FY 2019 NIST Small Business Innovation Research Program Phase II

Notice of Funding Opportunity

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FY 2019

Small Business Innovation Research (SBIR)

Program Phase II

Notice of Funding Opportunity (NOFO)

ANNOUNCEMENT

FUNDING OPPORTUNITY NUMBER: 2019-NIST-SBIR-02

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: April 9, 2019

Closing Date: June 12, 2019

http://www.nist.gov/sbir
FY 2019 NIST Small Business Innovation Research Program Phase II

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1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION ............................................ 5

1.01 Introduction ........................................................................................................................... 5

1.02 Three-Phase Program ............................................................................................................. 6

1.03 SBIR Applicant Eligibility and Limitations................................................................................ 8

1.04 Contact with NIST ................................................................................................................... 9

1.05 Definitions............................................................................................................................. 10

1.06 Fraud, Waste and Abuse....................................................................................................... 12

1.07 Other Information................................................................................................................. 14

2.0 CERTIFICATIONS ...................................................................................................................... 15

2.01 Funding Agreement Certification ......................................................................................... 15

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

Human Subjects Including Software Testing ................................................................................ 15

2.03 Research Applications Involving Live Vertebrate Animals or Pre-Existing Cell Lines/Tissues from 

Vertebrate Animals....................................................................................................................... 20

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

Tax Assessments and Delinquent Federal Tax Returns................................................................ 24

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS ...................................... 25

3.01 Phase II Application Requirements....................................................................................... 25

3.02 Phase II Application............................................................................................................... 26

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA............................................................ 32
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4.01 Introduction .......................................................................................................................... 32

4.02 Phase II Screening Criteria...............................................................................................................32

4.03 Phase II Evaluation Criteria .................................................................................................. 32

4.04 Phase II Award Selections..................................................................................................... 32

5.0 CONSIDERATIONS ................................................................................................................... 35

5.01 Awards .................................................................................................................................. 35

5.02 Reporting Requirements....................................................................................................... 36

5.03 Payment Schedule ................................................................................................................ 37

5.04 Innovations, Inventions and Patents.................................................................................... 38

5.05 Cost Sharing .......................................................................................................................... 44

5.06 Profit or Fee .......................................................................................................................... 44

5.07 Joint Ventures or Limited Partnerships ................................................................................ 44

5.08 Research and Analytical Work .............................................................................................. 44

5.09 Awardee Commitments........................................................................................................ 44

5.10 Summary Statements............................................................................................................ 45

5.11 Additional Information ......................................................................................................... 46

5.12 Technical Assistance for Application Preparation and Project Conduct .............................. 47

6.0 SUBMISSION OF APPLICATIONS.............................................................................................. 47

6.01 Deadline for Applications...................................................................................................... 47

6.02 Address to Request Application Package.............................................................................. 48
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6.03 Application Submission......................................................................................................... 49

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES........................................................... 51

8.0 SUBMISSION FORMS AND CERTIFICATIONS ........................................................................... 51

8.01 Required Forms and Documents.......................................................................................... 51

8.02 Verifying the Submission and Tracking the Application ....................................................... 56

8.03 Unique Entity Identifier and System for Award Management (SAM).................................. 57

9.0 RESEARCH AREAS .................................................................................................................... 57

Appendix A. COVER SHEET......................................................................................................... 110

Appendix B. CERTIFICATIONS...................................................................................................... 112
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US DEPARTMENT OF COMMERCE

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

FY 2019 SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM PHASE II

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 FY 2018 NIST SBIR Phase I 

awardees to submit Phase II research applications under this Notice of Funding Opportunity 

(NOFO). Only FY 2018 NIST SBIR Phase I awardees are eligible to submit applications in 

response to this NOFO for Phase II of their projects.

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 2022. (P.L. 115-232). 

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; (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 2019 SBIR program identifies and solicits applications in topics that fall within 

NIST’s mission and allow collaboration between NIST scientists and the SBIR awardees

whenever possible. Subtopics set forth in Section 9 of this NOFO are intended to cultivate 

private sector innovation.

In developing topics and subtopics and when reviewing applications, NIST gives high priority to 

small business concerns that participate in or conduct energy efficiency or renewable energy 

system R&D projects, consistent with Executive Order (EO) 13329 
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(http://www.gpo.gov/fdsys/pkg/FR-2004-02-26/pdf/04-4436.pdf) “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) SBIR Policy 

Directive, § 9, found at http://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-

14_amendments_2-24-14.pdf.

For any SBIR award for a subtopic 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 NIST-owned invention.

1.02 Three-Phase Program 

The SBIR statute (15 U.S.C. § 638) requires the Department of Commerce to establish a threephase SBIR program by reserving a percentage of its extramural R&D budget to be awarded to 

small business concerns for innovation research. SBIR policy is provided by the SBA through the

SBIR Policy Directive found at http://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-

14_amendments_2-24-14.pdf.

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 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 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 
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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 5.11 for more information about TABA.

This NOFO is not soliciting applications for Phase I research.

1.02.02 Phase II - Research and Development 

This NOFO provides an opportunity to all FY 2018 NIST SBIR Phase I awardees to submit a 

Phase II application following completion of Phase I. This NOFO provides instructions for FY 

2019 NIST SBIR Phase II application preparation and submission requirements.

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. Up to an additional $6,500 may be 

requested for Technical and Business Assistance (TABA); see Section 5.11 for more 

information about TABA.

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.

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 
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CRPP awards.

1.03 SBIR Applicant Eligibility and Limitations

1.03.01 Applicant Qualifications

Under this NOFO, only FY 2018 NIST SBIR Phase I awardees are eligible to submit applications.

Each applicant must qualify as a small business concern 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 II 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 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 Policy Directive (see Appendices V-VI), found at 

https://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2-24-14.pdf. 

Each SBC applying for an award is required to update the appropriate information in the 
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SBA Tech-Net 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-bycase basis.

1.03.02 Company Registry Requirements

SBA maintains and manages a Company Registry at http://www.sbir.gov/registration to track 

ownership and affiliation requirements for all companies applying to the SBIR Program. Phase II

applicants 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 form as described at the end of Section 8.01. 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.

1.04 Contact with NIST 

In the interest of competitive fairness, all oral or written communication with NIST 

regarding Section 9.0 Research Topics is prohibited during the Phase II open NOFO period. 

Questions and answers will not be accepted through, nor posted on, Grants.gov.

Applicants may 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 5.12 of 

this NOFO.

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

appropriate individual:

Subject Area Point of Contact

Programmatic Questions Mary Clague

Phone: (301) 975-4188

Fax: (301) 975-3482

E-mail: mary.clague@nist.gov
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Subject Area Point of Contact

or

J’aime Maynard

Phone: (301) 975-8408

E-mail: jmaynard@nist.gov

Electronic Application Submission 

through Grants.gov 

Leon Sampson

Phone: (301) 975-3086

Fax: (301) 975-6368

E-mail: grants@nist.gov

or

Grants.gov

Phone: 800-518-4726

E-mail: support@grants.gov

Grant Rules and Regulations Dean Iwasaki

Phone: (301) 975-8449

Fax: (301) 975-6368

E-mail: dean.iwasaki@nist.gov

1.05 Definitions

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

the SBA SBIR Policy Directive, available at http://sbir.gov/sites/default/files/sbir_pd_with_1-8-

14_amendments_2-24-14.pdf. 

Applicant – The organizational entity that qualifies as a Small Business Concern (SBC) at all 

pertinent times and that submits a contract proposal or a grant application for a funding 

agreement under the SBIR Program.

Awardee – The organizational entity that receives an SBIR Phase I, Phase II or Phase III award.

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 
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markets.

Cooperative Agreement - A financial assistance mechanism used when substantial Federal 

programmatic involvement with the awardee during performance is anticipated by the issuing 

agency. The Cooperative Agreement contains the responsibilities and respective obligations of 

the parties.

Contract – A mutually binding legal relationship obligating the seller to furnish equipment, 

goods or services and the buyer to pay for them.

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.

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

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).

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

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

subject studied;

(2) a systematic study directed specifically toward applying new knowledge to meet a 

recognized need; or

(3) a systematic application of knowledge toward the production of useful materials, devices, 

services, or methods, and includes design, development, and improvement of prototypes and 

new processes to meet specific requirements. 

SBIR Technical Data - All data generated during the performance of an SBIR award. 

SBIR Technical Data Rights - The rights an SBIR awardee obtains in data generated during the 

performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the 

Government during or upon completion of a Federally-funded project, and to which the 
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Government receives a license. 

Small Business Concern (SBC) – A concern that meets the requirements set forth in 13 C.F.R. § 

121.702 (available at http://www.gpo.gov/fdsys/granule/CFR-2011-title13-vol1.CFR-2011-

title13-vol1-sec121-702).

