1

FY 2023 NIST Small Business Innovation Research Program Phase I

Notice of Funding Opportunity

March 23, 2023

Small Business Innovation Research 

(SBIR) Program Phase I

Notice of Funding Opportunity (NOFO)

ANNOUNCEMENT

FUNDING OPPORTUNITY NUMBER: 2023-NIST-SBIR-01

Catalog of Federal Domestic Assistance (CFDA) Number: 

11.620, Science, Technology, Business and/or Education Outreach

U.S. DEPARTMENT OF COMMERCE 

National Institute of Standards and Technology

Opening Date of NOFO: March 23, 2023

Closing Date: May 22, 2023

http://www.nist.gov/sbir
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FY 2023 NIST Small Business Innovation Research Program Phase I

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March 23, 2023

Table of Contents

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION 4

1.01 Introduction 4

1.02 Three-Phase Program 5

1.03 SBIR Applicant Eligibility and Limitations 7

1.04 Contact with NIST 10

1.05 Definitions 11

1.06 Fraud, Waste and Abuse 18

1.07 Other Information 19

2.0 CERTIFICATIONS AND RESEARCH INVOLVING HUMANS OR ANIMALS 20

2.01 Due Diligence Certification 20

2.02 Funding Agreement Certification 21

2.03 Research Activities Involving Human Subjects, Human Tissue, Data or Recordings Involving Human 

Subjects Including Software Testing 21

2.04 Research Activities Involving Live Vertebrate Animals or Pre-Existing Cell Lines/Tissues From 

Vertebrate Animals 22

2.05 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid Federal Tax 

Assessments and Delinquent Federal Tax Returns 23

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS 23

3.01 Phase I Application Requirements 24

3.02 Phase I Application 25

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA 30

4.01 Introduction 30

4.02 Phase I Screening Criteria 30

4.03 Phase I Evaluation Criteria 31

4.04 Phase I Award Selections 32

5.0 CONSIDERATIONS 33

5.01 Awards 33

5.02 Reporting Requirements 34

5.03 Payment Schedule 35

5.04 Innovations, Inventions and Patents 35

5.05 Cost Sharing 42

5.06 Profit or Fee 42

5.07 Joint Ventures or Limited Partnerships 42

5.08 Research and Analytical Work 43
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FY 2023 NIST Small Business Innovation Research Program Phase I

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5.09 Awardee Commitments 43

5.10 Summary Statements 43

5.11 Additional Information 44

5.12 Technical and Business Assistance (TABA) 45

5.13 Technical Assistance for Application Preparation and Project Conduct 46

6.0 SUBMISSION OF APPLICATIONS 46

6.01 Deadline for Applications 46

6.02 Standard Application Package 47

6.03 Application Submission 47

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES 49

8.0 SUBMISSION FORMS AND CERTIFICATIONS 49

8.01 Required Forms and Documents 49

8.02 Attachment of Required Application Documents 55

8.03 Verifying the Submission and Tracking the Application 56

8.04 Unique Entity Identifier and System for Award Management (SAM) 56

9.0 RESEARCH AREAS 57

Advanced Communications, Networks and Scientific Data Systems 57

Advanced Manufacturing and Material Measurements 57

Cybersecurity and Privacy 58

Fundamental Measurement, Quantum Science and Measurement Dissemination 58

Health and Biological Systems Measurements 58

Physical Infrastructure and Resilience 58

Exploratory Measurement Science 59

Appendix A. COVER SHEET 60

Appendix B. DUE DILIGENCE CERTIFICATION 62

Appendix C. FUNDING AGREEMENT CERTIFICATIONS 68

SBIR Funding Agreement Certification (at time of award) 68

SBIR Funding Agreement Certification (Life-Cycle Certification) 72
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FY 2023 NIST Small Business Innovation Research Program Phase I

Notice of Funding Opportunity

March 23, 2023

US DEPARTMENT OF COMMERCE

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

FY 2023 SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM 

PHASE I NOTICE OF FUNDING OPPORTUNITY (NOFO)

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION

1.01 Introduction

The National Institute of Standards and Technology (NIST) invites small businesses to 

submit Phase I research applications under this Notice of Funding Opportunity (NOFO). 

Science and technology-based firms with strong research capabilities in any of the 

areas listed in Section 9.0 of this NOFO are encouraged to participate. Applications 

must sufficiently identify and clearly address a specific NIST technical program area 

that falls within one of the research areas described in Section 9.0 (see Section 

3.02.02(1)) or a NIST-patented technology available for licensing.

Only FY 2023 Phase I applications may be submitted in response to this NOFO. Phase II 

applications are not being accepted at this time. NIST publishes a Phase II NOFO 

approximately 30 days prior to the end of the previous year’s Phase I period of 

performance to request Phase II applications. That NOFO provides instructions for Phase I 

awardees to prepare a Phase II application and the closing date for submission of 

applications; only the previous year’s Phase I awardees are eligible to submit a Phase II 

application.

The Small Business Innovation Research (SBIR) program was originally established in 1982 

by the Small Business Innovation Development Act (P.L. 97-219), codified at 15 U.S.C. § 

638. It was then expanded and extended by the Small Business Research and Development 

(R&D) Enhancement Act of 1992 (P.L. 102-564), and received subsequent reauthorization 

and extensions, the most recent of which extends the SBIR program through 2025. (P.L.

117-183).

Eleven Federal agencies implement SBIR by setting aside a portion of their extramural 

research and development budget each year to fund research applications from small 

science and technology-based firms. The statutory purpose of the SBIR Program is to 

strengthen the role of innovative small business concerns (SBCs) in Federally-funded 

research or research and development (R/R&D). Specific program goals are to:

(1) stimulate technological innovation; (2) use small business to meet Federal R/R&D needs;
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FY 2023 NIST Small Business Innovation Research Program Phase I

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(3) foster and encourage participation by socially and economically disadvantaged 

small businesses and by women-owned small businesses in technological innovation; 

and (4) increase private sector commercialization of innovations derived from Federal 

R/R&D, thereby increasing competition, productivity, and economic growth.

The NIST FY 2023 SBIR program identifies and solicits applications in topics that fall within 

NIST’s mission, as described in Section 9.0 of this NOFO, and allow collaboration between 

NIST scientists and the SBIR awardees whenever possible.

When reviewing applications, NIST gives high priority to SBCs that participate in or conduct 

energy efficiency or renewable energy system R&D projects, consistent with Executive

Order (EO) 13329 - “Encouraging Innovation in Manufacturing,” the Energy Independence 

and Security Act of 2007 (P.L. 110-140 § 1203(e), codified at 15 U.S.C. § 638(z)), and the 

Small Business Administration (SBA) Small Business Innovation Research (SBIR) and Small

Business Technology Transfer (STTR) Program Policy Directive, § 9.

For any SBIR award that requires a license to use a NIST-owned invention covered by a 

patent or patent application, the SBIR awardee will need to contact NIST’s Technology 

Partnerships Office for a license to use the NIST-owned invention. Such awardees will be 

granted a non-exclusive research license and will be given the opportunity to negotiate a 

non-exclusive or an exclusive commercialization license to the NIST-owned invention, in 

accordance with the Federal patent licensing regulations, set forth in 37 C.F.R. Part 404, 

and to the extent that such NIST-owned invention is available for licensing and has not 

otherwise been exclusively licensed to another party. It is the goal of this program to 

position the SBIR awardee to use and build upon such licensed NIST-owned invention with 

the awardee’s own innovation to develop a commercially viable product based on the NISTowned invention.

1.02 Three-Phase Program

The SBIR statute (15 U.S.C. § 638) 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 SBCs for innovation research. SBIR policy is provided by the SBA through 

the SBIR/STTR Policy Directive.

The funding vehicles for NIST’s SBIR program in both Phase I and Phase II are cooperative 

agreements. NIST’s authority to implement its SBIR program through cooperative 

agreements is 15 U.S.C. § 272(b)(4). NIST programmatic authorities for the research areas
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FY 2023 NIST Small Business Innovation Research Program Phase I

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listed in this NOFO are found at 15 U.S.C. § 272(b) and (c). The nature of NIST’s “substantial 

involvement” will generally be collaboration with the awardees in carrying out the projects’ 

approved scope of work. Grants and agreements administrative requirements set forth at 2

C.F.R. Part 200 will apply to NIST SBIR awards.

1.02.01 Phase I - Feasibility Research

The purpose of Phase I is for NIST to determine the technical feasibility of the research, 

preliminary commercialization merit of the proposed effort, and the quality of the 

awardee’s performance. The application should concentrate on describing research that 

will significantly contribute to proving the feasibility of the proposed Phase II research 

and commercialization potential, prerequisites to receiving further support in Phase II. 

Each Phase I award is for up to $100,000 and up to a six (6) month period of 

performance. Up to an additional $6,500 may be requested for Technical and Business 

Assistance (TABA); see Section 5.12 for more information about TABA. NIST’s inclusion 

of TABA funds in the award will be subject to the availability of NIST funding.

1.02.02 Phase II - Research and Development

All Phase I awardees under this NOFO will be given the opportunity to submit a Phase II 

application following completion of Phase I. Instructions for Phase II application 

preparation and submission requirements will be published in a NOFO approximately 30 

days prior to the end of the FY 2023 Phase I performance period.

In Phase II, work from Phase I that exhibits potential for commercial application is further 

developed. Phase II is the R&D or prototype development phase. To apply for a Phase II 

award, each Phase I awardee will be required to submit a comprehensive application 

outlining the proposed research and a detailed plan to commercialize the final product. 

Each NIST Phase II award is for up to $400,000 and up to a 24-month period of 

performance. One year after completing the Phase II R&D activity, the awardee shall be 

required to report on its commercialization activities.

1.02.03 Phase III - Commercialization

Phase III refers to work that derives from, extends, or completes an effort made under 

prior SBIR funding agreements, but is funded by sources other than the SBIR Program. 

Phase III work is typically oriented towards commercialization of SBIR research or 

technology and may be for products, production, services, R/R&D or a combination thereof.
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1.02.04 Commercialization Readiness Pilot Program

As allowed in Section 5123 of the SBIR/STTR Reauthorization Act of 2011, Division E of Pub.

L. 112-81, codified in 15 U.S.C. § 638(gg), NIST has received authorization to establish a 

Commercialization Readiness Pilot Program (CRPP). NIST may provide follow-on funding 

(up to an additional $100,000) to selected awardees after completion of Phase II. The 

funding would be used to further develop Phase II technologies, to support advancement 

toward Phase III, and to increase the likelihood of commercialization. NIST is under no 

obligation to make any CRPP awards.

1.03 SBIR Applicant Eligibility and Limitations

1.03.01 Applicant Qualifications

Each applicant must qualify as an SBC for R/R&D purposes, as defined in Section 1.05 of this 

NOFO, at the time of award. 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. Primary employment means that more than one-half of 

the principal investigator's time is spent working with the small business. Primary 

employment with a small business precludes full-time employment with another 

organization. Occasionally, deviations from this requirement may occur, which must be 

approved in writing by the NIST Grants Officer after consultation with the SBIR Program 

Manager. Further, a small business may only replace the principal investigator on an SBIR 

Phase I award if the NIST Grants Officer provides prior written approval. Personnel 

obtained through a Professional Employer Organization or other similar personnel leasing 

company may be considered employees of the awardee.

The R/R&D work must be performed in the United States. Requests for an exemption must 

be submitted in writing at the time of application submission. Only rare and unique 

circumstances will be considered for an exemption. The NIST Grants Officer must approve 

each exemption and its terms in writing.

NIST has elected to not use the authority that would allow venture capital operating 

companies (VCOCs), hedge funds or private equity firms to participate in the SBIR 

Program. Therefore, applications in which work would be performed by VCOCs will not be 

considered for award.

For Phase I, a minimum of two-thirds of the research and/or analytical effort must be 

performed by the awardee. The total cost for all consultant fees, facility leases, usage fees,
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FY 2023 NIST Small Business Innovation Research Program Phase I

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and other subcontract/subaward or purchase agreements may not exceed one-third of the 

total award. For Phase II, a minimum of one-half of the research and/or analytical effort 

must be performed by the awardee. The total cost for all consultant fees, facility leases, 

usage fees, and other subcontract/subaward or purchase agreements may not exceed 

one- half of the total award.

Each applicant will be required to provide certain information via www.sbir.gov as well as 

other information required by the SBIR/STTR Policy Directive (see Appendices V-VI), found at 

Small Business Innovation Research (SBIR) Program Policy Directive Appendices. Each SBC 

applying for an award is required to update the appropriate information in the SBA database 

on SBIR.gov for any of its existing and prior Phase II awards.

Applicants may not participate in the review of applications.

The statement of work of an SBIR award awarded under this NOFO cannot overlap with 

the statement of work of an existing NIST Cooperative Research and Development 

Agreement (CRADA) with the awardee. NIST will consider the issue of any potential 

overlap on a case- by-case basis.

1.03.02 Company Registry Requirements

SBA maintains and manages a Company Registry to track ownership and affiliation 

requirements for all companies applying to the SBIR Program. Each Phase I applicant must

register in the Company Registry prior to submitting an application. The applicant must

save its information from the registration in a .pdf document and append this document

to the SF-424 (R&R) form as described in Section 8.02. of this NOFO. All applicants are 

required to report and/or update their registration information in the SBA Company 

Registry prior to each SBIR application submission or if any information changes prior to an 

award.

1.03.03 Performance Benchmark Ratings Requirements

All Phase I applicants with a current SBA assessment of their Phase I to Phase II Transition 

Rate must at the time of the award have satisfied the requirements of that Performance 

Benchmark to be eligible for a new Phase I award. NIST will not consider proposals from 

firms that are currently ineligible for Phase I awards as a result of failing to meet the 

benchmark rate at the last assessment.

The Phase I to Phase II Transition Rate requirement applies only to SBIR Phase I applicants
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that have received more than 20 (21 or more) Phase I awards over the past 5 fiscal years 

(excluding the most recent year). For these applicants, the ratio of the number of Phase II 

awards (awarded during the past 5 fiscal years) to the number of Phase I awards (awarded 

during the past 5 years excluding the most recent year) must be at least 0.25. For the 

purposes of this NOFO, the applicable five fiscal year period is fiscal year 2017 to fiscal year 

2021. On June 1st of each year, the SBA assesses the Performance Benchmark rates for all 

applicable SBIR and Small Business Technology Transfer (STTR) awardees in the Company 

Registry. STTR is another program that expands funding opportunities in the federal 

innovation research and development arena. See https://www.sbir.gov/about/about-sttr.

Performance Benchmark rates are based on a company’s total SBIR/STTR awards, across all 

the participating agencies. Companies that fail to meet the Performance Benchmark 

requirements are not eligible to submit a proposal for a SBIR Phase I award for one year 

after the determination. Note that this does not affect a company’s eligibility for Phase II 

or Phase III awards.

The Commercialization Rate Benchmark applies only to SBIR and STTR Phase I applicants that 

have received more than 15 Phase II awards during the past ten fiscal years, excluding the two 

most recently completed fiscal years. For these companies, this benchmark establishes the 

minimum levels of commercialization activity a company must have achieved to-date that 

result from its Phase II awards from this ten-year period of time. SBCs are encouraged to 

update commercialization results for their prior SBIR/STTR awards at SBIR.gov to ensure 

accuracy in assessing the Commercialization Rate Benchmark.

On June 1 of each year, SBIR/STTR awardees registered on SBIR.gov are assessed to determine 

if they meet the benchmark requirements. Companies that fail to meet the transition rate 

benchmark on June 1, 2022, are not eligible to submit a Phase I application during the period 

June 1, 2022, through May 31, 2023.

NOTE: Before responding to this NOFO, all applicants should verify both their Transition 

Rate eligibility and commercialization rate eligibility for Phase I awards. When logged in to 

the Company Registry, awardees can view their last assessed Transition Rate by clicking on 

the “Performance Benchmark” sidebar. These company-specific rates appear under the 

heading “At Last Assessment.” A thumbs-up/thumbs-down indicator shows whether or not 

the company passed the benchmark rates at the last assessment. If at any time, a company 

believes the award information on SBIR.gov is not correct, it should notify SBA using the 

dispute link provided. If a company’s dispute of the data used for the rates is under review, 

it will see “TBD” under the “At Last Assessment” heading. Companies with less than the 

threshold number of awards (21 Phase I awards for the Transition Rate) will see “N/A” 

displayed because the requirement did not apply to them.
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FY 2023 NIST Small Business Innovation Research Program Phase I

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Under the heading “Current (On-Going)”, the page displays a running calculation of the 

benchmark rates using the next years’ time periods (each period moved up by one year) 

and current data in the system. Companies should monitor these rates to anticipate their 

standing for each upcoming June 1 Assessment. Prior to proposal preparation, all applicants 

to this NOFO that have received more than 20 Phase I awards across all federal SBIR/STTR 

agencies over the past five (5) years should verify that their company will not have a failing 

status on the Transition Rate Benchmark at the time of award.

Performance Benchmarks: (General information on the Performance Benchmark 

requirements is available at https://www.sbir.gov/performance-benchmarks.)

1.04 Contact with NIST

For general programmatic, electronic submission, or grants questions, please contact the 

appropriate individual:

Subject Area Point of Contact

Programmatic Questions Jacqueline Gray 

Phone: (240) 306-

5564

E-mail: jacqueline.gray@nist.gov

or

Nicole Berry

Phone: (202) 235-3675

E-mail: nicole.berry@nist.gov
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FY 2023 NIST Small Business Innovation Research Program Phase I

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March 23, 2023

Electronic Application 

Submission through Grants.gov

Grants.gov 

(800) 518-4726

E-mail: support@grants.gov

Grant Rules and Regulations Dean Iwasaki

Phone: (301) 975-8449

E-mail: dean.iwasaki@nist.gov

Applicants may also contact the NIST Hollings Manufacturing Extension Partnership 

(MEP) for technical assistance with application preparation. More information on 

obtaining technical assistance from MEP Centers for application preparation can be 

found in Section 5.13 of this NOFO.

