frequency and time
> resolution.
>
> • Enable further code customization and provide documentation/manual
> for the end user to customize the code for specific needs when
> necessary.
>
> • Develop simple inteface library targeted to a personal computer for
> the testing of FPGA board functionality.
>
> • Build and deliver to NIST a prototype DLS setup for testing the FPGA
> board performance.
>
> \[1\] T. Q. Chastek, K. L. Beer, and E. J. Amis, Miniaturized dynamic
> light scattering instrumentation for use in microfluidic applications"
> Review of Scientific Instruments, 78, 072201 (2007).
>
> \[2\] D. Pristinski and T. Q. Chastek, A Versatile Low Cost Approach
> to Dynamic Light Scattering, SPIE Optics+Photonics 2008, Conference
> 7065, San Diego, CA.
>
> \[3\] J. Langowski and R. Bryan, New maximum entropy algorithm for the
> analysis of dynamic light-scattering data. Application to particle
> distributions and DNA internal motions, Progress in Colloid and
> Polymer Science, 81, 269 (1990).
>
> \[4\] J. Langowski and R. Bryan, Maximum entropy analysis of photon
> correlation spectroscopy data using a Bayesian estimate for the
> regularization parameter, Macromolecules, 24 (23), 6346 (1991).
>
> **9.12.13-6.TT Commercialization of a Novel Integrating Sphere-based
> Ultraviolet Weathering Device**
>
> NIST has developed a unique ultraviolet (UV) weathering device called
> the SPHERE (Simulated Photodegradation via High Energy Radiant
> Emission) that is used to accelerate the degradation of polymeric
> materials. The NIST SPHERE is the only device capable of generating
> data with requisite precision to quantitatively link field and
> laboratory weathering results for service life prediction of polymeric
> materials. It is based on a 2 m diameter integrating sphere and
> provides a source of high intensity (≈ 22 suns), highly uniform (≥ 95
> %), collimated UV radiation for accelerated weathering experiments on
> a wide variety of polymeric materials such as coatings, sealants,
> composites, roofing and siding components. In addition to weathering
> of polymeric materials, such a device could also find extensive use in
> any photogenic application including agriculture (e.g., the effect of
> ultraviolet radiation on the growth of fungi), biological (e.g.,
> photosynthesis), or medical (e.g., sunscreen efficiency, skin cancer).
> 28 specimen chambers are coupled with the SPHERE, in which temperature
> and relative humidity can be independently and precisely controlled
> over a wide range and over long exposure periods. Four additional
> chambers also are equipped with the additional capability of
> mechanical loading. As presently designed, the NIST SPHERE can
> simultaneously expose \> 550 specimens, each in its own unique and
> extremely well-controlled exposure environment.
>
> The 2-meter NIST SPHERE was designed as a research tool. Commercial
> implementation of this device will require a more economical rendition
> but without any loss in output irradiance or in the precision and
> accuracy of the measurements. Phase 1 proposers should address the
> development of a compact, cost-effective version of the SPHERE that
> can be commercialized and utilized in industrial laboratories, making
> use of commercially available components where possible, while
> maintaining the capabilities of the 2 m NIST SPHERE. The primary Phase
> 1 deliverable will be a detailed design of a commercially viable
> SPHERE-based weathering device, executed in a 3D CAD package (such as
> Solidworks). NIST will make available to the awardee detailed
> information on the design of the existing 2 m SPHERE. It is expected
> that a Phase 2 effort will result in the construction and
> demonstration of a full-function prototype suitable for
> commercialization that can be widely implemented in industry for
> artificial weathering studies.
>
> References:
>
> U.S. Patent 6,626,062, "Method and Apparatus for Artificial
> Weathering", Nathan Martin and Joannie Chin, Sept. 30, 2003.
>
> Chin, J., Byrd, E., Embree, N., Garver, J., Dickens, B., Finn, T., and
> Martin, J., Review of Scientific Instruments, 75(11), 4951-4959, 2004.
>
> Chin, J., Nguyen, T., Gu, X., Byrd, E., and Martin, J., JCT Coatings
> Tech, Feb. 2006, pp. 2-8.

[]{#book9_13 .anchor}**9.13 [X-ray System Technologies]{.underline}**

> **9.13.01-5.R Fast Multivariate Data Modeling for Parameter
> Uncertainty Estimation Using Compact, Massively-parallel Computation
> Hardware**
>
> Measurement of materials structure parameters requires
> first-principles, statistical data modeling approaches to provide
> uncertainty estimations for each model parameter. Computational
> methods for data modeling and uncertainty estimation in x-ray
> reflectometry are the focus of this subtopic opportunity.
>
> X-Ray Reflectometry (XRR) measurements provide thickness, roughness,
> and electron density information of thin films and multilayers used in
> the semiconductor industry and other industries. This measurement is
> modeled via a multilayer stack, each layer of which has three
> parameters, estimates of which may be correlated or multimodal. Monte
> Carlo methods to sample from models constructed in a Bayesian
> probability framework provide a means to explore the multivariate
> solution space and calculate parameter uncertainty estimates which are
> compliant with ISO metrology and uncertainty guidelines. Monte Carlo
> multivariate parameter estimation is computationally demanding, and
> requires long run-time (e.g., hours to weeks), and this has limited
> its use with metrology systems like XRR. Parallelized CPU clusters can
> reduce the time to complete Monte Carlo calculations, however, such
> clusters are ill-suited for metrology applications, since they are
> physically large and difficult to manage. A promising new approach
> uses Graphics Processing Units (GPUs) or other stream processors as a
> massively-parallel processor to achieve the throughput of a large
> cluster with a single computer. GPU hardware for scientific computing
> is currently available commercially, and it is reportedly capable of
> accelerated performance in the areas of Monte Carlo and probability
> calculations.
>
> NIST is soliciting proposals for the creation of a GPU hardware and
> software platform capable of performing Monte Carlo Calculations that
> model XRR measurements. At the end of Phase 1, the vendor must deliver
> to NIST two proof of concept products:
>
> • hardware component - a GPU platform capable of Monte Carlo
> calculation performance ten times faster than a comparable single CPU
> system (benchmarked to Intel Q6700 - single core);
>
> • software component -- a multi-variate Monte Carlo parameter
> estimator for XRR using a Bayesian framework and following ISO
> uncertainty guidelines.
>
> The XRR modeling kernel must include a recursive Fresnel reflection
> formalism (a.k.a. Parratt model) with Gaussian roughness. The input
> structure models and Monte Carlo parameters must be easily edited by
> NIST staff (via text file or XML) and the results of the parameter
> estimation process must be provided as text and as graphical
> output.**\
> **