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 – See 2 C.F.R. § 200.92.

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.

1.06 Fraud, Waste and Abuse

As defined in the SBIR 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 Program include, but are not limited to:

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

under, an SBIR award;

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

compliance with program requirements under an SBIR award; 

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

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

converted SBIR award funds;

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

(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, available at 

https://www.oig.doc.gov/Pages/online-hotline-complaint-form.aspx send an e-mail to: 

Hotline@oig.doc.gov. Note: Because the Internet is not secure, it is possible, though unlikely, 

that e-mail complaints may be read by persons other than your intended source. If you are 

concerned about this, you may choose to call or mail. 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 or via e-mail. 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. Web submissions and e-mails containing such information will be blocked by our 

system administrator and will not be processed by our Complaint Department. Should you 

desire to provide this information, please contact the Hotline by telephone at the numbers 

listed below. 

Phone:

Toll Free 800-424-5197

In the DC metro area 202-482-2495

TTD Toll Free 855-860-6950

TTD in the DC metro area 202-482-5923
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Mail:

Office of Inspector General

Complaint Intake Unit, Mail Stop 7886

1401 Constitution Avenue, N.W.

Washington, DC 20230

Fax:

855-569-9235

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 employees, other Federal employees, and also by Federal agents 

and contractors, and/or by non-Federal 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 
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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

2.01 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 B of this NOFO.

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

Involving Human Subjects Including Software Testing

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

or data or recordings from or about human subjects, must satisfy the requirements of the 

Common Rule for the Protection of Human Subjects (“Common Rule”), codified for the 

Department of Commerce at 15 C.F.R. Part 27. Research activities involving human subjects 

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

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

such application that includes research activities on these subjects must be in compliance with 

all applicable statutory requirements imposed upon the Department of Health and Human 

Services (DHHS) and other Federal agencies, all regulations, policies and guidance adopted by 

DHHS, the Food and Drug Administration (FDA), and other Federal agencies on these topics, 

and all Executive Orders and Presidential statements of policy on applicable topics. (Regulatory 

Resources: http://www.hhs.gov/ohrp/humansubjects/index.html which includes links to FDA 

regulations, but may not include all applicable regulations and policies).

On January 19, 2017, a final rule was published in the Federal Register that made significant 

amendments to the Common Rule: 

https://www.federalregister.gov/documents/2017/01/19/2017-01058/federal-policy-for-theprotection-of-human-subjects. These amendments, known as the “2018 Requirements,” took 

effect on January 21, 2019. Any award made by NIST in this competition will be subject to the 

2018 Requirements.

NIST uses the following Common Rule definitions for research and human subjects research:
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Research: A systematic investigation, including research development, testing and evaluation, 

designed to develop or contribute to generalizable knowledge. Activities which meet this 

definition constitute research for purposes of this policy, whether or not they are conducted or 

supported under a program which is considered research for other purposes. For example, 

some demonstration and service programs may include research activities.

Human Subject: A living individual about whom an investigator (whether professional or 

student) conducting research: (i) Obtains information or biospecimens through intervention or 

interaction with the individual, and uses, studies, or analyzes the information or biospecimens; 

or (ii) Obtains, uses, studies, analyzes, or generates identifiable private information or 

identifiable biospecimens. 

(1) Intervention includes both physical procedures by which information or biospecimens 

are gathered and manipulations of the subject or the subject's environment that are 

performed for research purposes. 

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

subject. 

(3) Private information includes information about behavior that occurs in a context in 

which an individual can reasonably expect that no observation or recording is taking 

place, and information which has been provided for specific purposes by an individual 

and that the individual can reasonably expect will not be made public (for example, a 

medical record). Private information must be individually identifiable (i.e., the identity 

of the subject is or may readily be ascertained by the investigator associated with the 

information) in order for obtaining the information to constitute research involving 

human subjects. 

(4) Identifiable biospecimen includes a biospecimen for which the identity of the subject is 

or may readily be ascertained by the investigator or associated with the biospecimen.

See 15 C.F.R. § 27.102 (Definitions). 

1) Requirement for Federalwide Assurance. If the application is accepted for [or 

awarded] funding, organizations that have an Institutional Review Board (IRB) are 

required to follow the procedures of their organization for approval of exempt and nonexempt research activities that involve human subjects. Both domestic and foreign 

organizations performing non-exempt research activities involving human subjects will 

be required to have protocols approved by a cognizant, active IRB currently registered 
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with the Office for Human Research Protections (OHRP) within the DHHS that is linked 

to the engaged organizations. All engaged organizations must possess a currently valid 

Federalwide Assurance (FWA) on file from OHRP. Information regarding how to apply 

for an FWA and register an IRB with OHRP can be found at 

http://www.hhs.gov/ohrp/assurances/index.html. See 15 C.F.R. § 27.103. NIST relies 

only on OHRP-issued FWAs and IRB Registrations for both domestic and foreign 

organizations for NIST supported research involving human subjects. NIST will not issue 

its own FWAs or IRB Registrations for domestic or foreign organizations. 

2) Administrative Review. The NIST Human Subjects Protection Office (HSPO) reserves the 

right to conduct an administrative review1 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 HSPO) under 15 C.F.R. § 

27.112 (Review by Institution). If the NIST HSPO determines that an application includes 

research activities that potentially involve human subjects, the applicant will be 

required to provide additional information to NIST for review and approval. The 

documents required for funded proposals are listed in each section below. Most 

documents will need to be produced 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. Research involving human subjects may 

not start until the NIST Grants Officer issues an award explicitly authorizing such 

research. In addition, all amendments, modifications, or changes to approved research 

and requests for continuing review and closure will be reviewed by the NIST HSPO.

3) Required documents for proposal review. 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.

 

1 Conducting an “administrative review” means that the NIST HSPO will review and verify the performing institution’s 

determination for research not involving human subjects or exempt human subjects research. In addition, for nonexempt human subjects research, the NIST HSPO will review and confirm that the research and performing 

institution(s) are in compliance with 15 C.F.R. Part 27, which means HSPO will 1) confirm the engaged institution(s) 

possess, or are covered under a Federalwide Assurance, 2) review the research study documentation submitted to the 

IRB and verify the IRB’s determination of level of risk and approval of the study for compliance with 15 C.F.R. Part 27, 

3) review and verify IRB-approved substantive changes to an approved research study before the changes are 

implemented, and 4) review and verify that the IRB conducts a continuing review at least annually, as appropriate.
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a. Not research determination. If an activity/task involves human subjects as defined in the 

Common Rule, but the applicant participant(s) indicates to NIST that the activity/task is not 

research as defined in the Common Rule, the following information may be requested for that 

activity/task:

(1) Justification, including the rationale for the determination and such additional 

documentation as may be deemed necessary by NIST to review and/or support a 

determination that the activity/task in the application is not research as defined in the 

Common Rule. 

(2) If the applicant participant(s) used a cognizant IRB that provided a determination that the 

activity/task is not research, a copy of that determination documentation must be provided 

to NIST. The applicant participant(s) is not required to establish a relationship with a 

cognizant IRB if they do not have one.

NIST will review the information submitted and may coordinate further with the applicant 

before determining whether the activity/task will be defined as research under the Common 

Rule in the applicable NIST financial assistance program or project.

b. Research not involving human subjects. If an activity/task is determined to be research and 

involves human subjects, but is determined to be not human subjects research (or research not 

involving human subjects) under the Common Rule, the following information may be 

requested for that activity/task:

(1) Justification, including the rationale for the determination and such additional 

documentation as may be deemed necessary by NIST to review and/or support a 

determination that the activity/task in the application is not research as defined in the 

Common Rule. 

(2) If the applicant participant(s) used a cognizant IRB that provided a determination that the 

activity/task is research not involving human subjects, a copy of that determination 

documentation must be provided to NIST. The applicant participant(s) is not required to 

establish a relationship with a cognizant IRB if they do not have one.

c. Exempt research determination with no IRB. If the application appears to NIST to include 

exempt research activities, and the performer of the activity or the supplier and/or the receiver 

of the information or biospecimens from human subjects does not have a cognizant IRB to 

provide an exemption determination, the following information may be requested during the 

review process so that NIST can evaluate whether an exemption under the Common Rule 

applies (see 15 C.F.R. § 27.104(b) and (d)):
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(1) The name(s) of the institution(s) where the exempt research will be conducted.

(2) The name(s) of the institution(s) providing the biospecimens or information from human 

subjects.

(3) A copy of the protocol for the research to be conducted; and/or the biospecimens or 

information from human subjects to be collected/provided, not pre-existing samples (i.e.,

will proposed research collect only information without personal identifiable information, 

will biospecimens or information be de-identified and when and by whom was the deidentification performed, how were the materials or data originally collected).