1.05 Definitions

(a) General Definitions

Except as specifically noted by citation or reference, all definitions below are 

excerpted from the SBA SBIR/STTR Policy Directive.

Applicant – The organizational entity that qualifies as an SBC at all pertinent times and 

that submits a contract proposal or a grant application for a funding agreement under the 

SBIR/STTR Programs.

Awardee – The organizational entity that receives an SBIR or STTR Phase I, Phase II, or 

Phase III award. An “SBIR/STTR Awardee.”

Commercialization - The process of developing products, processes, technologies, or 

services and the production and delivery (whether by the originating party or others) of 

the products, processes, technologies, or services for sale to or use by the Federal 

government or commercial markets.
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FY 2023 NIST Small Business Innovation Research Program Phase I

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Contract, see 2 CFR §200.1 - For the purpose of Federal financial assistance, a legal instrument by 

which a recipient or subrecipient purchases property or services needed to carry out the project 

or program under a Federal award. For additional information on subrecipient and contractor 

determinations, see 2 CFR § 200.331.

Cooperative Agreement, see 31 CFR §§ 6302 and 6305 - A legal instrument of financial assistance 

between a Federal awarding agency and a recipient or a pass-through entity and a subrecipient that is 

consistent with 31 U.S.C. 6302-6305:

(1) Is used to enter into a relationship the principal purpose of which is to transfer anything of value 

to carry out a public purpose of support or stimulation authorized by a law of the United States (see

31 U.S.C. 6101(3)); and not to acquire property or services for the Federal Government or passthrough entity's direct benefit or use;

(2) Is distinguished from a grant in that it provides for substantial involvement of the Federal 

awarding agency in carrying out the activity contemplated by the Federal award.

Covered Individual, see 15 U.S.C. § 638(e)(15) – An individual who—

(1) contributes in a substantive, meaningful way to the scientific development or execution of a 

research and development project proposed to be carried out with a research and 

development award from a Federal research agency; and 

(2) is designated as a covered individual by the Federal research agency concerned.

Essentially Equivalent Work - Work that is substantially the same research, which is proposed for 

funding in more than one contract proposal or grant application submitted to the same Federal 

agency, or submitted to two or more different Federal agencies for review and funding 

consideration; or work where a specific research objective and the research design for 

accomplishing the objective are the same or closely related to another proposal or award, 

regardless of the funding source.

Federally Funded Award - A Phase I, Phase II (including a Phase II award under subsection (cc)),

or Phase III SBIR or STTR award made using a funding agreement.

Foreign Affiliation, see 15 U.S.C. § 638(e)(16) - A funded or unfunded academic, professional, or 

institutional appointment or position with a foreign government or government-owned entity, whether 

full-time, part-time, or voluntary (including adjunct, visiting, or honorary).

Foreign Country of Concern, see 15 U.S.C. § 638(e)(17) - The People’s Republic of China, the Democratic 

People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other country 

determined to be a country of concern by the Secretary of State.
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FY 2023 NIST Small Business Innovation Research Program Phase I

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Funding Agreement - Any contract, grant, or cooperative agreement entered into between any 

Federal agency and any SBC for the performance of experimental, developmental, or research 

work, including products or services, funded in whole or in part by the Federal Government.

Joint Venture – See 13 C.F.R. § 121.103(h).

Malign Foreign Talent Recruitment Program, see 15 U.S.C. § 638(e)(18), citing 42 U.S.C. § 19237 – Is –

(1) Any program, position, or activity that includes compensation in the form of cash, in-kind 

compensation, including research funding, promised future compensation, complimentary foreign 

travel, things of non de minimis value, honorific titles, career advancement opportunities, or other 

types of remuneration or consideration directly provided by a foreign country at any level (national, 

provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign 

country, whether or not directly sponsored by the foreign country, to the targeted individual, whether 

directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange 

for the individual—

(i) engaging in the unauthorized transfer of intellectual property, materials, data products, or 

other nonpublic information owned by a United States entity or developed with a Federal 

research and development award to the government of a foreign country or an entity based in, 

funded by, or affiliated with a foreign country regardless of whether that government or entity 

provided support for the development of the intellectual property, materials, or data products; 

(ii) being required to recruit trainees or researchers to enroll in such program, position, or 

activity; 

(iii) establishing a laboratory or company, accepting a faculty position, or undertaking any other 

employment or appointment in a foreign country or with an entity based in, funded by, or 

affiliated with a foreign country if such activities are in violation of the standard terms and 

conditions of a Federal research and development award; 

(iv) being unable to terminate the foreign talent recruitment program contract or agreement 

except in extraordinary circumstances; 

(v) through funding or effort related to the foreign talent recruitment program, being limited in 

the capacity to carry out a research and development award or required to engage in work that 

would result in substantial overlap or duplication with a Federal research and development 

award; 

(vi) being required to apply for and successfully receive funding from the sponsoring foreign 

government’s funding agencies with the sponsoring foreign organization as the recipient; 

(vii) being required to omit acknowledgment of the recipient institution with which the 

individual is affiliated, or the Federal research agency sponsoring the research and 

development award, contrary to the institutional policies or standard terms and conditions of 

the Federal research and development award; 

(viii) being required to not disclose to the Federal research agency or employing institution the 

participation of such individual in such program, position, or activity; or 

(ix) having a conflict of interest or conflict of commitment contrary to the standard terms and 

conditions of the Federal research and development award; and 

(2) a program that is sponsored by—
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FY 2023 NIST Small Business Innovation Research Program Phase I

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(i) a foreign country of concern or an entity based in a foreign country of concern, whether or 

not directly sponsored by the foreign country of concern; 

(ii) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain 

National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-

232); or 

(iii) a foreign talent recruitment program on the list developed under section 1286(c)(9) of the 

John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; 

Public Law 115-232).

Research or Research and Development (R/R&D) - Any activity that is:

(1) a systematic study directed toward greater knowledge or understanding of the 

subject studied;

(2) a systematic study directed specifically toward applying knowledge and 

innovation to meet a recognized but unmet need; or

(3) a systematic application of knowledge and innovation toward the production of useful 

materials, devices, and systems or methods, including design, development,

and improvement of prototypes and new processes to meet specific requirements.

Small Business Concern (SBC) – A concern that meets the SBIR/STTR program eligibility 

requirements set forth in 13 C.F.R. 121.702, “What size and eligibility standards are applicable to 

the SBIR and STTR programs?” (available at https://www.ecfr.gov/cgi-bin/textidx?SID=3ccaf429aac93292cdf7afdc1689514e&mc=true&node=se13.1.121_1702&rgn=div8.

Socially and Economically Disadvantaged SBC (SDB) - See 13 C.F.R. Part 124, Subpart B.

Socially and Economically Disadvantaged Individual - See 13 C.F.R. §§ 124.103 and 124.104.

Subaward, 2 CFR §200.1 - An award provided by a pass-through entity to a subrecipient for the 

subrecipient to carry out part of a Federal award received by the pass-through entity. It does not 

include payments to a contractor or payments to an individual that is a beneficiary of a Federal 

program. A subaward may be provided through any form of legal agreement, including an 

agreement that the pass-through entity considers a contract.

Women-Owned Small Business (WOSB) - An SBC that is at least 51% owned by one or more women, 

or in the case of any publicly owned business, at least 51% of the stock is owned by women, and 

women control the management and daily business operations.

(b) Definitions related to rights in data developed under the SBIR program. These definitions are 

also included in Section 5.04.02 of this NOFO.

All definitions below are excerpted from the SBA SBIR/STTR Policy Directive.

Computer Database - A collection of data recorded in a form capable of being processed by a computer. 
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The term does not include Computer Software.

Computer Programs - A set of instructions, rules, or routines recorded in a form that is capable 

of causing a computer to perform a specific operation or series of operations.

Computer Software - Computer programs, source code, source code listings, object code listings, 

design details, algorithms, processes, flow charts, formulae, and related material that would 

enable the software to be reproduced, recreated, or recompiled. Computer Software does not 

include Computer Databases or Computer Software Documentation.

Computer Software Documentation - Owner's manuals, user's manuals, installation

instructions, operating instructions, and other similar items, regardless of storage medium, that 

explain the capabilities of the Computer Software or provide instructions for using the software.

Data - All recorded information, regardless of the form or method of recording or the media 

on which it may be recorded. The term does not include information incidental to contract or 

grant administration, such as financial, administrative, cost or pricing or management 

information.

Form, Fit, and Function Data - Data relating to items, components, or processes that are 

sufficient to enable physical and functional interchangeability, and data identifying source, size, 

configuration, mating and attachment characteristics, functional characteristics, and 

performance requirements. For Computer Software it means data identifying source, functional 

characteristics, and performance requirements, but specifically excludes the source code, 

algorithms, processes, formulas, and flow charts of the software.

Government Purpose - Any activity in which the United States Government is a party, including 

cooperative agreements with international or multi-national defense organizations or sales or 

transfers by the United States Government to foreign governments or international 

organizations. Government Purposes include competitive procurement, but do not include the 

rights to use, modify, reproduce, release, perform, display, or disclose Technical Data or 

Computer Software for commercial purposes or authorize others to do so.

Operations, Maintenance, Installation, or Training Purposes (OMIT) Data - Data that is 

necessary for operation, maintenance, installation, or training purposes (but not including 

detailed manufacturing or process data).

SBIR/STTR Computer Software Rights - The Federal Government’s rights during the 

SBIR/STTR Protection Period in specific types of SBIR/STTR Data that are Computer 

Software.

(1) The Federal Government may use, modify, reproduce, release, perform, display, or 

disclose SBIR/STTR Data that are Computer Software within the Government. The Federal 

Government may exercise SBIR/STTR Computer Software Rights within the Government for:
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(i) Use in Federal Government computers;

(ii) Modification, adaptation, or combination with other Computer Software, provided that 

the Data incorporated into any derivative software are subject to the rights in § 3(ee) of 

the SBIR/STTR Policy Directive and that the derivative software is marked as containing 

SBIR/STTR Data;

(iii) Archive or backup; or

(iv) Distribution of a computer program to another Federal agency, without further 

permission of the Awardee, if the Awardee is notified of the distribution and the identity 

of the recipient prior to the distribution, and a copy of the SBIR/STTR Computer Software 

Rights included in the Funding Agreement is provided to the recipient.

(2) The Federal Government shall not release, disclose, or permit access to SBIR/STTR Data 

that is Computer Software for commercial, manufacturing, or procurement purposes 

without the written permission of the Awardee. The Federal Government shall not release, 

disclose, or permit access to SBIR/STTR Data outside the Government without the written 

permission of the Awardee unless:

(i) The non-Governmental entity has entered into a non-disclosure agreement with 

the Government that complies with the terms for such agreements outlined in § 8 of 

the SBIR/STTR Policy Directive; and

(ii) The release or disclosure is—

(A)To a Federal Government support service contractor or their subcontractor for 

purposes of supporting Government internal use or activities, including evaluation, 

diagnosis and correction of deficiencies, and adaptation, combination, or integration 

with other Computer Software provided that SBIR/STTR Data incorporated into any 

derivative software are subject to the rights in § 3(ee) of the SBIR/STTR Policy 

Directive; or

(B)Necessary to support certain narrowly-tailored essential Government activities for 

which law or regulation permits access of a non-Government entity to a contractors’ 

data developed exclusively at private expense, non-SBIR/STTR Data, such as for 

emergency repair and overhaul.

SBIR/STTR Data - All Data developed or generated in the performance of an SBIR or STTR 

award, including Technical Data and Computer Software developed or generated in the 

performance of an SBIR or STTR award. The term does not include information incidental 

to contract or grant administration, such as financial, administrative, cost or pricing or 

management information.
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SBIR/STTR Data Rights - The Federal Government’s license rights in properly marked 

SBIR/STTR Data during the SBIR/STTR Protection Period are as follows: SBIR/STTR Technical 

Data Rights in SBIR/STTR Data that are Technical Data or any other type of Data other than 

Computer Software; and SBIR/STTR Computer Software Rights in SBIR/STTR Data that is 

Computer Software. Upon expiration of the protection period for SBIR/STTR Data, the 

Federal 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. The Federal 

Government receives Unlimited Rights in Form Fit, and Function Data, OMIT Data, and all 

unmarked SBIR/STTR Data.

SBIR/STTR Protection Period - The period of time during which the Federal Government is 

obligated to protect SBIR/STTR Data against unauthorized use and disclosure in 

accordance with SBIR/STTR Data Rights. The SBIR/STTR Protection Period begins at award 

of an SBIR/STTR Funding Agreement and ends not less than twenty years from that date 

(See § 8(b)(4) of the SBIR/STTR Policy Directive).

SBIR/STTR Technical Data Rights - The Federal Government’s rights during the SBIR/STTR 

Protection Period in SBIR/STTR Data that are Technical Data or any other type of Data 

other than Computer Software.

(1) The Federal Government may, use, modify, reproduce, perform, display, release, 

or disclose SBIR/STTR Data that are Technical Data within the Government; however, 

the Government shall not use, release, or disclose the data for procurement, 

manufacturing, or commercial purposes; or release or disclose the SBIR/STTR Data 

outside the Government except as permitted by paragraph (2) below or by written 

permission of the Awardee.

(2) SBIR/STTR Data that are Technical Data may be released outside the Federal 

Government without any additional written permission of the Awardee only if the 

non-Governmental entity or foreign government has entered into a non-disclosure 

agreement with the Federal Government that complies with the terms for such 

agreements outlined in § 8 of the SBIR/STTR Policy Directive and the release is:

(i) Necessary to support certain narrowly tailored essential Government activities 

for which law or regulation permits access of a non-Government entity to a 

contractors’ data developed exclusively at private expense, non- SBIR/STTR Data, 

such as for emergency repair and overhaul;

(ii) To a Government support services contractor in the performance of a 

Government support services contract for internal Government use or activities, 

including evaluation, diagnosis or modification, provided that SBIR/STTR Technical 

Data incorporated into any derivative Data are subject to the rights in § 3(ii) of the 

SBIR/STTR Policy Directive, and the release is not for commercial purposes or 
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manufacture;

(iii) To a foreign government for purposes of information and evaluation if 

required to serve the interests of the U.S. Government; or

(iv) To non-Government entities or individuals for purposes of evaluation.

Technical Data - Recorded information, regardless of the form or method of the recording, 

of a scientific or technical nature (including Computer Software Documentation and 

Computer Databases). The term does not include Computer Software or financial, 

administrative, cost or pricing, or management information, or other data incidental to 

contract or grant administration. The term includes recorded Data of a scientific or technical 

nature that is included in Computer Databases.

Unlimited Rights - The Government’s rights to access, use, modify, prepare derivative works, 

reproduce, release, perform, display, disclose, or distribute Data in whole or in part, in any 

manner and for any purpose whatsoever, and to have or authorize others to do so.

1.06 Fraud, Waste and Abuse

As defined in the SBIR/STTR Policy Directive section 9(f), fraud includes any false representation 

about a material fact or any intentional deception designed to deprive the United States 

unlawfully of something of value or to secure from the United States a benefit, privilege, 

allowance, or consideration to which an individual or business is not entitled. Waste includes 

extravagant, careless, or needless expenditure of Government funds, or the consumption of 

Government property, that results from deficient practices, systems, controls, or decisions. Abuse 

includes any intentional or improper use of Government resources, such as misuse of rank, 

position, or authority or resources.

Examples of fraud, waste, and abuse relating to the SBIR/STTR Program include, but are not 

limited to:

(i) misrepresentations or material, factual omissions to obtain, or otherwise receive funding under, 

an SBIR/STTR award;

(ii) misrepresentations of the use of funds expended, work done, results achieved, or 

compliance with program requirements under an SBIR/STTR award;

(iii) misuse or conversion of SBIR/STTR award funds, including any use of award funds while not in 

full compliance with SBIR/STTR Program requirements, or failure to pay taxes due on misused or 

converted SBIR/STTR award funds;

(iv) fabrication, falsification, or plagiarism in applying for, carrying out, or reporting results from 

an SBIR/STTR award;
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(v) failure to comply with applicable federal costs principles governing an award;

(vi) extravagant, careless, or needless spending;

(vii) self-dealing, such as making a sub-award to an entity in which the Principal Investigator (PI) 

has a financial interest;

(viii) acceptance by agency personnel of bribes or gifts in exchange for grant or contract awards 

or other conflicts of interest that prevents the Government from getting the best value; and

(ix) lack of monitoring, or follow-up if questions arise, by agency personnel to ensure that 

awardee meets all required eligibility requirements, provides all required certifications, performs 

in accordance with the terms and conditions of the award, and performs all work proposed in the 

application.

Report any allegations of fraud, waste and abuse using the online Department of Commerce Office 

of Inspector General Complaint Form. Contact information for the Office of Inspector General is 

available at: https://www.oig.doc.gov/pages/Contact- Us.aspx. Please do not

include Personally Identifiable Information (PII) through the website. PII is considered to be items 

containing Social Security numbers, dates of birth, credit card and passport numbers, or other 

personally identifying information that could adversely affect an individual. Should you desire to 

provide this information, it is strongly recommended that you contact the Hotline by telephone at 

the number listed below.

Phone:

Toll Free 800-424-5197

Mail:

Office of Inspector General Hotline 

HCHB 7709

1401 Constitution Avenue, N.W. 

Washington, DC 20230

1.07 Other Information

1.07.01 Personal and Business Information

The applicant acknowledges and understands that information and data contained in applications 

for financial assistance, as well as information and data contained in financial, performance and 

other reports submitted by applicants, may be used by the Department of Commerce in conducting 

reviews and evaluations of its financial assistance programs. For this purpose, applicant 

information and data may be accessed, reviewed and evaluated by Department of Commerce 
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employees, other Federal employees, and also by Federal agents and contractors, and/or by nonFederal personnel, all of whom enter into appropriate conflict of interest and confidentiality 

agreements covering the use of such information. As may be provided in the terms and conditions 

of a specific financial assistance award, applicants are expected to support program reviews and 

evaluations by submitting required financial and performance information and data in an accurate 

and timely manner, and by cooperating with Department of Commerce and external program 

evaluators. In accordance with 2 C.F.R. § 200.303(e), applicants are reminded that they must take 

reasonable measures to safeguard protected personally identifiable information and other 

confidential or sensitive personal or business information created or obtained in connection with a 

Department of Commerce financial assistance award.