(4) For pre-existing biospecimens or information from human subjects, provide copies of the 

consent forms used for collection and a description of how the biospecimens or information 

were originally collected and stripped of personal identifiers. If copies of consent forms are 

not available, explain.

(5) Any additional clarifying documentation that NIST may deem necessary in order to make a 

determination whether the activity/task or use of biospecimens or information from human 

subjects is exempt under the Common Rule.

d. Research review with an IRB. If the application appears to NIST to include research activities 

(exempt or non-exempt) involving human subjects, and the proposed performer of the activity 

has a cognizant IRB registered with OHRP, and linked to their Federalwide Assurance, the 

following information may be requested during the review process:

(1) The name(s) of the institution(s) where the research will be conducted.

(2) The name(s) and institution(s) of the cognizant IRB(s), and the IRB registration number(s).

(3) The FWA number of the applicant linked to the cognizant IRB(s).

(4) The FWAs associated with all organizations engaged in the planned research activity/task, 

linked to the cognizant IRB.

(5) If the IRB review(s) is pending, the estimated start date for research involving human 

subjects.

(6) The IRB approval date (if currently approved for exempt or non-exempt research).

(7) If any of the engaged organizations has applied for or will apply for an FWA or IRB 

registration, those details should be clearly provided for each engaged organization.

If the application includes research activities involving human subjects to be performed in the 

first year of an award, additional documentation may be requested by NIST during pre-award 

review for those performers, and may include the following for those research activities: 

(1) A signed (by the study principal investigator) copy of each applicable final IRB-approved 

protocol.
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(2) A signed and dated approval letter from the cognizant IRB(s) that includes the name of the 

institution housing each applicable IRB, provides the start and end dates for the approval of 

the research activities, and any IRB-required interim reporting or continuing review 

requirements.

(3) A copy of any IRB-required application information, such as documentation of approval of 

special clearances (i.e., biohazard, HIPAA, etc.) conflict-of-interest letters, or special training 

requirements.

(4) A brief description of which portions of the IRB submitted protocol are specifically included 

in the application submitted to NIST, if the protocol includes tasks not included in the 

application, or if the protocol is supported by multiple funding sources. For protocols with 

multiple funding sources, NIST will not approve the study without a non-duplication-offunding letter indicating that no other federal funds will be used to support the tasks 

proposed under the proposed research or ongoing project.

(5) If a new protocol will only be submitted to an IRB if an award from NIST is issued, a draft of 

the proposed protocol.

(6) Any additional clarifying documentation that NIST may request during the review process to 

perform the NIST administrative review of research involving human subjects. (See 15 

C.F.R. § 27.112 (Review by Institution)).

This clause reflects 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 Human Subjects Protection Office (e-mail: anne.andrews@nist.gov; phone: 

(301) 975-5445).

2.03 Research Applications Involving Live Vertebrate Animals or Pre-Existing Cell Lines/Tissues 

from Vertebrate Animals

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 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 
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compliance with the “U.S. Government Principles for Utilization and Care of Vertebrate Animals 

Used in Testing, Research, and Training” (Principles). The Principles and guidance on these 

Principles are available in the National Research Council's “Guide for the Care and Use of 

Laboratory Animals,”,” which can be obtained from National Academy Press, 500 5th Street, N.W., 

Department 285, Washington, DC 20055, or as a free PDF online at 

http://www.nap.edu/catalog/12910/guide-for-the-care-and-use-of-laboratory-animals-eighth. 

1) Administrative Review. NIST reserves the right to conduct an administrative review2 of all 

applications that potentially include research activities that involve live vertebrate animals, 

or custom samples from, or field studies with live vertebrate animals. If the application 

includes research activities, field studies, or custom samples involving live vertebrate 

animals, the applicant will be required to provide additional information for review and 

approval. In addition, NIST will verify the applicant’s determination(s) of excluded samples 

from vertebrate animals. The documents required for funded proposals are listed in each 

section below. Some 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. 

2) Required documents for NIST proposal review. 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.

 

2 Conducting an “administrative review” means that the NIST HSPO will review and verify the performing institution’s 

IACUC’s approval of research with live vertebrate animals, and confirm that the research and performing institution(s) 

have an appropriate assurance and are in compliance with applicable regulations. HSPO will 1) confirm the engaged 

institution(s) possess, or are covered under an applicable assurance, 2) review the research study documentation 

submitted to the IACUC and verify the IACUC’s determination of level of risk and approval of the study for compliance 

with applicable regulations, 3) review and verify IACUC-approved substantive changes to an approved research study 

before the changes are implemented, and 4) review and verify that the IACUC receives an annual report for the study 

and conducts an appropriate continuing review at least every three years.
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a) Excluded Collections from Vertebrate Animals: The requirements for review and 

approval by an Institutional Animal Care and Use Committee (IACUC) do not apply to 

proposed research using preexisting images of animals or to research plans that do not 

include live animals. These regulations also do not apply to obtaining stock or preexisting items from animal material suppliers (e.g., tissue banks), such as pre-existing cell 

lines and tissue samples, or from commercial food processors, where the vertebrate 

animal was euthanized for food purposes and not for the purpose of sample collection.

For pre-existing cell lines and tissue samples originating from vertebrate animals, NIST 

requires that the proposer provide documentation or the rationale for the determination 

that the cell line or tissue is pre-existing and not a custom collection from live vertebrate 

animals for an activity/task within the proposal. NIST may require additional 

documentation to review and/or support the determination that the cells and/or tissues 

from vertebrate animals are excluded from IACUC review.

b) Custom Collections Harvested from Live Vertebrate Animals: NIST requires 

documentation for obtaining custom samples from live vertebrate animals from animal 

material suppliers and other organizations (i.e., universities, companies, and government 

laboratories, etc.). A custom sample includes samples from animal material suppliers, 

such as when a catalog item indicates that the researcher is to specify the characteristics 

of the live vertebrate animal to be used, or how a sample is to be collected from the live 

vertebrate animal. 

c) Field Studies of Animals: Some field studies of animals may be exempt under the Animal 

Welfare Act from full review and approval by an animal care and use committee, as 

determined by each institution. Field study is defined as “... a study conducted on freeliving wild animals in their natural habitat...”. 9 C.F.R. § 1.1. However, this term excludes 

any study that involves an invasive procedure or that harms or materially alters the 

behavior of an animal under study. Field studies, with or without invasive procedures, 

may also require obtaining appropriate federal or local government permits (marine 

mammals, endangered species, etc.). If the applicant’s institution requires review and 

approval by an animal care and use committee, NIST will require that documentation to 

be provided as described below.

d) For custom collections or studies with live vertebrate animals that require review and 

approval by an animal care and use committee the following documentation is 

required:
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(1) Requirement for Assurance. An applicable assurance for the care and use of the live 

vertebrate animal(s) to be used in the proposed research is required. NIST may 

request documentation to confirm an assurance, if adequate confirmation is not 

available through an assuring organization’s website. The cognizant IACUC where 

the research activity is located may hold one or more assurances applicable to the 

research activity that are acceptable to NIST. These four assurances are:

i. Animal Welfare Assurance from the Office of Laboratory Animal Welfare 

(OLAW) indicated by the OLAW assurance number, i.e., A-1234; 

ii. USDA Animal Welfare Act certification indicated by the certification number, 

i.e., 12-R-3456; 

iii. Association for the Assessment and Accreditation of Laboratory Animal Care 

(AAALAC) indicated by providing the organization name accredited by 

AAALAC as listed in the AAALAC Directory of Accredited Organizations; and

iv. Letter of Assurance of compliance with the Animal Welfare Act, the U.S. 

Government Principles, and National Marine Fisheries Service (NFMS) IACUC 

policy that is valid for five years and provided by a NMFS Regional IACUC for 

activities with marine mammals or sea turtles (NMFS Policy Directive 04-

112).

(2) Documentation of Research Review by an IACUC: If the applicant’s application 

appears to include research activities, field studies, or custom sample collections 

involving live vertebrate animals the following information regarding review by an 

applicable IACUC may be requested during the application review process:

1. The name(s) of the institution(s) where the research involving live vertebrate 

animals will be conducted and/or custom samples collected.

2. The assurance type and number, as applicable, for the cognizant Institutional 

Animal Care and Use Committee (IACUC) where the research activity is 

located. [For example: Animal Welfare Assurance from the Office of Laboratory 

Animal Welfare (OLAW) should be indicated by the OLAW assurance number, i.e. 

A-1234; an USDA Animal Welfare Act certification should be indicated by the 

certification number i.e. 12-R-3456; and an Association for the Assessment and 

Accreditation of Laboratory Animal Care (AAALAC) should be indicated by 

AAALAC.]