In addition, Department of Commerce regulations implementing the Freedom of Information Act 

(FOIA), 5 U.S.C. § 552, are found at 15 C.F.R. Part 4, Public Information. These regulations set forth 

rules for the Department regarding making requested materials, information, and records publicly 

available under the FOIA. Applications submitted in response to this Notice of Funding Opportunity 

may be subject to requests for release under the Act. In the event that an application contains 

information or data that the applicant deems to be confidential commercial information that 

should be exempt from disclosure under FOIA, that information should be identified, bracketed, 

and marked as Privileged, Confidential, Commercial or Financial Information. In accordance with 15 

CFR § 4.9, the Department of Commerce will protect from disclosure confidential business 

information contained in financial assistance applications and other documentation provided by 

applicants to the extent permitted by law.

2.0 CERTIFICATIONS AND RESEARCH INVOLVING HUMANS OR ANIMALS

2.01 Due Diligence Certification

The SBIR and STTR Extension Act of 2022, Pub. L. 117-183, requires that all agencies funding SBIR 

awards, including NIST, establish a due diligence program to assess security risks presented by 

small business concerns seeking a federally funded SBIR award. Specifically, NIST must assess the 

“cybersecurity practices, patent analysis, employee analysis, and foreign ownership of a small 

business concern seeking an award, including any financial ties and obligations (which shall include 

surety, equity, and debt obligations) of the small business concern and [its] employees . . . to a 

foreign country, foreign person, or foreign entity. . . ”. 15 U.S.C. § 638(vv)(2). NIST is prohibited 

from funding awards to businesses with specified relationships and commitments described in 15 

U.S.C. § 638(g)(15)(A) to foreign countries of concern that are determined to fall into one of the 

categories listed in 15 U.S.C. § 638(g)(15)(B).

As a result of these statutory requirements, all applicants must complete a certification that 

discloses the ownership, financial ties, technology licensing or intellectual sales, and other 

affiliations, as specified in 15 U.S.C. § 638(g)(13), to the People’s Republic of China, the Democratic 

People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, and/or any other 
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country determined to be a country of concern by the Secretary of State of concern prior to 

award, and as required during the life of the funding agreement. The certification is available in 

Appendix B of this NOFO.

2.02 Funding Agreement Certification

Awardees will be required to certify size, ownership and other SBIR Program requirements at the 

time of award and during the funding agreement life cycle using the SBIR Funding Agreement 

Certification and the SBIR Funding Agreement Certification – Life-Cycle Certification, which are 

provided in Appendix C of this NOFO.

2.03 Research Activities Involving Human Subjects, Human Tissue, Data or Recordings 

Involving Human Subjects Including Software Testing

This section summarizes the requirements for applications that potentially involve research involving 

human subjects. Additional information that describes the NIST review process for such applications 

and provides details regarding the documentation required is available here: 

https://www.nist.gov/oaam/nist-notice-funding-opportunity-requirements-human-subjects- and-livevertebrate-animal. Both this summary and the additional information provided at the link will be 

incorporated into any award made under this NOFO.

Any application that includes research activities involving human subjects, human tissue/cells, or data 

or recordings from or about human subjects must satisfy the requirements of the Common Rule for 

the Protection of Human Subjects (“Common Rule”), codified for the Department of Commerce at 15 

C.F.R. Part 27.

1 Research activities involving human subjects 

that fall within one or more of the classes of vulnerable subjects found in 45 C.F.R. Part 46, Subparts 

B, C and D must satisfy the requirements of the applicable subpart(s). In addition, any such 

application that includes research activities on these subjects must comply with all applicable 

statutory requirements imposed upon the Department of Health and Human Services (DHHS) and 

other Federal agencies, all regulations, policies and guidance adopted by DHHS, the Food and Drug 

Administration (FDA), and other Federal agencies on these topics, and all Executive Orders and 

Presidential statements of policy on applicable topics. The website of the Office of Human Research 

Protection (OHRP) in the DHHS contains the applicable regulatory, policy and guidance and (includes 

links to FDA, but may not include all applicable FDA regulations and policies.

If the application is accepted for [or awarded] funding, organizations that have an Institutional Review 

Board (IRB) are required to follow the procedures of their organization for approval of exempt and 

non-exempt research activities that involve human subjects. The IRB must be currently registered 

with OHRP that is linked to the engaged organization. Organizations that do not have an IRB must 

demonstrate the ability to expeditiously contract with a commercial IRB to conduct a review of the 

proposed activities. Also, all engaged organizations must possess a currently valid Federalwide 

1 NIST uses the Common Rule definitions for research and human subjects research contained in 15 C.F.R. § 27.102.
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Assurance (FWA) on file from OHRP. The NIST IRB is unable to serve as the IRB for financial assistance 

recipients.

The NIST Research Protections Office (RPO) reserves the right to conduct an administrative review of 

all applications that potentially include research involving human subjects and were approved by an 

authorized non-NIST institutional entity (an IRB or entity analogous to the NIST RPO) under 15 C.F.R. 

§ 27.112 (Review by Institution). Conducting an “administrative review” means that the NIST RPO will 

review and verify the performing institution’s determinations made under the Common Rule and all 

documentation that support such determinations.

All applications involving human subjects research must clearly indicate, by separable task, all 

research activities believed to be exempt or non-exempt research involving human subjects, the 

expected institution(s) where the research activities involving human subjects may be conducted, 

and the institution(s) expected to be engaged in the research activities. Some documents may be 

requested for a pre-review during the proposal review process; however, the Grants Officer may 

allow final versions of certain required documents to be produced at an appropriate designated time 

post-award. If an award is issued, no research activities involving live vertebrate animals shall be 

initiated or costs incurred for those activities under the award until the NIST Grants Officer issues 

written approval. In addition, all re-approvals, amendments, modifications, changes, annual reports 

and closure will be reviewed by NIST.

This summary and the information provided here https://www.nist.gov/oaam/nist-notice- fundingopportunity-requirements-human-subjects-and-live-vertebrate-animal reflect the existing NIST policy 

and requirements for Research Involving Human Subjects. Should the policy be revised prior to 

award, a clause reflecting the policy current at time of award may be incorporated into the award. If 

the policy is revised after award, a clause reflecting the updated policy may be incorporated into the 

award.

For more information regarding research projects involving human subjects, contact Anne Andrews, 

Director, NIST Research Protections Office (e-mail: anne.andrews@nist.gov; phone: (301) 975-5445).

2.04 Research Activities Involving Live Vertebrate Animals or Pre-Existing Cell 

Lines/Tissues From Vertebrate Animals

This section summarizes the requirements for applications that potentially involve research involving 

live vertebrate animals or pre-existing cell lines or tissues from vertebrate animals. Additional 

information that describes the NIST review process for such applications and provides details 

regarding the documentation required is available here: https://www.nist.gov/oaam/nist-noticefunding-opportunity-requirements-human-subjects- and-live-vertebrate-animal. Both this summary 

and the additional information provided at the link will be incorporated into any award made under 

this NOFO.

Any application that proposes research activities involving live vertebrate animals that are to be cared 

for, euthanized, or used by award recipients to accomplish research goals, teaching, or testing must 
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meet the requirements of the Animal Welfare Act (AWA) (7 U.S.C. § 2131 et seq.), and the AWA final 

rules (9 C.F.R. Parts 1, 2, and 3), and if appropriate, the Good Laboratory Practice for Nonclinical 

Laboratory Studies (21 C.F.R. Part 58). In addition, such research activities should be in compliance 

with the “U.S. Government Principles for Utilization and Care of Vertebrate Animals Used in Testing, 

Research, and Training” (Principles).

NIST reserves the right to conduct an administrative review of all applications that potentially include 

research activities that involve live vertebrate animals, or custom samples from, or field studies with 

live vertebrate animals. Conducting an “administrative review” means that the NIST RPO will review 

and verify the performing institution’s determinations made under the applicable legal and policy 

requirements and all documentation that support such determinations. Some documents may be 

requested for a pre-review during the proposal review process; however, the Grants Officer may 

allow final versions of certain required documents to be produced at an appropriate designated time 

post-award. If an award is issued, no research activities involving live vertebrate animals shall be 

initiated or costs incurred for those activities under the award until the NIST Grants Officer issues 

written approval. In addition, all re-approvals, amendments, modifications, changes, annual reports, 

and closure will be reviewed by NIST.

The applicant should clearly indicate in the application, by separable task, all research activities 

believed to include research involving live vertebrate animals and the institution(s) where the 

research activities involving live vertebrate animals may be conducted. In addition, the applicant 

should indicate any activity/task that involves an excluded or custom collection from vertebrate 

animals, or a field study with animals.

This summary and the information provided here https://www.nist.gov/oaam/nist-noticefunding-opportunity-requirements-human-subjects-and-live-vertebrate-animal reflect the 

existing NIST policy for Research Involving Live Vertebrate Animals. Should the policy be revised 

prior to award, a clause reflecting the policy current at time of award may be incorporated into 

the award. If the policy is revised after award, a clause reflecting the updated policy may be 

incorporated into the award.

For more information regarding research projects involving live vertebrate animals, contact Anne 

Andrews, Director, NIST Research Protections Office (e-mail: anne.andrews@nist.gov; phone: 301-

975-5445).

2.05 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid 

Federal Tax Assessments and Delinquent Federal Tax Returns

In accordance with Federal appropriations law, an authorized representative of the selected 

applicant(s) may be required to provide certain pre-award certifications regarding federal felony 

and federal criminal tax convictions, unpaid federal tax assessments, and delinquent federal tax 

returns.

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS
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3.01 Phase I Application Requirements

Only FY 2023 Phase I applications may be submitted in response to this NOFO. Phase II 

applications are not being accepted at this time. NIST publishes a Phase II NOFO approximately 

30 days prior to the end of the previous year’s Phase I period of performance to request Phase II 

applications. That NOFO provides instructions for Phase I awardees to prepare a Phase II 

application and the closing date for submission of applications. To reiterate, only the previous 

year’s Phase I awardees are eligible to submit a Phase II application.

The application 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 application must sufficiently identify and address a specific 

NIST technical program area that falls within one of the research areas described in Section 9.0 

or a NIST-patented technology available for licensing. The research must be directed towards 

development of a commercial product or service in the NIST program area. The application 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 area 

addressed by the application. Each application should be checked carefully by the applicant to 

ensure inclusion of all essential material needed for a complete evaluation (see Sections 4.02 and 

8.01).

The application must serve as the basis for technological innovation and lead to a new commercial 

product, process, or service that benefits the public.

NIST reserves the right to not submit an application for merit review if NIST determines that 

the application fails to comply with the administrative procedures as outlined in the applicable 

Screening Criteria in Section 4.02, or is missing any of the required forms and documents listed

in Section 8.01.

3.01.01 SBA Data Collection Requirement

All applicants are required to provide certain information for inclusion into SBA’s SBIR.gov database 

by completing the Company Commercialization Report (CCR).

The CCR allows applicants to report funding outcomes resulting from prior SBIR and STTR 

awards. SBIR and STTR awardees are required by the SBIR Policy Directive to update and 

maintain their organization’s CCR at www.SBIR.gov.

Each Phase II awardee is required to update appropriate information on the award in the database upon 

completion of the last program objective under the funding agreement and is requested to voluntarily 

update the information in the database annually thereafter for a minimum period of 5 years.

Applicants shall complete the CCR by logging into their company’s existing account or register for a 
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new account at www.SBIR.gov. Instructions for applicants to complete and include the CCR with its 

application are listed below.

1. Log into www.SBIR.gov.

2. Use the Login/Register prompt at the top of the home page to login to your existing account or to 

register and create a new account.

3. Navigate to My Dashboard > My Documents to view or print the information currently 

contained in the Company Registry Commercialization Report.

4. Create or update the commercialization record from the company dashboard by scrolling to the 

“My Commercialization” section and clicking the create/update Commercialization tab under 

“Current Report Version.” Please refer to the “Instructions” and “Guide” documents contained in this 

section of the Dashboard for details on completing and updating the CCR. Ensure the report is 

certified and submitted.

5. Click the “Company Commercialization Report” PDF under the My Documents section of the 

dashboard to download a PDF of the CCR.

6. Submit your CCR along with the proposal documents listed in Section 8.01 Required Fast- Track 

Forms and Documents, of this NOFO.

3.02 Phase I Application

A complete application must include a Technical Proposal (described below) and all other forms 

and documents listed in Section 8.01. An applicant may not submit multiple applications --

applications are limited to one proposal per SBC.

The Technical Proposal, both the Cover Sheet and Technical Content, is limited to 15 pages. The 

only exception to the 15-page limit is for applicants covered by the provision for Prior SBIR Phase II 

Awards (Section 3.02.02 (15)). Additional pages beyond the 15-page limit will not be considered in 

the evaluation process. Pages should be of standard size (8 1/2” x 11”; 21.6 cm x 27.9 cm) with 

margins of 2.5 cm and type at least 10-point font. All units of measurement should be presented in 

metric units.

The Technical Proposal portion of the application requires the following:

(a) Cover Sheet (3.02.01) pages 1 and 2, and

(b) Technical Content (3.02.02) pages 3 through 15.

The listing of all forms and documents needed to complete the application is given in Section 

8.01 of this NOFO. The additional required forms and documents in Section 8.01 are not included 

in the 15-page count.

See Section 6.0 for information on the submission of applications in response to this NOFO.

3.02.01 Cover Sheet

A completed Cover Sheet (see Appendix A of this NOFO) is a required part of the Technical Proposal. 

The Cover Sheet is counted as pages 1 and 2 of the Technical Proposal.
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If an applicant checks ‘Yes’ on #11, the applicant’s contact information will be provided to the 

NIST Hollings Manufacturing Extension Partnership (MEP). Such applicants may be contacted by 

your local MEP Center to explore a wide range of services and initiatives to help identify potential 

opportunities to accelerate and strengthen growth and competitiveness in the global 

marketplace for small and medium-sized manufacturers, including business-related support 

services that could potentially benefit the applicant’s proposed project.

The applicant must provide in the space available on the Cover Sheet an abstract (limited to 200 

words) and summary of potential commercial application of the research results (limited to 100 

words). Each applicant’s abstract and summary of potential commercial applications will be 

provided to the SBA and should not contain proprietary information.

Each awardee’s abstract and summary of potential commercial applications will be 

published on the NIST SBIR website and www.sbir.gov.

3.02.02 Technical Content

Beginning on page 3 of the Technical Proposal, include the following items with headings as shown:

(1) NIST Program Area or NIST-Patented Technology Available for Licensing. The first paragraph 

of the proposal must describe a research project that addresses a current NIST technical 

program area falling within one of the research areas identified in Section 9.0 or a research 

project that utilizes a NIST-patented technology available for licensing.

(a) Proposals addressing a commercialization opportunity related to a current NIST technical program 

area must identify the NIST program area and the specific NIST Laboratory performing the research. 

Simply providing a research area from Section 9.0 Research Areas, is not sufficient. Applicants may not 

cite programs describing NIST extramural activities such as those from the Manufacturing Extension 

Program; the Baldridge Performance Excellence Program; the Office of Advanced Manufacturing, 

AMTech, or Manufacturing USA. 

(b) Steps for selecting a research area that addresses a commercialization opportunity related to a 

current NIST technical program area are as follows:

1.Go to the NIST website.

2. Click on the “Topics” link to see current research at NIST.

3.Each topic will list current projects and programs under that topic.

4.Select the specific project or program you wish to address in your technical proposal along with 

the name of the specific laboratory performing the research.

NIST is interested in receiving proposals that will lead to commercial products. While the proposals 

must align with a NIST program area, the end product does not need to mimic closely any 

particular NIST project found within a NIST program area. For example, the NIST Material 

Measurement Laboratory has an active technical program area for creating methods for 

determining fatigue and fracture of structural materials. A specific project in that program area 

could be developing methods for determining the effect of hydrogen embrittlement on the fatigue 
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properties of steel. A proposal that aligns with the program area of (determining) fatigue and 

fracture of structural materials is sufficient; it does not need to apply directly to one of the specific 

projects listed within that program area.

(a) Proposals addressing a commercialization opportunity related to a NIST-patented 

technology that is available for licensing must cite the appropriate invention page from the

Federal Laboratory Consortium or cite a U.S. patent number, patent application number, or 

patent serial number for a NIST-owned patent. If information is needed regarding the 

availability of a particular NIST-owned patent for licensing, please contact Jacqueline Gray 

(jacqueline.gray@nist.gov) and include the patent identifying number in the communication, 

before submitting an application.

(2) 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 the research is important.

(3) Phase I Technical Objectives. State the specific objectives of the Phase I effort, including the 

technical questions it will try to answer, including plans for commercialization, to determine the 

feasibility of the proposed approach.

(4) Phase I Work Plan. Include a detailed description of the Phase I feasibility research plan. The 

plan should indicate what will be done, where it will be done, and how the research will be carried 

out. The method(s) planned to achieve each objective or task should be discussed in detail.

(5) Related R/R&D. Describe significant R/R&D that is directly related to the application, including 

any conducted by the principal investigator or by the proposing SBC. Describe how it relates to the 

proposed effort and describe any planned coordination with outside sources. The applicant must 

persuade evaluators of his or her awareness of key, recent R/R&D conducted by others in the 

specific topic area.

(6) Key Individuals and Bibliography of Related Work. Identify key individuals involved in Phase I, 

including their related education, experience, and publications. Where vitae are extensive, 

summaries that focus on the most relevant experience and publications are desired and may be 

necessary to meet application size limitations.

(7) Relationship with Future R/R&D. Discuss the significance of the Phase I effort in providing a 

foundation for the Phase II R/R&D effort. Also state the anticipated commercial results of the 

proposed approach.

(8) Facilities and Equipment. A description, availability, and location of instrumentation and 

physical facilities proposed for Phase I should be provided.

(9) Consultants, Contracts, and Subawards. The purpose of this section is to show that 

any third-party research assistance would materially benefit the proposed effort and that 
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arrangements for such assistance are in place at time of application submission.

For Phase I, a minimum of two-thirds of the research and/or analytical effort must be performed 

by the awardee. Outside involvement in the project is encouraged where it strengthens the 

conduct of the research. Outside involvement is not a requirement of this program and is limited 

to no more than one-third of the research and/or analytical effort in Phase I. The total cost for all 

consultant fees, facility leases, usage fees, and other subcontract/subaward or purchase 

agreements may not exceed one-third of the total award.

No individual or entity may serve as consultant, contractor, or subrecipient if they have been the 

recipient of any NIST information related to the research area that is not generally available to the 

public.

The applicant must also include Letters of Commitment from any participating consultants, 

subrecipients, or subcontractors. The Letters of Commitment are separate from the Technical 

Proposal and do not count against the page limit. See Section 8.01.15.

(10) Potential Commercial Application. A primary program goal is to provide opportunities for 

small businesses to convert research into technological innovation in the private sector. All 

proposed research should have a commercial outcome. Describe in detail the commercial potential 

of the proposed research, how commercialization would be pursued and potentially used by the 

private sector and/or the Federal Government. Include any optional letters of support and relevant 

supporting material such as references to journal articles, literature, or government publications. 

Provide any indicators of commercial potential and address the following:

(a) Market opportunity – Describe the current and anticipated target market, the size of the 

market, and include a brief profile of the potential customer(s).

(b) Technology and competition – Describe the competitive landscape, the value proposition and 

competitive advantage of the product or service enabled by the proposed innovation. Also include 

the critical milestones and pathway for commercial deployment of the proposed product or 

service.

(c) Finances – Describe your strategy for financing the innovation beyond the SBIR award. 

Describe the existence of any outside, non-SBIR funding or partnering commitments including 

any Phase II funding commitments from private sector or non-SBIR funding sources and/or the 

existence of Phase III follow-on commitments for the subject research.

(d) Benefits - Describe the anticipated commercial benefits of the resulting product or 

service.

(e) Experience - Describe your record of commercializing SBIR or another research. Include any 

additional indicators of the commercial potential of the idea.
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(11) Cooperative Research and Development Agreements (CRADA). State if the applicant 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. The statement of work of an SBIR 

award awarded under this NOFO cannot overlap with the statement of work of an existing CRADA 

with any federal agency, including NIST, with the awardee. NIST will consider whether there is any 

overlap on a case-by-case basis.

(12) Guest Researcher. State if the applicant, any of the applicant’s employees, or any of its 

consultants, contractors, or subrecipients or their employees is a domestic or foreign guest 

researcher at NIST (see http://www.nist.gov/tpo/collaborations/guestresearchers.cfm), naming the 

sponsoring NIST laboratory.

(13) Cost Sharing. Cost sharing is not required and is not considered during the evaluation 

process for Phase I applications.

(14) Similar Applications or Awards. WARNING -- While it is permissible to submit identical 

applications or applications containing a significant amount of essentially equivalent work for 

consideration under numerous Federal program funding announcements, it is unlawful to enter 

into a funding agreement requiring essentially equivalent work to an SBIR award (see 15 U.S.C. § 

638(bb)(3)). If there is any question concerning this, it must be disclosed to the soliciting agency or 

agencies before award.

If an application submitted in response to this NOFO is substantially the same as another application 

that has been funded, is now being funded, or is pending with another Federal Agency, the applicant 

must provide the following information:

(a) Names and addresses of agencies to which an application was submitted or from which an 

award was received.

(b) Date of application submission or date of award.

(c) Title, number, and date of NOFO(s) under which an application was submitted or award 

received.

(d) Specific applicable research topic(s) for each application submitted or award received.

(e) Title of research projects for each application submitted or award received.

(f) Name and title of principal investigator or project manager for each application 

submitted or award received.

If no equivalent application is under consideration or award for equivalent work received, a 

statement to that effect must be included in this section of the technical content area of the 

application.
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(15) Prior SBIR Phase II Awards. If the SBC has received more than 15 Phase II awards in the prior 

5 fiscal years, the SBC must submit the following information in its Phase I application: name of 

the awarding agency; date of award; funding agreement number; amount of award; topic, 

subtopic, or research area title; follow-on agreement amount; source and date of commitment; 

and current commercialization status for each Phase II award. This required information will not 

be counted toward the 15-page Technical Proposal limitation.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.01 Introduction

All applications will be evaluated and judged on a competitive basis. Applications will be initially 

screened to determine eligibility, completeness, and responsiveness to this NOFO (see Sections 

4.02 and 8.01). Applications passing the initial screening will be evaluated in accordance with the 

evaluation criteria (see Section 4.03). Each application will be judged on its own merit.

NIST is under no obligation to fund any application or any specific number of applications in a given 

topic. NIST may elect to fund several or none of the applications for the same research area. If an 

application is submitted that requires a license to use a NIST-owned invention covered by a patent 

or patent application and such NIST-owned invention has become unavailable for licensing prior to 

the close of this NOFO in the field of use relevant to the application, NIST has the sole discretion to 

deem the application ineligible.

4.02 Phase I Screening Criteria

Please carefully read the entire NOFO and review the following Phase I Screening Criteria to assure 

that your application meets NIST requirements. Phase I applications that do not clearly satisfy all 

nine (9) of the screening criteria will be eliminated from the review and selection process and not 

receive further consideration. However, NIST, in its sole discretion, may continue the review 

process for an application that is missing minor non- substantive information, the absence of which 

may easily be rectified.

The screening criteria are:

(1) The application must be received by NIST before the deadline specified in Section 6.01.

(2) The proposing firm must qualify as eligible according to the criteria provided in Section 1.03.

(3) The Phase I application must include all required forms and documents listed in Section 8.01:

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

ii) Research and Related Budget (Total Fed + Non-Fed)
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iii) CD-511, Certification Regarding Lobbying

iv) Research and Related Other Project Information

v) SF-LLL – Disclosure of Lobbying Activities (if applicable)

vi) Technical Content – see Section 3.02

a. Cover Sheet – see Section 3.02.01

b. Technical Proposal – see Section 3.02.02

vii) Budget Narrative and Justification – see Section 8.01.7

viii) Indirect Cost Rate Agreement – see Section 8.01.8

ix) SBA Company Registry Form – see Section 8.01.9

x) Data Management Plan -see Section 8.01.10

xi) Subaward Budget Form - see Section 8.01.11

xii) Research and Related Personal Data – see Section 8.01.12

xiii) Current and Pending Support Form – see Section 8.01.13

xiv) Compliance with SBIR Program Requirements, Applicant Fraud Awareness Training –

Certificate of Training Completion – see Section 8.01.14

xv) Letters of Commitment – see Section 8.01.15

xvi) Company Commercialization Report (CCR) – see Section 8.01.16

(4) The Technical Content must not exceed 15 pages including optional letters of support.

(5) The Phase I application must be submitted under one of the seven (7) research areas listed in 

Section 9 of this NOFO, or, submitted under a NIST patented technology that is available for licensing. 

NIST patented technologies can be located at https://federallabs.org/labs/national- institute-ofstandards-and-technology-nist-0. Applicants’ proposals must clearly address either option selected.

(6) The Phase I total proposed project budget must not exceed $100,000. Up to an additional 

$6,500 may be requested for TABA. NIST’s inclusion of TABA funds in the award will be subject to 

the availability of NIST funding. For Phase I, a minimum of two-thirds of the research and/or 

analytical effort must be performed by the awardee. The total cost for all consultant fees, facility 

leases, usage fees, and other subcontract/subaward or purchase agreements may not exceed 

one-third of the total award (Section 1.03).

(7) The feasibility research duration for the Phase I project must not exceed 6 months. If an 

application is submitted that requires a license to use a NIST-owned invention covered by a 

patent or patent application, the relevant NIST-owned invention must be available for licensing 

prior to the close of this NOFO in the field of use relevant to the application.

(8) The Phase I application must include the applicant’s discussion regarding commercialization within 

the 15-page technical proposal (Sections 3.02.02(3) and 3.02.02.(10)); a separate commercialization 

plan is not required.

4.03 Phase I Evaluation Criteria

Phase I applications that satisfy the screening criteria in Section 4.02 will proceed to a scored 
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merit review process.

Merit Review. The applications will be evaluated by at least three (3) reviewers 

composed of NIST staff or non-federal personnel in accordance with the following 

weighted criteria for a maximum of 100 points. Reviewers may discuss the applications 

with each other, but scores will be determined on an individual basis. The reviewers 

will evaluate:

(1) The degree to which the proposed technical approach is comprehensive, feasible, and 

demonstrates a clear understanding of the research area. (20 points)

(2) The appropriateness of the qualifications and extent of the experience of the proposed 

principal/key investigators, supporting staff, and consultants as they relate to accomplishing the 

proposed research effort. In addition, reviewers will evaluate, as applicable, the extent to which 

the applicant has access to the facilities and equipment necessary to complete the proposed 

research. (5 points)

(3) The likelihood that the proposed research program will lead to a successful product or 

service with a viable pathway for commercial deployment as described in the applicant’s 

commercialization discussion. (30 points)

(4) The magnitude of the anticipated commercial benefits of the resulting product or 

service. (25 points)

(5) The extent to which the proposed commercial product or service relates to the goals of a NIST 

technical program and the NIST mission available at www.nist.gov/about-nist. (20 points)

4.04 Phase I Award Selections

Final selection decisions will be made by the Selecting Official, the Director of the NIST Technology 

Partnerships Office, or designee.

The Selecting Official shall select awards in rank order unless a selection out of rank order is 

justified based upon any of the following factors:

(1) Diversity across NIST program areas;

(2) Proposed projects that include SBIR high priority areas of manufacturing and energy 

efficiency research;

(3) Proposed projects that include participation by women and socially and economically 

disadvantaged SBCs, and SBCs from HUBZones or underserved-states;

(4) Applicants that have received fewer than 20 SBIR awards in the past;

(5) Possible duplication of other federally-funded research; and

(6) Availability of funding.

NIST may select some, all, or none of the applications, or part(s) of any particular application. Prior 
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to issuing an award, NIST may ask for supplemental information and may negotiate the scope and 

amount of the award. The final approval of selected applications and issuance of awards will be by 

the NIST Grants Officer. The award decisions of the NIST Grants Officer are final.

4.04.01 Federal Awarding Agency Review of Risk Posed by Applicants

After applications are proposed for funding by the Selecting Official, the NIST Grants Management 

Division (GMD) performs pre-award risk assessments in accordance with 2

C.F.R. § 200.206, which may include a review of the financial stability of an applicant, the quality 

of the applicant’s management systems, the history of performance, and/or the applicant’s ability 

to effectively implement statutory, regulatory, or other requirements imposed on non-Federal 

entities.

Review of applications, selection of successful applicants, and award processing is expected to be 

completed by June 2023. The earliest start date for awards under this NOFO is expected to be June 

2023.

In addition, prior to making an award where the total Federal share is expected to exceed the 

simplified acquisition threshold (currently $250,000), NIST GMD will review and consider the publicly 

available information about that applicant in the Federal Awardee Performance and Integrity 

Information System (FAPIIS). An applicant may, at its discretion, review and comment on 

information about itself previously entered into FAPIIS by a Federal awarding agency. As part of its 

review of risk posed by applicants, NIST GMD will consider any comments made by the applicant in 

FAPIIS in making its determination about the applicant’s

integrity, business ethics, and record of performance under Federal awards. Upon completion of the 

pre-award risk assessment, the Grants Officer will make a responsibility determination concerning 

whether the applicant is qualified to receive the subject award and, if so, whether appropriate 

specific conditions that correspond to the degree of risk posed by the applicant should be applied to 

an award.

4.04.02 Release of Proposal Review Information

After final award decisions have been announced, a summary of the merit evaluations of 

applications that passed the screening criteria will be provided to the applicant with written 

notification of award/non-award. The identity of the reviewers will not be disclosed.

5.0 CONSIDERATIONS

5.01 Awards

Through 2 C.F.R. § 1327.101, the Department of Commerce adopted Uniform Administrative 

Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 C.F.R. Part 

200, which apply to awards in this program.
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The Department of Commerce will apply to all awards made under this NOFO the Financial

Assistance Standard Terms and Conditions in effect on the date of award. The current version is 

dated November 12, 2020.

The Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative 

Agreements, 79 FR 78390 (December 30, 2014), are applicable to this NOFO.

Contingent upon availability of funds, NIST anticipates making a total number of approximately 

ten (10) Phase I awards with a project budget of no more than

$100,000 each. Up to an additional $6,500 may be included in each award for TABA. NIST’s 

inclusion of TABA funds in the award will be subject to the availability of NIST funding. The total 

performance period shall be no more than seven (7) months beginning on the agreement 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. The funding vehicles for NIST’s SBIR program in both Phase I 

and Phase II are cooperative agreements.

Phase II awards shall be for no more than $400,000. The R&D activity period of performance in Phase II 

will depend upon the scope of the research but should not exceed 24 months. One year after 

completing the R&D activity, the awardee shall be required to report on its commercialization 

activities. The total period of performance for Phase II is 36 months.

It is anticipated that approximately half of the Phase I awardees will receive Phase II awards, 

depending upon the availability of funds. To provide for an in-depth review of the Phase I final 

report and the Phase II application, Phase II awards will be made approximately 4 months after the 

completion of Phase I, contingent upon availability of funds.

In no event will NIST or the Department of Commerce be responsible for application preparation 

costs. This NOFO does not obligate NIST or the Department of Commerce to make any awards 

under either Phase I or Phase II. Furthermore, NIST will not fund any costs incurred by the 

applicants before awards are made. Publication of this NOFO does not oblige NIST or the 

Department of Commerce to award any specific project or to obligate any available funds.

5.02 Reporting Requirements

Phase I awardees will be required to submit a Research Performance Progress Report (RPPR), 

covering the award’s first three months, prior to the end of the fourth month of the period of 

performance, and a final report seven months after the start of the award. Publication citation 

information as well as links to publicly available data or revised Data Management Plans (DMP) 

shall be submitted as soon as they become available.

The RPPR should include a response to each of the metric questions that address the technical 

details regarding the research conducted up to that point in the project, detailed plans for the next 

stages of the project, results obtained, estimates of technical feasibility, a description of TABA 

services provided, and the benefits and results of TABA services provided for those awardees who 
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requested and were approved for TABA services.

Consideration will be given to changes from the solicited and proposed milestones if results from 

experimentation warrant a deviation from the plan. Inclusion of proprietary information within the 

RPPRs may be necessary in order to effectively communicate progress and gain appropriate 

consultation from NIST experts regarding next steps. All such proprietary information must be 

marked by the awardee according to instructions provided in Section 5.04.01.

To help assess the effectiveness of our program in meeting programmatic and SBIR objectives, NIST 

may periodically request information from small businesses about progress taken towards 

commercialization of the technology after the completion of Phase I and II awards.

5.03 Payment Schedule

Cooperative agreements will include an award term with electronic payment system information. 

Pursuant to 2 C.F.R. § 200.305 awardees are to be paid in advance, provided they maintain or 

demonstrate the willingness to maintain: written procedures that minimize the time elapsing 

between the transfer of funds and disbursement by the recipient, and financial management 

systems that meet the standards for fund control and accountability as established in 2 C.F.R. § 

200.302. Advances of funds to a recipient organization shall be limited to the minimum amounts 

needed and be timed to be in accordance with the actual, immediate cash requirements of the 

recipient organization in carrying out the purpose of the approved program or project.

The Department of Commerce policy requires that in the usual case, non-Federal entities time 

advance payment requests so that Federal funds are on hand for a maximum of 30 calendar days 

before being disbursed by the non-Federal entity for eligible award costs. 

5.04 Innovations, Inventions and Patents

5.04.01 Proprietary Information Contained in Proposals

Information contained in unsuccessful applications will remain the property of the applicant. 

Unsuccessful applications will be retained in accordance with the General Record Schedule 1.2/021. 

The Federal Government may, however, retain copies of all applications. Public release of 

information in any application submitted will be subject to existing statutory and regulatory 

requirements. Applicants are discouraged from submitting proprietary information unless the 

information is deemed essential for proper evaluation of the application. If proprietary information 

provided by an applicant in a proposal, which constitutes a trade secret, proprietary commercial or 

financial information, confidential personal information, or data affecting national security, it will be 

treated in confidence to the extent permitted by law, provided that the proposal is clearly marked 

by the applicant as follows:

(A) The following legend must appear on the title page of the proposal:
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This proposal contains information that shall not be disclosed outside the Federal Government 

and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than 

evaluation of this proposal, unless authorized by law. The Government shall have the right to 

duplicate, use, or disclose the data to the extent provided in the resulting award if award is made 

as a result of the submission of this proposal. The information subject to these restrictions are 

contained on all pages of the proposal except for pages [insert page number or other 

identification of pages that contain no restricted information.]

(End of Legend); and

(B) The following legend must appear on each page of the proposal that contains information the 

applicant wishes to protect:

Use or disclosure of information contained on this sheet is subject to the restriction on the title page of 

this proposal.

The use of any other legend is unacceptable to the Government and may constitute grounds for 

removing the application from further consideration without assuming any liability for inadvertent 

disclosure.

5.04.02 Rights in Data Developed Under SBIR Funding Agreements

In lieu of the Department of Commerce Financial Assistance Standard Terms and Conditions, 

Section C.03, Intellectual Property Rights, the following terms and conditions will apply to and be 

included in all SBIR awards issued under this NOFO:

(a) Definitions. All definitions below are excerpted from the SBA SBIR/STTR Policy

Directive.

(1) Computer Database. A collection of data recorded in a form capable of being processed by a 

computer. The term does not include Computer Software.

(2) Computer Programs. A set of instructions, rules, or routines recorded in a form that is

capable of causing a computer to perform a specific operation or series of operations.

(3) Computer Software. Computer programs, source code, source code listings, object code 

listings, design details, algorithms, processes, flow charts, formulae, and related material that 

would enable the software to be reproduced, recreated, or recompiled. Computer Software does 

not include Computer Databases or Computer Software Documentation.