3. The IACUC approval date for the Animal Study Protocol (ASP) (if currently 

approved).

4. If the review by the cognizant IACUC is pending, the estimated start date for 

research involving vertebrate animals.
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5. If any assurances or IACUCs need to be obtained or established, that should be 

clearly stated.

6. If any special permits are required for field studies, those details should be clearly 

provided for each instance, or indicated as pending.

If the application includes research activities involving vertebrate animals to be performed 

in the first year of an award, additional documentation may be requested by NIST during 

pre-award review for those performers, and may include the following for those research 

activities, which may also include field studies, custom sample collections involving live 

vertebrate animals:

1. A signed (by the Principal Investigator) copy of the IACUC approved ASP.

2. Documentation of the IACUC approval indicating the approval and expiration 

dates of the ASP.

3. If applicable, a non-duplication-of-funding letter if the ASP is funded from several 

sources.

4. If a new ASP will only be submitted to an IACUC if an award from NIST is issued, a 

draft of the proposed ASP may be requested.

5. Any additional clarifying documentation that NIST may request during review of 

applications to perform the NIST administrative review of research involving live 

vertebrate animals.

This clause reflects the existing NIST policy for Research Involving Live Vertebrate Animals. 

Should the policy be revised prior to award, a clause reflecting the policy current at time of 

award may be incorporated into the award.

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

into the award.

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

Linda Beth Schilling, Senior Analyst (e-mail: linda.schilling@nist.gov; phone: 301-975-2887).

2.04 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 
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felony and federal criminal tax convictions, unpaid federal tax assessments, and delinquent 

federal tax returns.

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.01 Phase II Application Requirements 

Only FY 2019 Phase II applications may be submitted in response to this NOFO. Only FY 

2018 Phase I awardees are eligible to submit FY 2019 Phase II applications.

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 address the applicable 

subtopic in Section 9. 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 not only be responsive to the specific NIST program interests described in 

Section 9 of the NOFO, but also must serve as the basis for technological innovation leading to 

new commercial products, processes, or services that benefit the public. 

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

application has insufficient scientific and technical information, 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. 

All applicants are required to provide information for SBA’s database (www.sbir.gov). The 

following are examples of the data to be entered by applicants into the database:

• Any business concern or subsidiary established for the commercial application of a 

product or service for which an SBIR award is made. 

• Revenue from the sale of new products or services resulting from the research 

conducted under each Phase II award. 

• Additional investment from any source, other than Phase I or Phase II awards, to further 

the research and development conducted under each Phase II award. 
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• Updated information in the SBA Tech-Net database on sbir.gov for any prior award 

received by the SBC. The SBC may apportion sales or additional investment information 

relating to more than one Phase II award among those awards, if it notes the 

apportionment for each award. 

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. 

3.02 Phase II Application

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

and documents listed in Section 8.01.

The Cover Sheet and Technical Content portion of the Technical Proposal is limited to 25 pages.

Additional pages beyond the 25-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,

(b) Technical Content (3.02.02) pages 3 through 25,

(c) Commercialization Plan (3.02.03), and

(d) Phase I Final Report (3.02.04).

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 25-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. 

If an applicant checks ‘Yes’ on #11, the applicant’s contact information will be provided to the

NIST Hollings Manufacturing Extension Partnership (MEP). These applicants may be contacted 
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by their 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 published on the NIST SBIR website (www.nist.gov/tpo/smallbusiness-innovation-research-program) and therefore should not contain proprietary 

information.

3.02.02 Technical Content

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

shown: 

(1) Identification and Significance of the Problem or Opportunity. Make a clear statement of 

the specific research problem or opportunity addressed, its innovativeness, commercial 

potential, and why it is important. Explain how it applies to a specific subtopic in Section 9 that 

was utilized in Phase I. 

(2) Phase II Technical Objectives. State the specific objectives of the Phase II effort.

(3) Phase II Work Plan. Include a detailed description of the Phase II R&D 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. 

(4) 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. 

(5) Key Individuals and Bibliography of Related Work. Identify key individuals involved in 

Phase II, 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. 
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(6) Relationship with Future R/R&D. Discuss the significance of the Phase II effort in providing 

a foundation for the Phase III. Also state the anticipated commercial results of the proposed 

approach. 

(7) Facilities and Equipment. A detailed description, availability, and location of 

instrumentation and physical facilities proposed for Phase II should be provided. 

(8) 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

arrangements for such assistance are in place at time of application submission.

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

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 following definitions apply to this NOFO:

1. Consultant - A person outside the firm, named in the application as contributing to the 

research, must provide a signed statement confirming his/her availability, role in the project, 

and agreed consulting rate for participation in the project. 

2. Contract - Similarly, where a contract is involved in the research, the contractor institution 

must furnish a letter signed by an appropriate official describing the programmatic 

arrangements and confirming its agreed participation in the research, with its proposed budget 

for this participation. 

3. Subawards - As the funding instrument used in this program is financial assistance, an 

awardee might pass through funds to another organization to carry out part of the Federallysupported project. A “subaward” relationship fits the circumstances more appropriately than a 

contract when used to carry out part of the Federally-supported project. See 2 CFR §§ 200.92 

(subaward), 200.93 (subrecipient), and 200.330 (Subrecipient and contractor determinations), 

respectively.
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The subrecipient institution must furnish a letter signed by an appropriate official describing 

the programmatic arrangements and confirming its agreed participation in the research, with 

its proposed budget for this participation. 

(9) 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.

(10) Guest Researcher. State if the applicant 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 

laboratory. 

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

process for Phase II applications.

(12) 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. 
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(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. 

3.02.03 Commercialization Plan

Attach a copy of your commercialization plan that follows the guidelines below. 

An important criterion for selection of NIST Phase II awards is the potential for commercial 

applications of the research, as evidenced by one or more of the following:

• The Small Business Concern's record of commercializing SBIR and other research;

• The existence of Phase III follow-on funding commitments from the private sector or nonSBIR Government funding sources; and

• Other indicators of the concept’s commercial potential.

There are no page limits (upper or lower) for the commercialization plan because each project 

is distinct and each company's vision for deploying its technology into the marketplace is 

unique. 

The commercialization plan should provide information directly related to bringing the 

anticipated research results to market. For more information on preparing a commercialization 

plan, please visit the Small Business Administration website, Writing a Business Plan: 

http://www.sba.gov/category/navigation-structure/starting-managing-business/startingbusiness/how-write-business-plan.

The commercialization plan should indicate how the Phase II research results are to be carried 

out in Phase III and should address the following areas:
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Company - A brief description of your company, the nature of your business and field(s) of 

interest including core competencies, present size (number of employees and annual sales 

level), any current products that have had significant sales, history of previous Federal and nonFederal funding, and any growth in the company that can be attributed to the SBIR program.

Commercial Applications - A clear description of the product/service/process you plan on 

providing as a result of your Phase II research and the potential commercial application or use.

Potential Markets and Customers - Who will be your customers? What market(s) have you 

identified for this technology? What are your estimates of the size, growth potential, and 

monetary value of the market(s)? What is your estimated market share 5 years after the first 

sale? 

Competition - Who are the major competitors in these markets, present or anticipated? What 

significant advantages do you anticipate your technology will have over the competition? What 

is innovative about your anticipated technology or products? How do you intend to compete 

with competitors?

Past Intellectual Property Success - Have you filed one or more patents as a result of this SBIR 

project or taken other steps to protect intellectual property, such as registering copyrights?

Path to Commercialization - A description of the approach you will take to convert your Phase 

II research results into a viable product/service/process for the marketplace. Include the 

following to the extent possible:

a) Time Frame to Market. Include a timeline, with milestones, for bringing the invention to a 

point of practical application and to the marketplace. What is the estimated date of the 

first commercial sale?

b) What are the hurdles or barriers to entry to overcome?

c) A description of your available resources including manufacturing, marketing, technical, and 

how they will be employed to fulfill the development of the commercialization plan. 

d) Describe in some level of detail your strategy and the steps you will take to bring this 

technology to market and sell your product/process/service.

e) Describe the nature and status of any third party relationships crucial to commercialization 

including, but not limited to other licenses required, sublicenses of the licensed NIST 

Invention (for “Lab to Market” projects), financing, research, marketing, distribution and 

manufacturing.

f) Describe the existence of Phase III follow-on funding commitments from the private sector 
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or non-SBIR Government funding sources, if any; and

g) Provide any details for future plans to file one or more patents resulting from this project.

Assistance and Mentoring - Plans for securing needed technical or business assistance through 

mentoring, partnering, or through arrangements with state assistance programs, Small 

Business Development Centers (SBDCs), Hollings Manufacturing Extension Partnership Centers, 

or other assistance providers.