(4) Computer Software Documentation. Owner's manuals, user's manuals, installation 

instructions, operating instructions, and other similar items, regardless of storage medium, that 

explain the capabilities of the Computer Software or provide instructions for using the software.
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(5) Data. All recorded information, regardless of the form or method of recording or the media 

on which it may be recorded. The term does not include information incidental to contract or 

grant administration, such as financial, administrative, cost or pricing or management 

information.

(6) Form, Fit, and Function Data. Data relating to items, components, or processes that are 

sufficient to enable physical and functional interchangeability, and data identifying source, 

size, configuration, mating and attachment characteristics, functional characteristics, and 

performance requirements. For Computer Software it means data identifying source, 

functional characteristics, and performance requirements, but specifically excludes the source 

code, algorithms, processes, formulas, and flow charts of the software.

(7) Government Purpose. Any activity in which the United States Government is a party, 

including cooperative agreements with international or multi-national defense organizations or 

sales or transfers by the United States Government to foreign governments or international 

organizations. Government Purposes include competitive procurement, but do not include the 

rights to use, modify, reproduce, release, perform, display, or disclose Technical Data or 

Computer Software for commercial purposes or authorize others to do so.

(8) Operations, Maintenance, Installation, or Training Purposes (OMIT) Data. Data that is 

necessary for operation, maintenance, installation, or training purposes (but not including 

detailed manufacturing or process data).

(9) SBIR/STTR Computer Software Rights. The Federal Government’s rights during the 

SBIR/STTR Protection Period in specific types of SBIR/STTR Data that are Computer Software.

(i) The Federal Government may use, modify, reproduce, release, perform, display, or 

disclose SBIR/STTR Data that are Computer Software within the Government. The Federal 

Government may exercise SBIR/STTR Computer Software Rights within the Government 

for: Use in Federal Government computers;

(ii) Modification, adaptation, or combination with other Computer Software, provided that 

the Data incorporated into any derivative software are subject to the rights in § 3(ee) of 

the SBIR/STTR Policy Directive and that the derivative software is marked as containing 

SBIR/STTR Data;

(iii) Archive or backup; or

(iv) Distribution of a computer program to another Federal agency, without further 

permission of the Awardee, if the Awardee is notified of the distribution and the identity 

of the recipient prior to the distribution, and a copy of the SBIR/STTR Computer Software 

Rights included in the Funding Agreement is provided to the recipient.

(2) The Federal Government shall not release, disclose, or permit access to SBIR/STTR Data 
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that is Computer Software for commercial, manufacturing, or procurement purposes 

without the written permission of the Awardee. The Federal Government shall not release, 

disclose, or permit access to SBIR/STTR Data outside the Government without the written 

permission of the Awardee unless:

(i) The non-Governmental entity has entered into a non-disclosure agreement with 

the Government that complies with the terms for such agreements outlined in § 8 of 

the SBIR/STTR Policy Directive; and

(ii) The release or disclosure is—

(A) To a Federal Government support service contractor or their subcontractor for 

purposes of supporting Government internal use or activities, including evaluation, 

diagnosis and correction of deficiencies, and adaptation, combination, or integration 

with other Computer Software provided that SBIR/STTR Data incorporated into any 

derivative software are subject to the rights in § 3(ee) of the SBIR/STTR Policy 

Directive; or

(10) Necessary to support certain narrowly tailored essential Government activities for 

which law or regulation permits access of a non-Government entity to a contractors’ data 

developed exclusively at private expense, non-SBIR/STTR Data, such as for emergency 

repair and overhaul. SBIR/STTR Data. All Data developed or generated in the performance 

of an SBIR or STTR award, including Technical Data and Computer Software developed or 

generated in the performance of an SBIR or STTR award. The term does not include 

information incidental to contract or grant administration, such as financial, 

administrative, cost or pricing or management information.

(11) SBIR/STTR Data Rights. The Federal Government’s license rights in properly marked 

SBIR/STTR Data during the SBIR/STTR Protection Period are as follows: SBIR/STTR Technical 

Data Rights in SBIR/STTR Data that are Technical Data or any other type of Data other than 

Computer Software; and SBIR/STTR Computer Software Rights in SBIR/STTR Data that is 

Computer Software. Upon expiration of the protection period for SBIR/STTR Data, the 

Federal 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. The Federal 

Government receives Unlimited Rights in Form Fit, and Function Data, OMIT Data, and all 

unmarked SBIR/STTR Data.

(12) SBIR/STTR Protection Period. The period of time during which the Federal 

Government is obligated to protect SBIR/STTR Data against unauthorized use and 

disclosure in accordance with SBIR/STTR Data Rights. The SBIR/STTR Protection Period 

begins at award of an SBIR/STTR Funding Agreement and ends not less than twenty years 

from that date (See § 8(b)(4) of the SBIR/STTR Policy Directive).
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(13) SBIR/STTR Technical Data Rights. The Federal Government’s rights during the 

SBIR/STTR Protection Period in SBIR/STTR Data that are Technical Data or any other type 

of Data other than Computer Software.

(1) The Federal Government may, use, modify, reproduce, perform, display, release, 

or disclose SBIR/STTR Data that are Technical Data within the Government; however, 

the Government shall not use, release, or disclose the data for procurement, 

manufacturing, or commercial purposes; or release or disclose the SBIR/STTR Data 

outside the Government except as permitted by paragraph (B) below or by written 

permission of the Awardee.

(2) SBIR/STTR Data that are Technical Data may be released outside the Federal 

Government without any additional written permission of the Awardee only if the nonGovernmental entity or foreign government has entered into a non-disclosure 

agreement with the Federal Government that complies with the terms for such 

agreements outlined in § 8 of the SBIR/STTR Policy Directive and the release is:

(i) Necessary to support certain narrowly tailored essential Government activities 

for which law or regulation permits access of a non-Government entity to a 

contractors’ data developed exclusively at private expense, non- SBIR/STTR Data, 

such as for emergency repair and overhaul;

(ii) To a government support services contractor in the performance of a government 

support services contract for internal Government use or activities, including 

evaluation, diagnosis or modification, provided that SBIR/STTR Technical Data 

incorporated into any derivative Data are subject to the rights in § 3(ii) of the 

SBIR/STTR Policy Directive, and the release is not for commercial purposes or 

manufacture;

(iii) To a foreign government for purposes of information and evaluation if 

required to serve the interests of the U.S. Government; or

(iv) To non-Government entities or individuals for purposes of evaluation.

(14) Technical Data. Recorded information, regardless of the form or method of the 

recording, of a scientific or technical nature (including Computer Software Documentation 

and Computer Databases). The term does not include Computer Software or financial, 

administrative, cost or pricing, or management information, or other data incidental to 

contract or grant administration. The term includes recorded Data of a scientific or technical 

nature that is included in Computer Databases.

(15) Unlimited Rights. The Government’s rights to access, use, modify, prepare derivative 

works, reproduce, release, perform, display, disclose, or distribute Data in whole or in part, 

in any manner and for any purpose whatsoever, and to have or authorize others to do so.
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(b) Allocation of SBIR/STTR Data Rights.

(1) An SBC retains ownership of all SBIR/STTR Data it develops or generates in the 

performance of an SBIR/STTR award. The SBC retains all rights in SBIR/STTR Data that are 

not granted to the Federal Government in accordance with the SBIR/STTR Policy 

Directive. These rights of the SBC do not expire. During the SBIR/STTR Protection Period, 

the Federal Government receives SBIR/STTR Technical Data

Rights in appropriately marked SBIR/STTR Data that is Technical Data or any other type of 

Data other than Computer Software; and SBIR/STTR Computer Software Rights in 

appropriately marked SBIR/STTR Data that is Computer Software.

(2) After the protection period, the Federal Government may use, and authorize others 

to use on its behalf, for Government Purposes, SBIR/STTR Data that was protected 

during the SBIR/STTR Protection Period. Awards issued by the U.S. Department of 

Energy are subject to Unlimited Rights after the expiration of the SBIR/STTR Protection 

Period.

(3) The Federal Government receives Unlimited Rights in Form Fit, and Function Data, OMIT 

Data, and all unmarked SBIR/STTR Data.

(c) Identification and Delivery of SBIR/STTR Data. Any SBIR/STTR Data delivered by the Awardee, 

and in which the Awardee intends to limit the Federal Government’s rights to SBIR/STTR Data 

Rights, must be delivered with restrictive markings. The Federal Government assumes no 

liability for the access, use, modification, reproduction, release, performance, display, 

disclosure, or distribution of SBIR/STTR Data without markings. The Awardee or its 

subcontractors or suppliers shall conspicuously and legibly mark all such SBIR/STTR Data with 

the appropriate legend.

(1) The authorized legend shall be placed on each page of the SBIR/STTR Data. If only portions of 

a page are subject to the asserted restrictions, the SBIR/STTR Awardee shall identify the restricted 

portions (e.g., by circling or underscoring with a note or other appropriate identifier). With respect 

to SBIR/STTR Data embodied in Computer Software, the legend shall be placed on: (1) the printed 

material or media containing the Computer Software; or (2) the transmittal document or storage 

container. The legend shall read as follows:

“SBIR/STTR DATA RIGHTS

Funding Agreement No.

Award Date

SBIR/STTR Protection Period

SBIR/STTR Awardee

SBIR/STTR Awardee Address

This is SBIR/STTR Data (or is Computer Software or a Prototype that embodies or includes 
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SBIR/STTR Data) to which the SBIR/STTR Awardee has SBIR/STTR Data Rights and to which the 

Federal Government has received SBIR/STTR Technical Data Rights (or SBIR/STTR Computer 

Software Rights) during the SBIR/STTR Protection Period and rights of use for Government 

Purposes after the SBIR/STTR Protection Period, as those terms are defined in the SBIR/STTR 

Funding Agreement. Awards issued by the U.S. Department of Energy are subject to Unlimited 

Rights after the SBIR/STTR Protection Period, as that term is defined in the SBIR/STTR Funding 

Agreement. Any reproduction of SBIR/STTR Data or portions of such data marked with this 

legend must also reproduce the markings.”

(End of Legend)

(2) Data submitted without correct or appropriate markings may be corrected within6 

months from the date the data is delivered.

(d) Relation to patents. Nothing regarding SBIR/STTR Data Rights in this clause shall imply a license 

to or imply a requirement to license to the Federal Government any patent to a Subject Invention 

(as defined under the Bayh-Dole Act implemented at 37 CFR 401) made under an SBIR/STTR award.

(e) Copyright.

(1) Data first produced in the performance of this award.

(i) Except as otherwise specifically provided in this award, the Awardee may assert 

copyright subsisting in any data first produced in the performance of this award.

(ii) When asserting copyright, the Awardee shall affix the applicable copyright notice of 

17 U.S.C. § 401 or § 402 and an acknowledgment of Government sponsorship (including 

award number).

For data other than computer software, the Awardee grants 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 

Awardee grants to the Government, and others acting on its behalf, a paid-up, 

nonexclusive, irrevocable, worldwide license in such copyrighted computer software to 

reproduce, prepare derivative works, and perform publicly and display publicly, by or on 

behalf of the Government.

(2) Data not first produced in the performance of this award. The Awardee shall not, without 

prior written permission of the Grants Officer, incorporate in data delivered under this award 

any data that are not first produced in the performance of this award unless the Awardee: (i) 

identifies such data; and (ii) grants to the Government, or acquires on its behalf, a license of the 

same scope as set forth in subparagraph (c)(1) of this clause.

(3) Removal of copyright notices. The Government will not remove any copyright notices 

placed on data pursuant to this paragraph (c)) and will include such notices on all 

reproductions of the data.
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(End of Clause)

5.04.03 NIST-Owned Inventions

Awardees will not have any automatic rights to make, use or sell products or services 

incorporating NIST-owned inventions. For any SBIR award that requires a license to use a NISTowned invention covered by a patent or patent application, the SBIR awardee will be required to 

contact NIST’s Technology Partnerships Office for a patent license for research or for commercial 

use.

To the extent that such NIST-owned invention is available for licensing and has not otherwise 

been exclusively licensed to another party, the SBIR awardee will be granted a non-exclusive 

research license and will be given the opportunity to negotiate a non- exclusive or an exclusive 

commercialization license to the NIST-owned invention, in accordance with the Federal patent 

licensing regulations, set forth in 37 C.F.R. Part 404.

5.04.04 Patent Rights

Normally, SBCs may retain worldwide patent rights to any invention developed with Federal support. 

The specific requirements governing the development, reporting, and disposition of rights to 

inventions and patents resulting from Federal awards are described in more detail in 37 C.F.R. Part 

401, which implements 35 U.S.C. § 202 through 204 and includes standard patent rights clauses in 37 

C.F.R. § 401.14, which are incorporated by reference into all awards.

5.04.05 Invention Reporting

SBIR awardees must report inventions to the NIST SBIR Program Office within 2 months of the 

inventor’s report to the awardee. Inventions must also be reported through the iEdison Invention 

Reporting System at www.iedison.gov.

5.05 Cost Sharing

Cost sharing is permitted for applications under this program NOFO; however, cost sharing is not 

required and will not be considered in evaluation of applications.

5.06 Profit or Fee

A reasonable profit or fee not to exceed 7% of the sum of the direct and indirect costs is 

allowed.

5.07 Joint Ventures or Limited Partnerships
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Joint ventures and limited partnerships are eligible provided the entity created qualifies as an SBC as 

defined in this NOFO.

5.08 Research and Analytical Work

For Phase I, a minimum of two-thirds of the research and/or analytical effort, per Section 1.03, 

must be performed by the proposing SBC. The total cost for all consultant fees, facility leases, 

usage fees, and other subcontract/subaward or purchase agreements may not exceed one-third of 

the total award. For Phase II, a minimum of one-half of the research and/or analytical effort, per 

Section 1.03, must be performed by the applicant. The total cost for all consultant fees, facility 

leases, usage fees, and other subcontract/subaward or purchase agreements may not exceed onehalf of the total award.

5.09 Awardee Commitments

Upon award of a funding agreement, the awardee will be required to make certain legal 

commitments through acceptance of numerous Specific Award Conditions (SAC) in the funding 

agreement. Awards also will be governed by the Department of Commerce Financial Assistance 

Standard Terms and Conditions (November 12, 2020 or successor version); the Uniform 

Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 

C.F.R. Part 200, adopted by the Commerce Department through 2 C.F.R. § 1327.101; when 

applicable, 48 C.F.R. Subpart 31.2, Contracts with Commercial Organizations; and the Department 

of Commerce Pre-Award Notification Requirements for Grants and Cooperative Agreements, 79 FR 

78390 (December 30, 2014).

Section 5.10 describes the types of terms and conditions to which the awardee would commit. This 

list is not a complete list of terms and conditions to be included in Phase I and Phase II funding 

agreements and is not the specific wording of such terms and conditions.

5.10 Summary Statements

The following statements apply to Phase I and Phase II awards and are examples of some of

the topic areas that will be addressed in the award terms and conditions.

(1) Access to Records. Government officials have the right of timely and unrestricted access to 

records of awardees, including access to personnel for discussion related to the records. See 2 C.F.R. 

§ 200.337.

(2) Termination. Awards may be terminated (a) by the NIST Grants Officer, if an awardee 

materially fails to comply with the terms and conditions of an award; (b) by the Federal awarding 

agency or pass-through entity, to the greatest extent authorized by law, if an award no longer 

effectuates the program goals or agency priorities; (c) by the NIST Grants Officer with the 

consent of the awardee, in which case the two parties shall agree upon the termination 

conditions, including the effective date and, in the case of partial termination, the portion to be 
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terminated; (d) by the awardee upon sending to the NIST Grants Officer written notification 

setting forth the reasons for such termination, the effective date, and, in the case of partial

termination, the portion to be terminated. See 2 C.F.R. §§ 200.339-343

(3) Non-Discrimination. The awardee will be required to comply with statutory and other nondiscrimination requirements. No person in the United States shall, on the ground of race, color, 

national origin, handicap, age, religion, or sex, be excluded from participation in, be denied the 

benefits of, or be subject to discrimination under any program or activity receiving Federal 

financial assistance. See Section G.02 of the Department of Commerce Financial Assistance 

Standard Terms and Conditions (November 12, 2020).

(4) Audit Requirements. Government officials may conduct an audit of an award at anytime. 

Unless otherwise specified in the award, for-profit organizations that expend $750,000 or more in 

Department of Commerce funds during their fiscal year must have an audit conducted for that year 

in accordance with Section D.01.c of the Department of Commerce Financial Assistance Standard 

Terms and Conditions (November 12, 2020).

(5) Codes of Conduct. Codes of Conduct. The awardee must maintain written standards of 

conduct to establish safeguards to prohibit employees from using their positions for a purpose 

that constitutes or presents the appearance of personal or organizational conflict of interest, or 

personal gain in the administration of the award. See Section F.01 of the Department of 

Commerce Financial Assistance Standard Terms and Conditions (November 12, 2020).

(6) Officials Not To Benefit. No Federal Government official may benefit personally, to include 

financial and/or profession gain, from the SBIR/STTR Funding Agreement.

(7) Duplication of Effort. The funding agreement shall not support the duplication of other 

federally-funded research.

(8) Scheduling and Use of Federal Agency Facilities and Equipment. The Awardee must 

schedule, reserve, and complete usage within the period of performance of the Funding 

Agreement.

5.11 Additional Information

This NOFO reflects current planning. 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.

Before award of a SBIR funding agreement, the Government may request the applicant to submit 

certain organizational, management, personnel, and financial information to assure responsibility of 

the applicant.

The Government is not responsible for any funds expended by the applicant before award of any 
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funding agreement.

This program NOFO 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.

The SBIR Program is not a substitute for existing unsolicited application mechanisms. Unsolicited 

applications will not be accepted under the SBIR Program in either Phase I or Phase II.

If an award is made pursuant to an application submitted under this SBIR Program NOFO, a 

representative of the awardee 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.

The responsibility for the performance of the principal investigator, and other employees or 

consultants who carry out the proposed work, including those of subrecipients or contractors, 

lies with the management of the organization receiving an award.

Safety is a top priority at NIST. Employees and affiliates of award recipients who conduct project 

work at NIST will be expected to be safety-conscious, to attend NIST safety training,

and to comply with all NIST safety policies and procedures, and with all applicable terms of their 

guest research agreement.

5.12 Technical and Business Assistance (TABA)

NIST is committed to the goal of commercialization of the results of SBIR projects and will provide 

funding for Technical and Business Assistance (TABA) to Phase I and Phase II awardees as 

authorized by 15 U.S.C. § 638(q). The NIST TABA program assists in providing additional funding for 

the successful commercialization of products, services, or technologies developed in association 

with the NIST SBIR Program. The NIST TABA program provides funding for guidance and mentoring 

in topics such as assessing small business commercialization needs; planning, developing, and 

assisting in the preparation of a commercialization plan; and identifying markets and developing 

entry strategies. Allowable services include assistance with product sales, intellectual property 

protections, market research, market validation, and development of regulatory plans and 

manufacturing plans, or access to technical and business literature available through on-line 

databases.

If requested, NIST may provide up to an additional $6,500 for TABA services during Phase I. NIST’s 

inclusion of TABA funds in the award will be subject to the availability of NIST funding. To request 

TABA funding, include up to an additional $6,500 in the budget, provide vendor information in the 

budget justification that demonstrates the provider can provide the services needed and include a 

letter of commitment from the provider (see Section 8.01 for additional information). NIST may 

disapprove a proposed TABA provider. TABA requests must be part of the application submission and 

may not be requested subsequent to award.
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Reimbursement is limited to services received that comply with 15 U.S.C. § 638(q). Requested TABA 

funds should be clearly labeled in the Budget Narrative (see Section 8.01.8.

5.13 Technical Assistance for Application Preparation and Project Conduct

Applicants 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 smalland medium-sized manufacturers with the help they need to succeed. The centers provide 

guidance to high-technology companies seeking resources and teaming relationships. To be 

referred to an MEP center for technical assistance, call 1-800-MEP-4- MFG (1-800-637-4634) or visit 

MEP‘s website.

MEP Centers are also prepared to provide referrals to state and local organizations offering 

resources and technical assistance to all NIST SBIR applicants after awards have been announced. If 

you would like your local MEP Center to contact you, please respond affirmatively to the statement 

(#11) about MEP on the Cover Sheet.

6.0 SUBMISSION OF APPLICATIONS

6.01 Deadline for Applications

Phase I applications must be received no later than 11:59 p.m. Eastern Time, May 22, 2023. 

Only electronic applications submitted via Grants.gov will be accepted.

Applicants should be aware, and factor in their application submission planning, that the Grants.gov 

system closes periodically for routine maintenance. Applicants should visit Grants.gov for information 

on any scheduled closures. Applications cannot be submitted when Grants.gov is closed.

Applicants are cautioned to be careful of unforeseen delays that can cause late arrival of 

applications, with the result that they will not be forwarded for evaluation.

Applications not received by the specified due date and time, as recorded by Grants.gov, or that do 

not adhere to the other requirements of this NOFO (see Section 4.02 Screening Criteria and Section 

8.01 Required Forms and Documents) will not be considered.

NIST strongly recommends that applicants do not wait until the last minute to submit an 

application. NIST will not make allowance for any late submissions. To avoid any potential 

processing backlogs due to last minute Grants.gov registrations, applicants are highly encouraged 

to begin their Grants.gov registration process early. No extensions will be granted.

When developing your submission timeline, please keep in mind that (1) all applicants are required 

to have current registrations in the System for Award Management (SAM.gov) and Grants.gov; (2) 

the free annual registration process in the electronic System for Award Management (SAM.gov) 

(see Section 6.03.1.b) of this NOFO) generally takes between three and five business days but can 
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take more than three weeks; and (3) applicants will receive a series of e-mail messages from 

Grants.gov over a period of up to two business days before learning whether a Federal agency’s 

electronic system has received its application. Please note that a federal assistance award cannot 

be issued if the designated recipient’s registration in the System for Award Management 

(SAM.gov) is not current at the time of the award.

Applicants will find instructions on registering with SAM.gov as part of the Grants.gov 

process at: http://www.grants.gov/web/grants/applicants/organizationregistration.html.

6.02 Standard Application Package

The standard application package, consisting of the standard forms, i.e., SF-424 (R&R), 

Research & Related Budget, CD-511, Research and Related Other Project Information, SF-LLL 

(if applicable), and Research & Related Subaward Budget is available at www.grants.gov.

Please see Section 8.01 for a complete list of required forms and documents.

6.03 Application Submission

Applications must be submitted electronically through Grants.gov. Paper applications or 

applications submitted by other electronic means will not be accepted.

Supplementary material, revisions, substitutions, audio or video tapes, or computer storage 

media or devices will not be accepted. While applicants may not submit replacement pages 

or missing documents once an application has been submitted, an applicant may submit a 

complete, new application including such information by the required deadline. Applications 

are limited to one proposal per SBC. The last application received in Grants.gov will be used 

for evaluation.

(1) Applications must be submitted via Grants.gov, under announcement 2023-

NIST-SBIR-01.

a) Applicants should carefully follow specific Grants.gov instructions to ensure the 

attachments will be accepted by the Grants.gov system. A receipt from Grants.gov 

indicating an application is received does not provide information about whether 

attachments have been received. Attachment files names should be kept as short as 

possible due to potential file corruption after the addition of extensions by

Grants.gov. For further information or questions regarding the electronic application 

process for the 2023-NIST-SBIR-01 announcement, e-mail at grants@nist.gov.

b) Applicants are strongly encouraged to start early and not wait until the approaching due date 

before logging on and reviewing the instructions for submitting an application through Grants.gov. 

The Grants.gov registration process must be completed before a new registrant can apply. If all 

goes well, the registration process takes three (3) to five (5) business days. If problems are 
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encountered, the registration process can take three (3) weeks or more. Applicants must have a 

valid unique entity identifier number and must maintain a current registration in the Federal 

government’s primary registrant database, the System for Award Management, as explained on 

the Grants.gov website. See also Section 8.04 of this NOFO. After registering, it may take several 

days or longer from the initial log-on before a new Grants.gov system user can submit an 

application. Only authorized individuals(s) will be able to submit an application, and the system 

may need time to process a submitted application. Applicants should save and print the proof of 

submission they receive from Grants.gov. If problems occur while using Grants.gov, the applicant is 

advised to (a) print any error message received and (b) call Grants.gov directly for immediate 

assistance. If calling from within the United States or from a U.S. territory, please call 800-518-

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

5035. Assistance from the Grants.gov Help Desk will be available around the clock every day, with 

the exception of Federal holidays. Help Desk assistance will resume at 7:00 a.m. Eastern Time the 

day after Federal holidays. For assistance using Grants.gov, you may also contact

support@grants.gov.

c) To find instructions on submitting an application on Grants.gov, Applicants should refer

to the “Applicants” tab in the banner just below the top of the Grants.gov homepage. Clicking on the 

“Applicants” tab produces two exceptionally useful sources of information, Grant Applications and 

Applicant Resources, which applicants are advised to review.

Applicants will receive a series of e-mail messages over a period of up to two business days before 

learning whether a federal agency’s electronic system has received its application. Closely following 

the detailed information in these subcategories will increase the likelihood of acceptance of the 

application by the Federal agency’s electronic system.

Applicants should pay close attention to the guidance under “Applicant FAQs,” as it contains 

information important to successful submission on Grants.gov, including essential details on the 

naming conventions for attachments to Grants.gov applications.

The Grants.gov Online Help page provides vital information on checking the status of

applications. See especially the “Check Application Status” option, found by clicking first on 

Applicants, and then by clicking on Grant Applications.

The application must be both received and validated by Grants.gov. The application is “received” 

when Grants.gov provides the applicant a confirmation of receipt and an application tracking 

number. If an applicant does not see this confirmation and tracking number, the application has 

not been received. After the application has been received, it must still be validated. During this 

process, it may be “validated” or “rejected with errors.” To know whether the application was 

rejected with errors and the reasons why, the applicant must log in to Grants.gov, select 

“Applicants” from the top navigation, and select “Track my application” from the drop-down list. If 

the status is “rejected with errors,” the applicant may still seek to correct the errors and resubmit 

your application before the deadline. If the applicant does not correct the errors, the application 

will not be forwarded to NIST by Grants.gov.
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NIST uses the Tracking Numbers assigned by Grants.gov and does not issue Agency Tracking 

Numbers.

Applicants should be aware that adequate time must be factored into applicants’ 

schedules for delivery of their application. Submitters are advised that volume on 

Grants.gov may be extremely heavy leading up to the deadline date.

Refer to important information in Section 6.01 Deadline for Applications, to help ensure your 

application is received on time.

Any amendments to this NOFO will be announced through Grants.gov. Applicants can signup for 

Grants.gov NOFO amendments or may request copies from Nicole Berry by e-mail to 

nicole.berry@nist.gov.

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

Background information related to the NIST research programs referenced within the research 

areas may be found within the NIST website. The NIST Research Library, may also provide valuable 

scientific and technical information resources. A listing of NIST developed technologies is available 

on the . Federal Laboratory Consortium (FLC) website. 

8.0 SUBMISSION FORMS AND CERTIFICATIONS

8.01 Required Forms and Documents

Applicants should review the following list carefully to ensure the proposal includes all required 

forms and documents. Failure to include any of the applicable listed forms and/or documents will 

result in rejection of the proposal without consideration. All required forms and documents must 

be complete. Please also review Section 4.02 Phase I Screening Criteria. Guidelines provided below 

are based on frequently asked questions and are not intended to be comprehensive – all forms 

must be fully completed.

A complete application contains the following forms and documents:

1. SF-424 (R&R), Application for Federal Assistance. The SF-424 (R&R) must be signed by an 

authorized representative of the applicant organization.

For SF-424 (R&R), items 5, 14, and 19, use the Zip Code +4 format (##### - ####) when 

addresses are called for.

For SF-424 (R&R), item 16, the NIST SBIR Program is not covered by that Executive Order.

For SF-424 (R&R), item 17, the list of certifications and assurances is contained in the Federal 

Financial Assistance Certifications and Representations (Certs and Reps) as part of the 

SAM.gov entity registration.

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

Instructions for filling in the SF-424 (R&R) can be found on Grants.gov, as well as in the NIST 

Grants Management Division SF-424 Research and Related (R&R) Application Package Guidance.

2. Research & Related Budget (Total Fed + Non-Fed). The budget

should reflect anticipated expenses for the full term of the project, considering all 

potential cost increases, including cost of living adjustments.

The budget should be detailed in these categories:

A. Senior/Key Person;

B. Other Personnel;

C. Equipment Description;

D. Travel;

E. Participant/Trainee Support Costs (not relevant to this competition);

F. Other Direct Costs;

G. Direct Costs (automatically generated);

H. Indirect Costs;

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

J. Fee;

K. Total Costs and Fee (automatically generated);

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

attached to field L.

Instructions for completing the Research & Related Budget (Total Fed + Non-Fed) form can be 

found on Grants.gov, as well as in the NIST Grants Management Division SF-424 Research and 

Related (R&R) Application Package Guidance.

3. CD-511, Certification Regarding Lobbying. Enter “2023-NIST-SBIR-01” in the Award Number Field. 

Enter the title of the application used in field 11 of the SF-424 (R&R), or an abbreviation of that 

title, in the Project Name field.

4. Research and Related Other Project Information. Answer the highlighted questions and use this 

form to attach the Cover Sheet and Technical Proposal (item

(6) below), the Indirect Cost Rate Agreement (item (8) below), the SBA Company Registry 

Form (item (9) below), the Data Management Plan (item (10) below), the Research & Related 

Personal Data form(s) (item 12 below), the Current and Pending Support Form (item (13) 

below), the Compliance with SBIR Program Requirements, Applicant Fraud Awareness 

Training (item (14) below), Letters of Commitment (item

(15) below), and Company Commercialization Report (item (16) below). Instructions for 

completing the Research and Related Other Project Information can be found on Grants.gov, 

as well as in the NIST Grants Management Division SF-424 Research and Related (R&R) 

Application Package Guidance.
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Please note that the Project Summary/Abstract is not relevant to this competition. However, 

Grants.gov requires an attachment to field 7 of the Research and Related Other Project 

Information form to successfully pass through Grants.gov. Please attach a document to field 7 

stating, “A Project Summary/Abstract is not relevant to this competition”.

There are no separate documents required for field 9, “Bibliography & References Cited’; or for 

field 10, “Facilities & Other Resources;” or for field 11, “Equipment”. Any details relating to these 

topics should be included in other documents and forms, if and as specified in this NOFO.

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

6. Cover Sheet (Appendix A) and Technical Proposal. Read Section 3.02 of this NOFO very carefully, 

and in its entirety, for directions on completing this section of the application. The Technical 

Content is limited to 15 pages including optional letters of support – see Section 3.02.02 (4). The 

Technical Proposal must include an appropriate URL – see Section 3.02.02 (1).

7. Budget Narrative and Justification. There is no set format for the Budget Narrative and 

Justification; however, the written justification should include the necessity and the basis for the 

cost, as described below. Proposed funding levels must be consistent with the project scope, and 

only allowable costs should be included in the budget. Information on cost allowability is available 

in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

Awards at 2 C.F.R. Part 200, which apply to awards in this program. TABA funds, if requested by 

the applicant (see Section 5.12), should be included in the Budget Narrative and Justification.

The Budget Narrative and Justification must be attached to the Research & Related Budget (Total 

Fed + Non-Fed) and it does not count against the 15-page limit of the Technical Proposal.

Information needed for each budget category is as follows (categories not listed are 

automatically generated by the form or are not relevant to this competition):

(a) Senior/Key Person – At a minimum, the budget justification should include the following: 

name, job title, commitment of effort on the proposed project in terms of average number 

of hours per week or percentage of time, salary rate, total direct charges on the proposed 

project, description of the role of the individual on the proposed project, and the work to 

be performed.

Fringe benefits should be identified separately from salaries and wages and based on rates 

determined by organizational policy. The items included in the fringe benefit rate (e.g., 

insurance, parking, etc.) should not be charged under another cost category.

(b) Other Personnel – Data is requested at the project role level, and not at the individual 

level for Other Personnel. The budget justification should include the following: job title, 

commitment of effort on the proposed project in terms of average number of hours per 

week or percentage of time, salary rate, total direct charges on the proposed project, 
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description of the role of the position on the

proposed project and the work to be performed.

Fringe benefits should be identified separately from salaries and wages and based on 

rates determined by organizational policy. The items included in the fringe benefit rate 

(e.g., health insurance, parking, etc.) should not be charged under another cost category.

(c) Equipment Description – Equipment is defined as an item of property that has an 

acquisition cost of $5,000 or more (unless the organization has established lower levels) 

and an expected service life of more than one year. The budget justification should list 

each piece of equipment, the cost, and a description of how it will be used and why it is 

necessary to the successful completion of the proposed

project. Please note that any general use equipment (computers, etc.) charged directly to 

the award should be allocated to the award according to expected usage on the project 

(i.e. prorated cost). Any items that do not meet the threshold for equipment can be 

included under the Materials and Supplies line item in Section F, Other Direct Costs.

(d) Travel –– For all travel costs, required by the recipient to complete the project, 

including attendance at any relevant conferences, the budget justification for travel 

should include the following: destination; names or number of people traveling; dates 

and/or duration; mode of transportation, lodging and subsistence rates; and description 

of how the travel is directly related to the proposed project. For travel that is yet to be 

determined, please provide best estimates based on prior experience. If a destination is 

not known, an approximate amount may be used with the assumptions given for the 

location of the meeting.

(f) Other Direct Costs – For costs that do not easily fit into the other cost categories, please list 

the cost, and the breakdown of the total costs by quantity or unit of cost. Include the 

necessity of the cost for the completion of the proposed project. Only allowable costs can 

be charged to the award.

Each subaward or contractual cost should be treated as a separate item in the Other Direct 

Costs category. Describe the services to be provided and the necessity of the subaward or 

contract to the successful performance of the proposed project. Contracts are for 

obtaining goods and services. Subawardees perform part of the project scope of work. For 

each subaward, applicants must provide budget detail justifying the cost of the work 

performed on the project.

(h) Indirect Costs – Commonly referred to as Facilities & Administrative Costs, Indirect Costs 

are defined as costs incurred by the applicant organization that cannot otherwise be 

directly assigned or attributed to a specific project. For more details, see Section 8.01(9) 

of this NOFO.

(j) Fee – Profit or fee not to exceed 7% of the sum of the direct and indirect costs must be 
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listed in this cost category if included in the proposed budget.

8. Indirect Cost Rate Agreement. NIST will not negotiate indirect cost rates for Phase I awards. If 

indirect costs are included in the proposed budget, provide a copy of the approved negotiated 

agreement if this rate was negotiated with a cognizant Federal audit agency. If a rate has not been 

established, provide a statement to this effect and a computation for the cost in the budget 

narrative. Applicants without an established rate may propose estimated indirect costs at a rate not 

to exceed 40 percent of the total direct costs and will not be required to provide further 

justification if selected for an award. Any profit or fee requested is not considered a direct cost for 

the purpose of the indirect cost base calculation.

9. SBA Company Registry Form. SBA maintains and manages a Company Registry to track ownership 

and affiliation requirements for all companies applying to the SBIR Program. The SBIR/STTR Policy 

Directive requires each Phase I applicant to register in the Company Registry prior to submitting an 

application. The applicant must save its information from the registration in a .pdf document. 

Attach this document to the Research and Related Other Project Information form as described in 

Section 8.02.

10. Data Management Plan. Consistent with NIST Policy 5700.002, Managing Public

Access to Results of Federally Funded Research, and NIST Order 5701.003, 

4Managing Public 

Access to Results of Federally Funded Research, applicants proposing projects that include 

the conduct of research must include a Data Management Plan (DMP).