3.02.04 Phase I Final Report

Attach a copy of your Phase I Final Report.

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, and 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 II Screening Criteria 

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

assure that your application meets NIST requirements. Phase II applications that do not clearly 

satisfy all six (6) 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.
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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 II application must include all required forms and documents listed in Section 

8.01:

i) SF-424, Application for Federal Assistance

ii) SF424A, Budget Information – Non-Construction Programs

iii) SF-424B, Assurances – Non-Construction Programs

iv) CD-511, Certification Regarding Lobbying

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

c. Commercialization Plan – see Section 3.02.03

d. Phase I Final Report – see Section 3.02.04

vii) Budget Narrative – 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) Research and Related Personal Data – see Section 8.01.11

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

Certificate of Training Completion – see Section 8.01.12

xiii)Current and Pending Support Form – see Section 8.01.13

(4) The Phase II total proposed project budget must not exceed $400,000. Up to an additional 

$6,500 may be requested for TABA. 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 (Section 1.03).

(5) The duration for the Phase II project must not exceed 24 months. 

(6) 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.
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4.03 Phase II Evaluation Criteria

Phase II applications that satisfy the screening criteria in Section 4.02 will proceed to a scored 

merit review process. 

Technical Review. The applications will be evaluated by three reviewers in 

accordance with the following equally weighted criteria, on a scale of 1 to 5, for a 

maximum of 20 points: 

(1) The soundness of the technical approach to the proposed research.

(2) The likelihood the proposed effort will yield significant results leading to a product within 

the subtopic as described in the commercialization plan.

(3) The likelihood the proposed approach will contribute to the field of study of the subtopic.

(4) Qualifications of the proposed principal/key investigators, supporting staff, and consultants

as they relate to accomplishing the proposed research effort.

Applicants should be specific and clear when writing their applications and not assume 

information not clearly spelled out can be inferred by the reviewer. No technical clarifications 

may be made after application submission. The Selecting Official will determine the average 

score above which applications will be considered “technically superior.” Applications not rated 

as technically superior will not be considered further.

4.04 Phase II Award Selections

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

Technology Partnerships Office, or designee, considering the following selection factors:

(1) Scores and comments provided by the Merit reviewers;

(2) Diversity across participants and NIST program areas;

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

(4) Availability of funding.

In the event of a “tie” between applications, manufacturing-related projects and those 

regarding energy efficiency and renewable energy system will receive priority in the award 

selection process. NIST may select some, all, or none of the applications, or part(s) of any 

particular application. Prior to issuing an award, NIST may ask for supplemental information 
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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 administrative reviews, 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. Upon review of these 

factors, if appropriate, specific conditions that correspond to the degree of risk may be applied 

to an award.

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

simplified acquisition threshold (currently $150,000), 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 option, 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 award 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, the technical 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 
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Through 2 C.F.R. § 1327.101, the Department of Commerce adopted Uniform Administrative 

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

200, which apply to awards in this program. Refer to http://go.usa.gov/SBYh and 

http://go.usa.gov/SBg4.

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, 

dated October 9, 2018, is accessible at 

http://www.osec.doc.gov/oam/grants_management/policy/default.htm.

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

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

are available at http://go.usa.gov/hKkR.

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

approximately six (6) Phase II awards with a project budget of no more than $400,000 each.

Up to an additional $6,500 may be included in each award for TABA. The total performance 

period shall be no more than 24 months beginning on the agreement start date. A period of 

one (1) month is allotted after the 24 month R&D duration for the awardee to prepare and 

submit a final report.

One year after completing the R&D activity, the awardee is expected to report on its 

commercialization activities. 

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 6 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 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 II awardees will be required to submit three interim progress reports, a final report, and 

a commercialization report. Generally, Phase II reports are due at 6, 12, 18, 24, and 36 months 

after the start of the award. 
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Performance (technical) reports should include technical details regarding the research 

conducted up to that point in the project and provide detailed plans for the next stages of the 

project. 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 performance (technical) reports and final report 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 5.04.02.(d)(1).

Final reports shall include a single-page project summary as the first page. The remainder of 

the report should indicate the research objectives, research work carried out, results 

obtained, and estimates of technical feasibility. 

All final reports must carry an acknowledgment on the cover page such as: "This material is 

based upon work supported by the National Institute of Standards and Technology (NIST) under 

cooperative agreement _______________. Any opinions, findings, conclusions or 

recommendations expressed in this publication are those of the author(s) and do not 

necessarily reflect the views of NIST."

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 three calendar 

days before being disbursed by the non-Federal entity for eligible award costs. In no case 
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should advances exceed the amount of cash required for a 30-day period.

5.04 Innovations, Inventions and Patents

5.04.01 Proprietary Information Proposals

Applicants are discouraged from submitting proprietary information unless the information is 

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

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

commercial or financial information, confidential personal information or data affecting the 

national security, it will be treated in confidence, to the extent permitted by law. This 

information must be clearly marked by the applicant with the term “confidential proprietary 

information” and the following legend must appear on the title page of the proposal:

“These data shall not be disclosed outside the Government and shall not be 

duplicated, used, or disclosed in whole or in part for any purpose other than 

evaluation of this proposal. If a funding agreement is awarded to this applicant 

as a result of or in connection with the submission of these data, the 

Government shall have the right to duplicate, use, or disclose the data to the 

extent provided in the funding agreement and pursuant to applicable law. This 

restriction does not limit the Government's right to use information contained in 

the data if it is obtained from another source without restriction. The data 

subject to this restriction are contained on pages______of this proposal.” 

Any other legend may be unacceptable to the Government and may constitute grounds for 

removing the proposal from further consideration, without assuming any liability for 

inadvertent disclosure. The Government will limit dissemination of such information to within 

official channels. Information contained in unsuccessful proposals will remain the property of 

the applicant. The Government may, however, retain copies of all proposals. Public release of 

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

requirements. These provisions are consistent with and do not supersede, conflict with, or 

otherwise alter the employee obligations, rights, or liabilities created by existing statute or 

Executive order relating to (1) classified information, (2) communications to Congress, (3) the 

reporting to an Inspector General of a violation of any law, rule, or regulation, or 

mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific 

danger to public health or safety, or (4) any other whistleblower protection. The definitions, 

requirements, obligations, rights, sanctions, and liabilities created by controlling Executive 

orders and statutory provisions are incorporated into this agreement and are controlling.
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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 issues under this NOFO:

(a) Definitions. As used in regards this NOFO and awards made pursuant to this NOFO:

“Computer database” or “database” means a collection of recorded information in a form 

capable of, and for the purpose of, being stored in, processed, and operated on by a computer. 

The term does not include computer software.

“Computer software” (1) means: (i) computer programs that comprise a series of instructions, 

rules routines, or statements, regardless of the media in which recorded, that allow or cause a 

computer to perform a specific operation or series of operations; and (ii) recorded information 

comprising source code listings, design details, algorithms, processes, flow charts, formulas, 

and related material that would enable the computer program to be produced, created, or 

compiled; and (2) does not include computer databases or computer software documentation.

“Computer software documentation” means 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” means recorded information, regardless of form or the media on which it may be 

recorded. The term includes technical data and computer software. The term does not include 

information incidental to contract administration, such as financial, administrative, cost or 

pricing or management information.

“Form, fit, and function data” means data relating to items, components, or processes that are 

sufficient to enable physical and functional interchangeability as well as 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.

“Limited rights data” means data (other than computer software) developed at private expense 

that embody trade secrets or are commercial or financial and confidential or privileged.
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“Restricted computer software” means computer software developed at private expense and 

that is a trade secret; is commercial or financial and confidential or privileged; or is copyrighted 

computer software; including modifications of the computer software.

“SBIR data” means data first produced by an Awardee that is a small business concern in 

performance of a small business innovation research award issued under the authority of 15 

U.S.C. § 638, which data are not generally known, and which data without obligation as to its 

confidentiality have not been made available to others by the Awardee or are not already 

available to the Government.

“SBIR rights” means the rights in SBIR data set forth in the SBIR Rights Notice of paragraph (d) 

of this clause.

“Technical data” means recorded information (regardless of the form or method of the 

recording) of a scientific or technical nature (including computer databases and computer 

software documentation). This term does not include computer software or financial, 

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

administration. (See 41 U.S.C. § 403(8)).

“Unlimited rights” means the right of the Government to use, disclose, reproduce, prepare 

derivative works, distribute copies to the public, and perform publicly and display publicly, in 

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

(b) Allocation of rights.