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

to adhere to a DMP or explain why data sharing and/or preservation are not within the scope 

of the project. For the purposes of the DMP, NIST adopted the definition of “research data” at 

2 C.F.R. § 200.315(e)(3).

The DMP must include, at a minimum, a summary of proposed activities that are expected to 

generate data; a summary of the types of data expected to be generated by the identified 

activities; a plan for storage and maintenance of the data expected to be generated by the 

identified activities, including after the end of the award’s period of performance; and a plan 

describing whether and how data generated by the identified activities will be reviewed and 

made available to the public.

A template for the DMP, an example DMP, and the rubric against which the DMP will be 

evaluated for sufficiency is available on NIST’s Public Access to NIST Research Information 

for Awardees webpage. Please pay particular attention to the 20 Performance Criteria (PC) 

that appear in the rubric section and ensure all 20 PCs are addressed. 

If an application stands a reasonable chance of being funded and the DMP is determined during 

2

https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf

3

https://www.nist.gov/system/files/documents/2019/11/08/final_o_5701_ver_2.pdf
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the review process to be insufficient, the program office may reach out to the applicant to 

resolve deficiencies in the DMP. If an award is issued prior to the deficiencies being fully 

rectified, the award will include a Specific Award Condition (SAC) stating that no research 

activities shall be initiated, or costs incurred for those activities under the award until the NIST 

Grants Officer amends the award to indicate the SAC has been satisfied.

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

11. Subaward Budget Form. The Research & Related Subaward Budget Attachment Form is 

required if sub-recipients and contractors are included in the application budget.

Instructions for completing and attaching subaward budget forms are available by visiting 

the R & R Family section of the Grants.gov Forms Repository and scrolling down to the R & 

R Subaward Budget Attachment(s) Form and selecting “Instructions.”

12. Research & Related Personal Data. Answer the highlighted questions. Complete and 

print the form available in the R&R Family section of the Grants.gov Forms Repository 

and scrolling down to the Research & Related Personal Data form. Attach this 

document to the Research and Related Other Project Information form as described in 

Section 8.02.

13. Current and Pending Support Form. Any application that includes investigators, 

researchers, and key personnel must identify all sources of current and potential 

funding, including this proposal. Any current project support (e.g., Federal, state, local, 

public or private foundations, etc.) must be listed on this form. The proposed project 

and all other projects or activities requiring a portion of time of the Principal 

Investigator (PI), co-PI, and key personnel must be included, even if no salary support is 

received. The total award amount for the entire award period covered, including 

indirect costs, must be shown as well as the number of person-months per year to be 

devoted to the project, regardless of the source of support. Similar information must be 

provided for all proposals already submitted or that are being submitted concurrently 

to other potential funders.

Applicants must complete the Current and Pending Support Form, using multiple forms 

as necessary to account for all activity for each individual identified in the PI, co-PI and 

key personnel roles. A separate form should be used for each identified individual.

Applicants must download the Current and Pending Support Form from the NIST Grants 

Management Division Current and Pending Support webpage and reference the guidance 

provided as it contains information to assist with accurately completing the form.

14. Compliance with SBIR Program Requirements, Applicant Fraud Awareness Training -

Certificate of Training Completion. Complete the training at:

https://www.nist.gov/file/384881. After completion, print and fill out the last page of the 
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training presentation. Attach this document to the Research and Related Other Project 

Information form as described in Section 8.02.

15. Letters of Commitment. Letters must be submitted by all funded and unfunded entities that 

will have an active role in executing the activities outlined in the Project Narrative. Letters of 

Commitment must address the level of participation, qualifications of the personnel who will 

be actively involved, and how successful completion of this project would positively impact 

their profession or community. Letters of Commitment must also specify any voluntary 

committed cost-share, including the specific services and/or products to be used in the 

project. Letters of Commitment must be signed by an individual with authority to legally bind 

the organization to its commitment. Letters of commitment do not count against the 

specified page limits.

16. Company Commercialization Report (CCR). Attach a PDF copy of the CCR which was 

completed in your account at Sbir.gov and submit along with your proposal (refer to Section 

3.01.01 SBA Data Collection Requirement).

8.02 Attachment of Required Application Documents

Items 8.01.1 through 8.01.4 above are part of the standard application package in 

Grants.gov and can be completed through the download application process.

Item 8.01.5, the SF-LLL, Disclosure of Lobbying Activities form, is an optional application form 

which is part of the standard application package in Grants.gov. If item 8.01.5, the SF-LLL, 

Disclosure of Lobbying Activities form is applicable to this proposal, attach it to field 18 of the 

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

Item 8.01.6, the Cover Sheet and Technical Proposal, should be attached to field 8 (Project 

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

Attachment”.

Item 8.01.7, the Budget Narrative and Justification, should be attached to field L (Budget 

Justification) of the Research and Related Budget (Total Fed + Non-Fed) form by clicking on “Add 

Attachment”.

Items 8.01.8, the Indirect Cost Rate Agreement; 8.01.9, the SBA Company Registry Form; 

8.01.10, the Data Management Plan; 8.01.12, the Research & Related Personal Data; 8.01.13, 

the Current and Pending Support Form; 8.01.14, the SBIR Applicant Fraud Awareness Training 

Certificate of Training Completion; 8.01.15, Letters of Commitment; and 8.01.16, Company 

Commercialization Report (CCR), must be attached by clicking on “Add Attachments” found in 

item 12 (Other Attachments) of the Research and Related Other Project Information form.

Item 8.01.11, the Subaward Budget Form(s), if applicable to the submission, should be 
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attached to the Research & Related Subaward Budget (Total Fed + Non-Fed) Attachment(s) 

Form in the application package.

Following these directions will create zip files which permit transmittal of the documents 

electronically via Grants.gov.

8.03 Verifying the Submission and Tracking the Application

Applicants should carefully follow specific Grants.gov instructions at www.Grants.gov to ensure 

the attachments will be accepted by the Grants.gov system. A receipt from Grants.gov indicates 

only that an application was transferred to a system. It does not provide details concerning 

whether all attachments (or how many attachments) transferred successfully. Attachment file 

names should be kept as short as possible due to potential file corruption after the addition of 

extensions by Grants.gov. Applicants will receive a series of e-mail messages over a period of up 

to two business days before learning whether a Federal agency’s electronic system has received 

its application.

Applicants are strongly advised to use Grants.gov’s “Download Submitted Forms and 

Applications” option to check that their application’s required attachments were contained in 

their submission.

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

STATUS. If any, or all, of the required attachments are absent from the submission, follow the 

attachment directions found above, resubmit the application, and check again for the presence of 

the required attachments.

If the directions found on the Grants.gov Online Help page are not effective, please contact the 

Grants.gov Help Desk immediately. If calling from within the United States or from a

U.S. territory, please call 800-518-4726. If calling from a place outside the United States or a U.S. 

territory, please call 606-545-5035. E-mails should be addressed to support@grants.gov. 

Assistance from the Grants.gov Help Desk will be available around the clock every day, with the 

exception of Federal holidays. Help Desk service will resume at 7:00 a.m. Eastern Time the day 

after Federal holidays.

Applicants can track their submission in the Grants.gov system by following the procedures 

at the Grants.gov Track My Application page. It can take up to two business days for an 

application to fully move through the Grants.gov system to NIST. NIST uses the Tracking 

Numbers assigned by Grants.gov, and does not issue Agency Tracking Numbers.

8.04 Unique Entity Identifier and System for Award Management (SAM)

Pursuant to 2 C.F.R. Part 25, applicants and recipients (as the case may be) are required to:

(i) be registered in SAM before submitting its application; (ii) provide a valid unique entity 

identifier in its application; and (iii) continue to maintain an active SAM registration with 

current information at all times during which it has an active Federal award or an application 

or plan under consideration by a Federal awarding agency, unless otherwise excepted from 
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these requirements pursuant to 2 C.F.R. § 25.110. NIST will not make a Federal award to an 

applicant until the applicant has complied with all applicable unique entity identifier and SAM

requirements and, if an applicant has not fully complied with the requirements by the time 

that NIST is ready to make a Federal award pursuant to this NOFO, NIST may determine that 

the applicant is not qualified to receive a Federal award and use that determination as a basis 

for making a Federal award to another applicant.

9.0 RESEARCH AREAS

The NIST research programs work at the frontiers of measurement science to ensure that the U.S. 

system of measurements is firmly grounded in sound scientific and technical principles. Today, the 

NIST laboratories address increasingly complex measurement challenges, ranging from the very 

small (nanoscale devices for advanced computing) to the very large (vehicles and buildings), and 

from the physical (resilient infrastructure) to the virtual (cybersecurity and data science). As new 

technologies develop and evolve, NIST’s measurement research and services remain central to 

national defense, homeland security, trade and innovation.

NIST’s research activities provide industry, academia and other federal agencies with world- class 

research capabilities in measurement science that form the foundation of the global system of 

weights and measures and enable innovation. NIST provides measurement tools and standards to 

strengthen U.S. competitiveness and security in the following areas:

Advanced Communications, Networks and Scientific Data Systems

NIST’s Advanced Communications, Networks and Scientific Data Systems activities enable secure, 

reliable, high-speed wireless and wireline communications critical to U.S. economic 

competitiveness, safety and security. NIST measurement science research and support for the 

development of standards accelerates the deployment of next-generation communication 

technologies needed for commercial- scale use of connected vehicles, “internet of things” (IoT) 

applications, drones and future artificial intelligence/machine learning-based systems. NIST is 

committed to helping solve the measurement and validation challenges of these fast-moving 

fields to help the U.S. achieve and maintain global leadership in these areas.

Advanced Manufacturing and Material Measurements

NIST has partnered with the U.S. manufacturing sector for more than a century and has a proven track 

record of delivering useful tools and technical assistance to existing manufacturers and aspiring startups. NIST's Advanced Manufacturing and Material Measurements activities provide industry with 

precision measurement technologies, tests, protocols and world-class scientific and engineering 

knowledge through targeted research across a broad portfolio, including advanced materials 

development, advanced sensing, biomanufacturing and smart manufacturing systems. NIST’s efforts in 

advanced manufacturing and material measurements rely on three major mechanisms: partnerships 

with manufacturers, development of physical and information standards, and development of new 

measurement capabilities.
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Cybersecurity and Privacy

NIST’s Cybersecurity and Privacy activities strengthen the security of the digital environment through 

a portfolio bridging foundational and applied cybersecurity research, and through the development of 

publicly available standards and technical guidance. NIST’s sustained outreach efforts support the 

effective application of standards and best practices enabling the adoption of practical cybersecurity 

and privacy. Through internal research and collaboration with the private sector, academia, standards 

development organizations, other government agencies and national and international stakeholders, 

NIST addresses the nation’s current and future measurement science needs and is responsive to 

Congressional mandates and Executive Orders.

Fundamental Measurement, Quantum Science and Measurement Dissemination

At the heart of NIST’s mission is the dissemination of the fundamental units of measurement (the 

International System of Units, or SI). NIST determines the definitive methods for nearly every 

kind of measurement employed in commerce and research, provides NIST-traceable calibrations, 

and disseminates standards and best practices throughout the nation. Staying ahead of the 

increasingly challenging demands of U.S. industry requires that NIST push the frontiers of 

measurement science by devising new tools and techniques—especially at the quantum scale 

where the rules of classical physics do not apply. Through balanced and coordinated programs, 

NIST leads the world in disseminating the fundamental units of measurement. This leadership in 

metrology advancement directly impacts NIST’s relevance and leadership in measurement 

services.

Health and Biological Systems Measurements

NIST provides a solid foundation of measurement assurance enabling reproducibility of biomedical 

research results and confidence in clinical decision-making and ensuring the efficacy and safety of 

treatments. As a nonregulatory agency, NIST’s research plays an essential role in health and bioscience 

innovations, including in precision medicine, engineering biology, medical imaging, regenerative 

medicine and our understanding of the microbiome and how it affects health. New and improved 

measurement capabilities advance our understanding of biology and provide the basis for industries to 

harness this information for future medical technologies.

Physical Infrastructure and Resilience

NIST’s Physical Infrastructure and Resilience activities support the safety, interoperability and 

resilience of the nation’s infrastructure at the component, structure and system levels. NIST’s 

research supports the development of building codes making the built environment healthier for 

occupants, more resilient against hazards, and safer for both residents and first

responders. In collaboration with policymakers, building officials and planning groups, NIST produces 

guides to help communities integrate resilience into their economic development, zoning, mitigation 

and other local planning activities impacting buildings, public utilities and infrastructure systems.
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Exploratory Measurement Science

NIST’s mission requires deep expertise in a broad range of disciplines. To best position NIST to 

support U.S. technological interests well into the future, it is essential that NIST maintain a 

portfolio of exploratory measurement science research programs. NIST invests in higher- risk and 

potentially transformative measurement science research to stay on the cutting edge of 

technology trends.
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Appendix A. COVER SHEET

(A fillable version of the Cover Sheet is available at http://www.nist.gov/sbir)

Application to National Institute of Standards and Technology 

(NIST) Small Business Innovation Research (SBIR) Program Phase I

2023-NIST-SBIR-01 March 23, 2023)

Cover Sheet

Name & Address 

of Submitting 

Firm:

Proj

ect 

Title

Principal 

Investigat

or (PI) 

Name

PI Title

PI Phone 

#

PI Email

NIST may verify the following responses with information provided elsewhere in your application or by independent sources.

THE APPLICANT CERTIFIES THAT:

1. It is a small business concern (SBC) and meets the definition as stated in this Notice of 

Funding Opportunity (NOFO).

☐ Yes ☐ No

2. The primary employment of the PI will be with the SBC at the time of award and 

during the conduct of research.

☐ Yes ☐ No

3. A minimum of either two-thirds for Phase I or one-half for Phase II of the research will be

performed by the SBC as determined by data provided in the Budget Narrative. 

See NOFO Section 1.03.01 for details on funding determination.

☐ Yes ☐ No

4. The applicant and/or PI ☐ has ☐ has not submitted applications for essentially equivalent work under other Federal program

FFOs and ☐ has ☐ has not received other Federal awards for essentially equivalent 

work. If “has”, what agency? Click here to enter text.

See NOFO Section 3.02.02(14) for additional details that must be provided.

5. The applicant qualifies as a socially and economically disadvantaged SBC and meets 

the definition as stated in this NOFO.

☐ Yes ☐ No

6. The applicant qualifies as a woman-owned SBC and meets the definition as stated in this 

NOFO.

☐ Yes ☐ No

7. The applicant qualifies as a HUBZone-owned SBC and meets the SBA’s 

definition(see http://www.sba.gov/hubzone).

☐ Yes ☐ No

8. Year SBC founded: Click here to enter text.

9. Number of Employees: Click here to enter text.

STATEMENTS:

10. The applicant will permit the Federal Government to disclose name, address, and telephone 

number of the corporate official of your concern, if your application does not result in an

award, to appropriate local and State-level economic development organizations that 

may be interested in contacting you for further information.

☐ Yes ☐ No

11. The applicant authorizes contact information and project title to be provided to the NIST 

Manufacturing Extension Partnership (MEP) after awards have been announced. If ‘Yes’ 

your contact information will be provided to NIST MEP. If so, you will be contacted by your 

local

MEP to explore business-related support services that could benefit the potential of 

the project you proposed.

☐ Yes ☐ No
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Signature of Company 

Official and typed name, 

title, address, telephone 

number, and date

Signature of Principal Investigator

and typed name, title, address, 

telephone number, and date

TECHNICAL ABSTRACT (limit to 200 words):

POTENTIAL COMMERCIAL APPLICATION OF THE RESEARCH: (limit to 100 words)

OTHER INFORMATION:

Information contained in unsuccessful applications will remain the property of the applicant. The Federal Government may, however, 

retain copies of all applications. Public release of information in any application submitted will be subject to existing statutory and 

regulatory requirements. Applicants are discouraged from submitting proprietary information unless the information is deemed essential 

for proper evaluation of the application. If proprietary information provided by an applicant in a proposal constitutes trade secret, 

proprietary commercial or financial information, confidential personal information, or data affecting national security, it will be treated in 

confidence to the extent permitted by law, provided that the proposal is clearly marked by the applicant as follows:

(A) The following legend must appear on the title page of the proposal:

This proposal contains information that shall not be disclosed outside the Federal Government and shall not be duplicated, used, or 

disclosed in whole or in part for any purpose other than evaluation of this proposal, unless authorized by law. The Government shall 

have the right to duplicate, use, or disclose the data to the extent provided in the resulting award if award is made as a result of the 

submission of this proposal. The information subject to these restrictions are contained on all pages of the proposal except for pages 

[insert page number or other identification of pages that contain no restricted information.]

(End of Legend); and

(B) The following legend must appear on each page of the proposal that contains information the applicant wishes to 

protect: 

Use or disclosure of information contained on this sheet is subject to the restriction on the title page of this 

proposal.

The use of any other legend is unacceptable to the Government and may constitute grounds for removing the application from further 

consideration without assuming any liability for inadvertent disclosure.

This collection of information contains Paperwork Reduction Act (PRA) requirements approved by the Office of Management and Budget (OMB). 

Notwithstanding any other provisions of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply 

with, a collection of information subject to the requirements of the PRA unless that collection of information displays a currently valid OMB control 

number. Public reporting burden for this collection is estimated to be 30 minutes per response, including the time for reviewing instructions, searching 

existing data sources, gathering and maintaining the data needed and completing and reviewing the collection of information. Send comments regarding 

this burden estimate or any aspect of this collection of information, including suggestions for reducing this burden, to the National Institute of Standards 

and Technology, Attn: Jacqueline Gray, 100 Bureau Dr., MS 2200, Gaithersburg, MD 20899.

OMB Control No. 0693-0072Expiration Date: 1/31/2024
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Appendix B. DUE DILIGENCE CERTIFICATION

Firm Name: ___________________________________ Firm EIN (UEI if EIN is unavailable): _______________________

As indicated below this document may contain trade secrets or commercial or financial information that is privileged 

or confidential and is exempt from public disclosure. Consistent with Federal law, the Government shall use or 

disclose such information only for evaluation purposes or in accordance with a financial assistance agreement 

between the submitter and the Government. The Government may use or disclose any information that is not 

appropriately marked or otherwise restricted, regardless of source.

Disclosure Questions

1. Is any owner of the small business concern or covered individual party to any foreign talent recruitment program of 

any foreign country of concern? 

☐ Yes ☐ No If yes, please disclose the name of each owner, officer, or covered individual and the foreign talent 

recruitment program. 

First Name Last Name E-mail 

Address

Role (Owner or 

Covered Individual)

Current 

Country of 

Residence 

Foreign Talent Recruitment 

Program 

2. Is there a joint venture or subsidiary, of your small business concern that is based in, funded by, or has a foreign 

affiliation with any foreign country of concern? ☐ Yes ☐ No If yes, please disclose the name and address of each 

joint venture or subsidiary. 

Entity Name Street 

Address

City State Zip Country Relationship (i.e., Joint 

Venture, Subsidiary) 

3. Is your small business concern wholly owned in a foreign country of concern? ☐ Yes ☐ No If yes, please disclose 

the foreign country of concern. 

Foreign Country of Concern 

4. Does your small business concern have any venture capital or institutional investment? ☐ Yes ☐ No If yes, please 

proceed to the next question. If no, please proceed to question 5.

4a. Does the investing entity have a general partner or individual holding a leadership role who has a foreign 

affiliation with any foreign country of concern, including the People’s Republic of China? ☐ Yes ☐ No 
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If yes, please populate the table below. If no, please proceed to question 5.

Venture Capital or Institutional 

Investor

Percentage of 

Investment

Type of Investment (e.g., Equity, Debt, or 

Equity and Debt)

☐ Check box if this table contains trade secrets or commercial or financial information this is privileged or 

confidential and exempt from public disclosure.

5. During the previous 5-year period, did your small business concern have any technology licensing or intellectual 

property sales to a foreign country of concern? ☐ Yes ☐ No If yes, please disclose the name and address of the 

institution that licensed or purchased the intellectual property. 

Licensee or 

Intellectual 

Property 

Buyer Name

Foreign 

Country of 

Concern 

Street Address City State Zip Country

☐ Check box if this table contains trade secrets or commercial or financial information this is privileged or 

confidential and exempt from public disclosure.

Questions 6 and 7 relate to ANY foreign countries.

6. Does your small business concern have any current or pending contractual or financial obligation or other agreement 

specific to a business arrangement, or joint venture-like arrangement with an enterprise owned by a foreign state or any 

foreign entity? ☐ Yes ☐ No If yes, please disclose the name and address of the enterprise and the nature of the 

business relationship. 

Enterprise or 

Foreign Entity 

Name 

Relationship Type 

(i.e., current or 

pending contractual 

arrangement, 

financial obligation, 

other 

agreement/business 

arrangement, joint 

venture-like 

arrangement) 

Description of Relationship Enterprise 

Owned by 

a Foreign 

State 

(Y/N)

Foreign State/Entity Country 

Name

☐ Check box if this table contains trade secrets or commercial or financial information this is privileged or 

confidential and exempt from public disclosure.
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7. Is there any foreign business entity, offshore entity, or entity outside the United States related to your small business

concern? ☐ Yes ☐ No If yes, please disclose the name and address of the entity and the relationship to your small 

business concern. 

Entity 

Name 

Entity Type 

(i.e., 

foreign 

business 

entity, 

offshore 

entity, 

entity 

outside the 

United 

States) 

Description of 

Relationship

Foreign 

State/Entity 

Country 

Name

Street 

Address

City State Zip Country

☐ Check box if this table contains trade secrets or commercial or financial information this is privileged or 

confidential and exempt from public disclosure.
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Certification

I certify to the best of my knowledge and belief that the information contained in this Disclosure of Foreign 

Relationships is true, complete, and accurate. I understand that any false, fictitious, or fraudulent information, 

misrepresentations, half-truths, or omissions of any material fact, may subject me to criminal, civil or 

administrative penalties for fraud, false statements, false claims or otherwise. (18 U.S.C. §§ 1001 and 287, and 

31 U.S.C. §§ 3729-3733 and 3801-3812). 

I understand that the small business concern will be required to repay all amounts received under the award if 

there is a material misstatement that NIST determines poses a risk to national security, or there is a change in 

ownership, change to entity structure, or other substantial change in the circumstances of the small business 

concern that NIST determines poses a risk to national security. (15 U.S.C. § 638(g)).

I further understand and agree that (1) the statements and representations made herein are material to NIST’s 

funding decision, and (2) I have a responsibility to update the disclosures during the period of performance of 

the award if: (i) there is any change to a disclosure required under questions 1-7, 

(ii) there is any material misstatement that NIST could determine poses a risk to national security, or (iii) there 

is a change in ownership, change to entity structure, or other substantial change in the circumstances of the 

small business concern that NIST could determine poses a risk to national security. (15 U.S.C. § 638(g)).

Signature Date__/__/__

Print Name (First, Middle, Last)

Role/Title

Name of Small Business Concern

The Disclosure of Foreign Relationships is a part the National Institute of Standards and Technology (NIST) due diligence 

program under 15 U.S.C. §§ 638(g)(13), (g)(15) and (vv) and is exempt from the Paperwork Reduction Act.
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Relevant Definitions for Due Diligence Certification

Relevant Definitions per the Act (15 U.S.C 638 (e))

(15) Covered individual - the term "covered individual" means an individual who-

(A) contributes in a substantive, meaningful way to the scientific development or execution of a 

research and development project proposed to be carried out with a research and development award 

from a Federal research agency; and

(B) is designated as a covered individual by the Federal research agency concerned; 

(16) Foreign affiliation - the term "foreign affiliation" means a funded or unfunded academic, professional, or 

institutional appointment or position with a foreign government or government-owned entity, whether fulltime, part-time, or voluntary (including adjunct, visiting, or honorary);

(17) Foreign Country of Concern - the term "foreign country of concern" means the People's Republic of China, 

the Democratic People's Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other 

country determined to be a country of concern by the Secretary of State;

(18) Malign Foreign Talent Recruitment Program - the term "malign foreign talent recruitment program" has 

the meaning given such term in section 19237 of title 42; (see appendix)

(19) Federally funded award - the term "federally funded award" means a Phase I, Phase II (including a Phase II 

award under subsection (cc)), or Phase III SBIR or STTR award made using a funding agreement.

Malign Foreign Talent Recruitment Program Definition

(4) Malign foreign talent recruitment program (42 USC 19237, as October 20, 2022)

The term "malign foreign talent recruitment program" means-

(A) any program, position, or activity that includes compensation in the form of cash, in-kind 

compensation, including research funding, promised future compensation, complimentary foreign travel, 

things of non de minimis value, honorific titles, career advancement opportunities, or other types of 

remuneration or consideration directly provided by a foreign country at any level (national, provincial, or 

local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or 

not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly 

stated in the arrangement, contract, or other documentation at issue, in exchange for the individual-

(i) engaging in the unauthorized transfer of intellectual property, materials, data products, or other 

nonpublic information owned by a United States entity or developed with a Federal research and 

development award to the government of a foreign country or an entity based in, funded by, or 

affiliated with a foreign country regardless of whether that government or entity provided support for 

the development of the intellectual property, materials, or data products;

(ii) being required to recruit trainees or researchers to enroll in such program, position, or activity;

(iii) establishing a laboratory or company, accepting a faculty position, or undertaking any other 

employment or appointment in a foreign country or with an entity based in, funded by, or affiliated 

with a foreign country if such activities are in violation of the standard terms and conditions of a Federal 

research and development award;

(iv) being unable to terminate the foreign talent recruitment program contract or agreement except 

in extraordinary circumstances;

(v) through funding or effort related to the foreign talent recruitment program, being limited in the 
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capacity to carry out a research and development award or required to engage in work that would 

result in substantial overlap or duplication with a Federal research and development award;

(vi) being required to apply for and successfully receive funding from the sponsoring foreign 

government's funding agencies with the sponsoring foreign organization as the recipient;

(vii) being required to omit acknowledgment of the recipient institution with which the individual is 

affiliated, or the Federal research agency sponsoring the research and development award, contrary to 

the institutional policies or standard terms and conditions of the Federal research and development 

award;

(viii) being required to not disclose to the Federal research agency or employing institution the 

participation of such individual in such program, position, or activity; or

(ix) having a conflict of interest or conflict of commitment contrary to the standard terms and 

conditions of the Federal research and development award; and

(B) a program that is sponsored by-

(i) a foreign country of concern or an entity based in a foreign country of concern, whether or not 

directly sponsored by the foreign country of concern;

(ii) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain 

National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; 1 Public Law 115–232)4; or

(iii) a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. 

McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; 1 Public Law 115–

232).

4

10 USC Subtitle A, PART V, Subpart E: Research and Engineering (house.gov)
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Appendix C. FUNDING AGREEMENT CERTIFICATIONS

SBIR Funding Agreement Certification (at time of award)

All small businesses that are selected for award of an SBIR funding agreement must 

complete this certification at the time of award and any other time set forth in the funding 

agreement that is prior to performance of work under this award. This includes checking all 

of the boxes and having an authorized officer of the awardee sign and date the certification 

each time it is requested.

Please read carefully the following certification statements. The Federal government relies on 

the information to determine whether the business is eligible for a Small Business Innovation 

Research (SBIR) Program award. A similar certification will be used to ensure continued 

compliance with specific program requirements during the life of the funding agreement. The 

definitions for the terms used in this certification are set forth in the Small Business Act, SBA 

regulations (13 C.F.R. Part 121), the SBIR/STTR Policy Directive and also any statutory and 

regulatory provisions referenced in those authorities.

If the funding agreement officer believes that the business may not meet certain eligibility 

requirements at the time of award, they are required to file a size protest with the U.S. Small 

Business Administration (SBA), who will determine eligibility. At that time, SBA will request 

further clarification and supporting documentation in order to assist in the verification of any 

of the information provided as part of a protest. If the funding agreement officer believes, 

after award, that the business is not meeting certain funding agreement requirements, the 

agency may request further clarification and supporting documentation in order to assist in the 

verification of any of the information provided.

Even if correct information has been included in other materials submitted to the Federal 

government, any action taken with respect to this certification does not affect the 

Government’s right to pursue criminal, civil or administrative remedies for incorrect or 

incomplete information given in the certification. Each person signing this certification may be 

prosecuted if they have provided false information.

The undersigned has reviewed, verified and certifies that (all questions must be responded to

by checking the appropriate box):

(1) The Awardee business concern meets the ownership and control requirements set forth in 13

C.F.R. § 121.702.

☐ Yes ☐No
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(2) If a corporation, all corporate documents (namely: articles of incorporation and any 

amendments, articles of conversion, by-laws and amendments, shareholder meeting minutes 

showing officer elections, organizational meeting minutes, all issued stock certificates, stock 

ledger, buy-sell agreements, stock transfer agreements, voting agreements, and documents 

relating to stock options, including the right to convert non-voting stock or debentures into 

voting stock) must include evidence that the corporation meets the ownership and control 

requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(3) If a partnership, the partnership agreement evidences that it meets the ownership 

and control requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(4) If a limited liability company, the articles of organization and any amendments, and 

operating agreement and amendments, evidence that it meets the ownership and 

control requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(5) The birth certificates, naturalization papers, or passports show that any individuals it relies 

upon to meet the eligibility requirements are U.S. citizens or permanent resident aliens in the 

United States.

☐Yes ☐No ☐N/A Explain why N/A:

(6) The Awardee business concern has no more than 500 employees, including the employees of 

its affiliates.

☐Yes ☐No

(7) SBA has not issued a size determination currently in effect finding that this business 

concern exceeds the 500-employee size standard.

☐Yes ☐No

During the performance of the award, the principal investigator will spend more than one half of 

his/her time (based on a 40-hour workweek) as an employee of the awardee or has requested and 

received a written deviation from this requirement from the funding agreement officer.
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☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

(8) All, essentially equivalent work, or a portion of the work proposed under this project 

(check the applicable line):

☐ Has not been submitted for funding to this agency or another Federal agency.

☐ Has been submitted for funding to this agency or another Federal agency but has not 

been funded under any other grant, contract, subcontract or other transaction.

☐ A portion has been funded by another grant, contract, or subcontract as described in 

detail in the application and approved in writing by the funding agreement officer.

(9) During the performance of award, the Awardee will perform the applicable percentage of 

work unless a deviation from this requirement is approved in writing by the funding 

agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

(10) During performance of award, the research/research and development will be performed 

in the United States unless a deviation is approved in writing by the funding agreement 

officer.

☐Yes ☐No ☐Waiver has been granted

(11) During performance of award, the research/research and development will be 

performed at the Awardee’s facilities with the Awardee’s employees, except as otherwise 

indicated in the SBIR application and approved in the funding agreement.

☐Yes ☐No

(12) The SBIR Awardee has registered itself on SBA’s database as majority-owned by 

venture capital operating companies, hedge funds or private equity firms.

☐Yes ☐No ☐N/A Explain why N/A:

The SBIR Awardee is a Covered Small Business Concern (a small business concern that:(a) was not 

majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, or 

private equity firms on the date on which it submitted an application in response to an SBIR 

solicitation; and (b) on the date of the SBIR award, which is made more than 9 months after the 

closing date of the solicitation, is majority-owned by multiple venture capital operating 

companies, hedge funds, or private equity firms).

☐ Yes ☐No
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(13) The SBIR Awardee will notify this agency immediately if all or a portion of the work 

authorized and funded under this award is subsequently funded by another Federal 

agency.

☐Yes ☐No

(14) I understand that the information submitted may be given to Federal, State and 

local agencies for determining violations of law and other purposes.

☐Yes ☐No

(15) I am an officer of the business concern authorized to represent it and sign this 

certification on its behalf. By signing this certification, I am representing on my own behalf, 

and on behalf of the business concern that the information provided in this certification, the

application, and all other information submitted in connection with this application, is true 

and correct as of the date of submission. I acknowledge that any intentional or negligent 

misrepresentation of the information contained in this certification may result in criminal, civil 

or administrative sanctions, including but not limited to: (1) fines, restitution and/or 

imprisonment under 18 U.S.C. § 1001; (2) treble damages and civil penalties under the False 

Claims Act (31 U.S.C.§ 3729 et seq.); (3) double damages and civil penalties under the Program 

Fraud Civil Remedies Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds, (5) 

suspension and/or debarment from all Federal procurement and nonprocurement

transactions (FAR Subpart 9.4 or 2 C.F.R. Part 180); and (6) other administrative penalties 

including termination of SBIR/STTR awards.

Signature Date / /

Print Name (First, Middle, Last)

Title

Business Name
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SBIR Funding Agreement Certification (Life-Cycle Certification)

All SBIR Phase I and Phase II awardees must complete this certification at all times set forth in 

the funding agreement (see §8(j) of the SBIR/STTR Policy Directive). This includes checking all 

of the boxes (unless otherwise directed) and having an authorized officer of the awardee sign 

and date the certification each time it is requested.

Please read carefully the following certification statements. The Federal government relies on 

the information to ensure compliance with specific program requirements during the life of the 

funding agreement. The definitions for the terms used in this certification are set forth in the 

Small Business Act, the SBIR/STTR Policy Directive, and also any statutory and regulatory 

provisions referenced in those authorities.

If the funding agreement officer believes that the business is not meeting certain funding 

agreement requirements, the agency may request further clarification and supporting 

documentation in order to assist in the verification of any of the information provided.

Even if correct information has been included in other materials submitted to the Federal 

government, any action taken with respect to this certification does not affect the 

Government’s right to pursue criminal, civil, or administrative remedies for incorrect or 

incomplete information given in the certification. Each person signing this certification may be 

prosecuted if they have provided false information.

The undersigned has reviewed, verified and certifies that (all questions must be responded to by

checking the appropriate box):

(1) The principal investigator spent more than one half of his/her time (based on a 40-

hour workweek) as an employee of the awardee or the awardee has requested and 

received a written deviation from this requirement from the funding officer.

☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

(2) All, essentially equivalent work, or a portion of the work performed under this 

project (check applicable line):

☐Has not been submitted for funding to this agency or another Federal agency.

☐Has been submitted for funding to this agency or another Federal agency but has not

been funded under any other grant, contract, subcontract or other transaction.

(3) A portion has been funded by another grant, contract, or subcontract as described in detail in 

the proposal and approved in writing by the funding agreement officer. Upon completion of the 
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award the awardee will have performed the applicable percentage or

work, unless a deviation from this requirement is approved in writing by the funding 

agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

(4) The work is completed, and the small business awardee has performed the applicable 

percentage of work, unless a deviation from this requirement is approved in writing by 

the funding agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

☐N/A because work is not completed.

(5) The research/research and development is performed in the United States unless a 

deviation is approved in writing by the funding agreement officer.

☐Yes ☐No ☐Waiver has been granted

(6) The research/research and development is performed at the awardee’s facilities by the 

awardee’s employees, except as otherwise indicated in the SBIR application and approved 

in the funding agreement.

☐Yes ☐No

(7) I will notify the Federal agency immediately if all or a portion of the work authorized 

and funded under this award is subsequently funded by another Federal agency.

☐Yes ☐No

(8) I understand that the information submitted may be given to Federal, State and local 

agencies for determining violations of law and other purposes.

☐Yes ☐No
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I am an officer of the awardee business concern authorized to represent it and sign this 

certification on its behalf. By signing this certification, I am representing on my own behalf, 

and on behalf of the business concern, that the information provided in this certification, the 

application, and all other information submitted in connection with the award, is true and 

correct as the date of submission. I acknowledge that any intentional or negligent 

misrepresentation of the information contained in this certification may result in criminal, 

civil or administrative sanctions, including but not limited to: (1) fines, restitution and/or 

imprisonment under 18 U.S.C. § 1001; (2) treble damages and civil penalties under the False 

Claims Act (31 U.S.C. § 3729 et seq.); (3) double damages and civil penalties under the 

Program Fraud Civil Remedies Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds, 

(5) suspension and/or debarment from all Federal procurement and nonprocurement 

transactions (FAR Subpart 9.4 or 2 C.F.R. Part 180); and (6) other administrative penalties 

including termination of SBIR/STTR awards.

☐ Yes ☐No

Signature Date / /

Print Name (First, Middle, Last)

Title

Business Name