(1) Except as provided in paragraph (c) section regarding copyright, the Government shall have 

unlimited rights in—

(i) Data specifically identified in this award as data to be delivered without restriction;

(ii) Form, fit, and function data delivered under this award;

(iii) Data delivered under this award (except for restricted computer software) that 

constitute manuals or instructional and training material for installation, operation, or 

routine maintenance and repair of items, components, or processes delivered or 

furnished for use under this award; and

(iv) All other data delivered under this award unless provided otherwise for SBIR data 

in accordance with paragraph (d) of this clause or for limited rights data or restricted 

computer software in accordance with paragraph (f) of this clause.

(2) The Awardee shall have the right to—
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(i) Assert copyright in data first produced in the performance of this award to the 

extent provided in paragraph (c)(1) of this clause;

(ii) Protect SBIR rights in SBIR data delivered under this award in the manner and to 

the extent provided in paragraph (d) of this clause;

(iii) Substantiate use of, add, or correct SBIR rights or copyright notices and to take 

other appropriate action, in accordance with paragraph (e) of this clause; and

(iv) Withhold from delivery those data which are limited rights data or restricted 

computer software to the extent provided in paragraph (f) of this clause.

(c) 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).

(iii) 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.

(d) Rights to SBIR data.
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(1) The Awardee is authorized to affix the following “SBIR Rights Notice” to SBIR data delivered 

under this award and the Government will treat the data, subject to the provisions of 

paragraphs (e) and (f) of this clause, in accordance with such Notice:

SBIR Rights Notice

These SBIR data are furnished with SBIR rights under Award No._____ (and contract 

or subaward _____, if appropriate). For a period of 4 years, unless extended, after 

acceptance of all items to be delivered under this award, the Government will use 

these data for Government purposes only, and they shall not be disclosed outside the 

Government (including disclosure for procurement purposes) during such period 

without permission of the Awardee, except that, subject to the foregoing use and 

disclosure prohibitions, these data may be disclosed for use by support contractors 

and/or subrecipients. After the protection period, the Government has a paid-up

license to use, and to authorize others to use on its behalf, these data for Government 

purposes, but is relieved of all disclosure prohibitions and assumes no liability for 

unauthorized use of these data by third parties, except that any such data that is also 

protected and referenced under a subsequent SBIR award shall remain protected through 

the protection period of that subsequent SBIR award. This Notice shall be affixed to any 

reproductions of these data, in whole or in part.

(End of notice)

(2) The Government’s sole obligation with respect to any SBIR data shall be as set forth in this 

paragraph (d).

(e) Omitted or incorrect markings.

(1) Data delivered to the Government without any notice authorized by paragraph (d) of this 

clause shall be deemed to have been furnished with unlimited rights. The Government assumes 

no liability for the disclosure, use, or reproduction of such data.

(2) If the unmarked data has not been disclosed without restriction outside the Government, 

the Awardee may request, within six months (or a longer time approved by the Grants Officer 

in writing for good cause shown) after delivery of the data, permission to have authorized 

notices placed on data at the Awardees expense, and the Grants Officer may agree to do so if 

the Awardee—

(i) Identifies the data to which the omitted notice is to be applied;

(ii) Demonstrates that the omission of the notice was inadvertent;

(iii) Establishes that the use of the proposed notice is authorized; and

(iv) Acknowledges that the Government has no liability with respect to the disclosure 

or use of any such data made prior to the addition of the notice or resulting from the 

omission of the notice.
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(3) If the data has been marked with an incorrect notice the Grants Officer may—

(i) Permit correction, at the Awardee’s expense, if the Awardee identifies the data and 

demonstrates that the correct notice is authorized, or

(ii) Correct any incorrect notices.

(f) Protection of limited rights data and restricted computer software. The Awardee may 

withhold from delivery qualifying limited rights data and restricted computer software that are 

not identified in paragraphs (b)(1)(i), (ii), and (iii) of this clause. As a condition to this 

withholding the Awardee shall identify the data being withheld and furnish form, fit, and 

function data instead.

(g) Contracting and Subawards. The Awardee shall obtain from its contractors and 

subawardees all data and rights therein necessary to fulfill the Awardee’s obligations to the 

Government under this award. If a contractor or subawardee refuses to accept terms affording 

the Government those rights, the Awardee shall promptly notify the Grants Officer of the 

refusal and not proceed with the contract or subaward without further authorization in writing 

from the Grants Officer.

(h) Relationship to patents. Nothing contained in this subsection shall imply a license to the 

Government under any patent or be construed as affecting the scope of any license or other 

right otherwise granted to the Government.

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
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Normally, small business concerns 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

See 13 C.F.R. § 121.103(h). Joint ventures and limited partnerships are eligible, provided the 

entity created qualifies as a small business as defined in this NOFO. The awardee may enter 

into contracts, subawards, or other agreements with universities or other non-profit 

organizations. 

5.08 Research and Analytical Work

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 one-half of the 

total award.

5.09 Awardee Commitments
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Upon award of a funding agreement, the awardee will be required to make certain legal 

commitments through acceptance of numerous Specific Award Conditions (SACs) in the funding 

agreement. Awards also will be governed by the Department of Commerce Financial Assistance 

Standard Terms and Conditions (October 9, 2018), 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. § 200.336, available at www.gpo.gov/fdsys/pkg/CFR-2017-title2-vol1/pdf/CFR-2017-

title2-vol1-sec200-336.pdf.

(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, or for cause; (b) 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 terminated; (c) 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. §§ 200.338-

342 available at www.gpo.gov/fdsys/granule/CFR-2014-title2-vol1/CFR-2014-title2-vol1-

sec200-338.

(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 
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Assistance Standard Terms and Conditions.

(4) Audit Requirements. 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

submit to the Grants Officer either: (i) a financial related audit of each DOC award or subaward 

in accordance with Generally Accepted Government Auditing Standards; or (ii) a project specific 

audit for each award or subaward in accordance with the requirements contained in 2 C.F.R. § 

200.507. Applicants are reminded that NIST, the Department of Commerce Office of Inspector 

General, or another authorized Federal agency may conduct an audit of an award at any time.. 

(5) Codes of Conduct. Codes of Conduct. Pursuant to the certification in Form SF-424B, 

paragraph 3, 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. 

5.11 Additional Information

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 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. 
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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. 

NIST is committed to the goal of commercialization of the results of SBIR projects and will 

provide 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 the successful 

commercialization of products, services, or technologies developed in association with the NIST 

SBIR Program. The NIST TABA program provides 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. You may request up to an additional $6,500 for TABA during Phase II. If you wish to 

utilize your own vendor, you must include vendor information in your budget and provide 

details in the budget narrative, see Section 8.01 for additional information. Reimbursement is 

limited to services received that comply with 15 U.S.C. § 638(q). 

5.12 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 

small- and medium-sized manufacturers with the help they need to succeed. The centers 

provide guidance to high-technology companies seeking resources and teaming relationships. 

To be referred to an MEP center for technical assistance, call 1-800-MEP-4-MFG (1-800-637-

4634) or visit MEP‘s website at http://www.nist.gov/mep. 

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 II applications must be received no later than 11:59 p.m. Eastern Time, Wednesday, June 

12, 2019. Only electronic applications submitted via Grants.gov will be accepted.
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Applicants should be aware, and factor in their application submission planning, that the 

Grants.gov system is expected to be closed for routine maintenance at these times:

From 12:01 A.M. Eastern Time

Saturday

To 6:00 A.M. Eastern Time

Monday

April 20, 2019 April 22, 2019

May 18, 2019 May 20, 2019

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) may take between three and five 

business days or as long as more than two weeks; and (3) applicants will receive a series of email 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/organization-registration.html.

6.02 Address to Request Application Package
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The standard application package, consisting of the standard forms, i.e., SF-424, SF-424A, SF424B, SF-LLL, and the CD-511, is available at www.grants.gov. The standard application package 

may be requested by contacting the NIST personnel listed below:

J’aime Maynard by phone: (301) 975-8408 or by e-mail: jmaynard@nist.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 at www.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. The last 

application received in Grants.gov will be used for evaluation. Applications to multiple research 

areas or multiple applications to the same research area must be clearly differentiated.

(1) Applications must be submitted via Grants.gov at www.grants.gov, under announcement 

2019-NIST-SBIR-02.

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. For 

further information or questions regarding the electronic application process for the 2019-

NIST-SBIR-02 announcement, contact Leon Sampson by phone at 301-975-3086 or by e-mail at

grants@nist.gov.

b) Applicants are strongly encouraged to start early and not wait until the approaching due 

date before logging on and reviewing the instructions for submitting an application through 

Grants.gov. The Grants.gov registration process must be completed before a new registrant can 

apply. If all goes well, the registration process takes three (3) to five (5) business days. If 

problems are encountered, the registration process can take up to two (2) weeks or more. 

Applicants must have a valid unique entity identifier number and must maintain a current 

registration in the Federal government’s primary registrant database, the System for Award 

Management (https://www.sam.gov/SAM/), as explained on the Grants.gov Web site. See also

Section 8.03 of this NOFO. After registering, it may take several days or longer from the initial 
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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 http://www.grants.gov home page. 

Clicking on the “Applicants” tab produces two exceptionally useful sources of information, 

Applicant Actions 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. 

Applicants should pay close attention to the guidance under Grants.gov’s “Applicant FAQs,” as 

it contains information important to successful submission, including essential details on the 

naming conventions for attachments to applications.

The Grants.gov Online Help site 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 sign up 

for Grants.gov NOFO amendments or may request copies from J’aime Maynard by telephone at 

301- 975-8408, or by e-mail to jmaynard@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 at: www.nist.gov. The NIST Research Library, 

https://www.nist.gov/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’s (FLC) website (https://www.federallabs.org/labs/national-institute-ofstandards-and-technology-nist-0). 

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 II 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:
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1. SF-424, Application for Federal Assistance. Item 12 should list the NOFO number 2019-

NIST-SBIR-02. The response to #19 should be ‘no’ – the NIST SBIR Program is not covered by 

that Executive Order. For SF-424, Item 21, the list of certifications and assurances is 

contained in the SF-424B, which is item 3 in this list of Required Forms and Documents.

2. SF-424A, Budget Information – Non-Construction Programs. The budget should reflect 

all anticipated expenses for the project. 

In Section A, the Grant Program Function or Activity on Line 1 under Column (a) should be 

entered as “Science, Tech., Business and/or Educ. Outreach”. The Catalog of Federal 

Domestic Assistance Number on Line 1 under Column (b) should be entered as “11.620”.

In Section B, Acceptable fees (see Section 5.06 of this NOFO) should be included in “Other 

(h)”.

These sections of the SF-424A should reflect funds for the entirety of the award: Section A; 

Section B; Section C; and Section D. Section E is not relevant to the 2019-NIST-SBIR-02

program.

3. SF-424B, Assurances - Non-Construction Programs. The SF-424B is required for all 

applicants that have not updated their System for Award Management (SAM.gov) entity 

registration since February 2, 2019 to include the Federal financial assistance certifications 

and representations. If an applicant has updated their SAM.gov entity registration since 

February 2, 2019 to include the certifications and representations, then the SF-424B is not 

required. 

4. CD-511, Certification Regarding Lobbying. Enter “2019-NIST-SBIR-02” in the Award 

Number Field. Enter the title of the application used in field 15 of the SF-424, or an 

abbreviation of that title, in the Project Name field.

5. SF-LLL, Disclosure of Lobbying Activities (if applicable).

6. Technical Proposal (Cover Sheet, Technical Proposal, Commercialization Plan, and 

Phase I Final Report). Read Section 3.02 of this NOFO very carefully, and in its entirety, for 

directions on completing this section of the application. Attach this document to the SF-424 

as described at the end of Section 8.01.

7. Budget Narrative. In addition to other mandatory budget information, a separate Budget 

Narrative is required. There is no set format for the budget narrative; however, it should 
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provide a detailed breakdown of costs under each applicable object class category as 

reflected on the SF-424A (personnel, fringe benefits, equipment, travel, supplies,

contractual, other direct costs, and indirect costs), and written justification that includes

the necessity and the basis for the cost. Proposed funding levels must be consistent with 

the project scope, and only allowable costs that fall within the spending limitations 

specified in Section 1.03.01 of this NOFO should be included in the budget. The proposed 

budget should reflect planned costs, but the awardee must charge actual costs to the award 

consistent with cost principles applicable to the type of awardee in accordance with 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. More information is 

available at http://go.usa.gov/SBYh and http://go.usa.gov/SBg4. Information needed for 

each category in the budget narrative is as follows. Attach this document to the SF-424 as 

described at the end of Section 8.01.

(a) Personnel – At a minimum, the budget justification for all personnel 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. For Phase II, a minimum of one-half

of the research and/or analytical effort must be performed by the awardee.

(b) Fringe Benefits – 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, workers’ compensation, etc.) should not 

be charged under another cost category. 

(c) Travel – For all travel costs, 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.

(d) Equipment – Equipment is defined as an item of property that has an acquisition cost of 

$5,000 or more (unless the organization has established lower levels) and an expected 

service life of more than one year. Any items that do not meet the threshold for 

equipment can be included under the supplies line item. The budget justification should 

list each piece of equipment, the cost, and a description of how it will be used and why 
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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). 

(e) Supplies –– Supplies are defined as all tangible personal property other than that 

described as equipment. Provide a list of each supply, 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. 

(f) Contractual (i.e. Contracts/Subawards) – Each contract or subaward should be treated 

as a separate item. Identify the cost and 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 normal goods and services. Subawardees perform 

part of the project scope of work. 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. Any funds requested for TABA should be included in this 

section; see Section 5.11. 

(g) 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. Profit or fee not to exceed 7% of the sum of the 

direct and indirect costs must be listed in this cost category if included in the applicant’s 

budget. 

8. Indirect Cost Rate Agreement. If indirect costs are included in the proposed budget, 

include the cost computation in the Budget Narrative, and provide a copy of the current, 

approved negotiated agreement if this rate was negotiated with a cognizant Federal audit 

agency. 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. Attach the document to 

the SF-424 as described at the end of Section 8.01. If a rate has not been established, 

provide a statement to this effect and a computation for the cost in the Budget Narrative.

9. SBA Company Registry Form. SBA maintains and manages a Company Registry at 

http://www.sbir.gov/registration to track ownership and affiliation requirements for all 

companies applying to the SBIR Program. The SBIR Policy Directive requires each Phase II

applicant to register in the Company Registry prior to submitting an application. The 
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applicant must save its information from the registration in a .pdf document. Attach this 

document to the SF-424 as described at the end of Section 8.01.

10. Data Management Plan. In accordance with NIST Policy 5700.003, Managing Public 

Access to Results of Federally Funded Research, and NIST Order 5701.004, Managing Public 

Access to Results of Federally Funded Research”, applicants must include a Data 

Management Plan (DMP).

The DMP is a supplementary document of not more than two pages that must include, at a 

minimum, a summary of proposed activities that are expected to generate data, a summary 

of the types of data expected to be generated by the identified activities, a plan for storage 

and maintenance of the data expected to be generated by the identified activities, and a 

plan describing whether and how data generated by the identified activities will be 

reviewed and made available to the public. As long as the DMP meets these NIST 

requirements, it may take the form specified by the applicant’s institution or some other 

entity (e.g., the National Science Foundation5 or the National Institutes of Health6).

All applications for activities that will generate scientific data using NIST funding are 

required to adhere to a DMP or explain why data sharing and/or preservation are not

within the scope of the project.

For the purposes of the DMP, NIST adopted the definition of “research data” at 2 C.F.R. § 

200.315(e)(3) (available at http://go.usa.gov/3sZvQ).

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

The sufficiency of the DMP will be considered as part of the administrative review (see

Section 4.02. of this NOFO); however, the DMP will not be evaluated against any evaluation 

criteria. Attach this document to the SF-424 as described at the end of Section 8.01.

11. Research & Related Personal Data. Complete and print the form available at 

https://www.grants.gov/web/grants/forms/r-r-family.html#sortby=1. Attach this document 

to the SF-424 as described at the end of Section 8.01.

 

3 http://www.nist.gov/data/upload/Final-P-5700.pdf 

4 http://www.nist.gov/data/upload/Final-O-5701_0.pdf

5 http://www.nsf.gov/bfa/dias/policy/dmp.jsp

6 https://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm
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12. 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 

training presentation. Attach this document to the SF-424 as described at the end of 

Section 8.01.

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 website at 

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

and reference the guidance provided as it contains information to assist with accurately 

completing the form.

Items (1) through (5) above are part of the standard application package in Grants.gov and are

completed through the download application process. Items (6) through (13) must be 

completed and attached by clicking on “Add Attachments” found in item 15 of the SF-424, 

Application for Federal Assistance. This will create a zip file that allows for transmittal of the 

documents electronically via Grants.gov. Applicants should carefully follow specific Grants.gov 

instructions at www.grants.gov to 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.

8.02 Verifying the Submission and Tracking the Application

Applicants are urged to use Grants.gov’s Download Submitted Applications feature to check 

that all required attachments were contained in their submission. Go to the Grants.gov 
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Online Help site for more information.

See especially the “Check Application Status” option, found by clicking first on Applicants, and 

then by clicking on Grant Applications. 

Applicants can track their submission in the Grants.gov system by following the procedures at 

the Grants.gov site (https://www.grants.gov/). It can take up to two business days for an 

application to fully move through the Grants.gov system to NIST.

8.03 Unique Entity Identifier and System for Award Management (SAM)

Pursuant to 2 C.F.R. Part 25, applicants and recipients (as the case may be) are required to: (i) 

be registered in SAM before submitting its application; (ii) provide a valid unique entity 

identifier in its application; and (iii) continue to maintain an active SAM registration with 

current information at all times during which it has an active Federal award or an application or 

plan under consideration by a Federal awarding agency, unless otherwise excepted from these 

requirements pursuant to 2 C.F.R. § 25.110. NIST will not make a Federal award to an applicant 

until the applicant has complied with all applicable unique entity identifier and SAM 

requirements and, if an applicant has not fully complied with the requirements by the time that 

NIST is ready to make a Federal award pursuant to this 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

9.01 Advanced Communications, Networks, and Scientific Data Systems

9.01.01.77 SDN Enabled Secure Inter-Domain Routing

There are numerous efforts in the industry and research communities to leverage software 

defined networking (SDN) in support of the Border Gateway Protocol (BGP). Internet service 

providers (ISPs) and Internet Exchange Point (IXP) Operators are exploring this integration 

of BGP and SDN to enable: (a) rich, application specific routing diversity, (b) tight coupling of

control and data plane policies, and (c) more efficient deployments of BGP [1,2,3,4,5].

Recent standardization efforts in the Internet Engineering Task Force (IETF) have developed 

a series of security extensions for BGP. Specifications for both BGP Origin Validation [6] and 

Path Validation [7] have reached Request for Comments (RFC) status. The objective of this 
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topic is to explore, through design and prototyping, the integration of these new BGP 

security protocols in emerging SDN-enable BGP architectures. The scope shall address both 

BGP Origin Validation and Path Validation and their incorporation into both SDN-enabled 

BGP routing within an autonomous system and at Internet exchange points.

The goal of this subtopic is to explore, through design and prototyping, the integration of 

new BGP protocols in emerging SDN-enable BGP architectures. The scope shall address 

both BGP Origin Validation and Path Validation and their incorporation into both SDNenabled BGP routing within an autonomous system and at Internet exchange points.

Solutions should explore how these technologies can be integrated to: (a) offer routing 

policies that allow opt-in preference for validated paths/origins for some users/peers, (b) 

couple data plane routing policies to those of control plane, and (c) offload the 

computational cost of BGP security mechanisms from edge routers to centralized SDN 

controllers. Solution designs should be validated through prototype implementation and 

evaluation in one or more open source BGP/SDN platforms.

Phase I expected results:

In Phase I, a feasibility study and integration plan of BGPsec into one or more of the 

selected open source SDN-enabled inter-domain routing platforms is expected. The 

integration of the selected platform must include RPKI origin validation [6] and BGPsec path 

validation [7]. The results of this phase shall include a design specification of how BGP 

security technologies can be incorporated into chosen routing platforms and how the 

approach addresses the suggested capabilities above. The design should include initial 

prototype experimentation as a proof of concept.

Phase II expected results:

Phase II consists of a full integration of BGPsec path validation and RPKI origin validation as 

specified in Phase I, into one or more of the selected open source SDN enabled BGP 

platforms. Phase II includes development of prototype software, documentation, test suites 

and an evaluation report of the capabilities, performance, and interoperability of the 

prototype. It is preferred that the BGPsec path validation and RPKI-based origin validation 

capabilities be based upon the relevant modules of the NIST BGP-SRx software suite [4].

As appropriate based on the mutual interest of both NIST and the awardee, the NIST-ANTD 

BGP team [6] may provide limited support as subject matter experts and as well as limited 

support with the usage of the BGP-SRx Software Suite and its components.

References:

[1] A. Gupta et al. SDX: A Software Defined Internet Exchange, ACM SIGCOMM’14, August 
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2014. http://gtnoise.net/papers/2014/gupta-sigcomm2014.pdf.

[2] SDN-IP / ONOS Project. https://wiki.onosproject.org/display/ONOS/SDN-IP.

[3] SDX A Software Defined Internet Exchange Point. http://sdx.cs.princeton.edu/.

[4] OpenDaylight Border Gateway Protocol (BGP) plugin.

http://docs.opendaylight.org/en/stable-nitrogen/user-guide/bgp-user-guide.html.

[5] SDN WAN BGP GATEWAY. https://www.corsa.com/solutions/sdn-wan-bgp-gateway/.

[6] P. Mohapatra et al. BGP Prefix Origin Validation, RFC 6811, January 2013.

https://tools.ietf.org/html/rfc6811.

[7] M. Lepinsky (Ed.) and K. Sriram (Ed.). BGPsec Protocol Specification, RFC 8205, 

September 2017. https://tools.ietf.org/html/rfc8205.

[8] BGP-SRx Software Suite. https://bgpsrx.antd.nist.gov.

[9] NIST Robust Inter-Domain Routing project. https://www.nist.gov/programsprojects/robust-inter-domain-routing.

9.01.02.77 Secure and Distributed Network Measurement

Interest in network measurement has existed since the early days of the Internet. However, 

today’s networks have very limited measurement capabilities used for diagnostic services 

(such as the traceroute and ping utilities based on the Internet Control Message Protocol-

(ICMP). Consequently, complex and ad-hoc procedures are frequently combined to assess 

network behavior, often using techniques that rely on inference rather than direct 

measurement. In [1] authors propose measurability as a goal of protocol design, and argue 

for measurement as a first-class component of the network architecture, rather than 

conducting measurements through inference from convoluted techniques.

Any deployed IT infrastructure will benefit from a strong network measurement capability. 

A first step toward developing a general purpose network measurement framework that 

supports a variety of use cases with flexibility and extensibility is introduced in [2]. Such a 

framework would allow for built-in measurement and diagnostic capabilities so that as new 

applications are developed, they can be instrumented with measurement probes and make 

use of the framework to meet their measurement needs. The network is thus empowered 
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with a built-in measurement framework that can be used by different applications that 

need to produce and/or consume network measurements.

Implementation of the framework can be done for a network stack based on IP or on 

Information Centric Networking (ICN) paradigm. The latter would be more convenient given 

its clean-slate nature and the availability of Named Data Networking (NDN) as an ICN 

instance with associated codebase and nationwide NDN testbed available for 

experimentation. Moreover, ICN is a promising technology for the Internet of Things (IoT) 

applications [3] and having a suitable measurement infrastructure will accelerate adoption 

of IoT applications.

Network measurement tools with well-designed measurement probes can result in 

commercial products and solutions for network operations and network analytics.

The goal is to develop a rich set of network measurement probes that can be deployed in 

networks to achieve higher levels of network measurability. It is also desirable to explore 

solutions for correlating measurements from multiple probes for network forensics, for 

monitoring overall network health, and to achieve higher degrees of network observability. 

Security of the measurement infrastructure is important and needs to be addressed, 

including privacy and access control to measurement data.

Phase I activities and expected results:

Provide input to the measurement framework and its security model, propose network 

measurement probes and associated features that fit within the framework, explore passive 

and active measurement probes, develop proof-of-concept software implementation (a 

simple network of IoT sensors, devices, and applications can be emulated for this purpose), 

provide a discussion of the security properties/features it addresses and how this fits within 

the measurement framework, explore use cases that involve cooperation between probes.

Phase II activities and expected results:

Expand and mature the Phase I proof-of-concept, provide design details with practical

applications in support of potential commercial product or service, evaluate a working 

prototype of a commercially viable network measurement solution, assess features of the 

measurement probes, conduct testbed measurements and testing for a number of use 

cases.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may be 

available to work collaboratively on design concepts, discuss potential solutions, and 

evaluate proposed implementations.
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References:

[1] Principles for Measurability in Protocol Design.

https://doi.org/10.1145/3089262.3089264.

[2] A Network Measurement Framework for Named Data Networks.

https://conferences.sigcomm.org/acm-icn/2017/proceedings/icn17-1005.pdf.

[3] Design Considerations for Applying ICN to IoT.https://tools.ietf.org/html/draft-zhangicnrg- icniot-01.

9.01.03.77 Using the DNSSEC and DANE to Improve Web Browser Security

For many users, the Internet is experienced through a web browser. Internet users engage 

in communication, commerce, exchange heath information, control devices and services, 

and interact with their government through web based tools. Naturally, attackers have 

focused on intercepting various forms of web traffic in order to eavesdrop on the data, 

divert the communications to malicious sites, etc. This is often done by tricking the browser 

into using unencrypted channels (i.e., a downgrade from HTTPS to HTTP), or spoofing the 

legitimate server and acting as a Man-in-the-Middle (MITM) and intercepting/decrypting all 

HTTPS traffic. The latter is often accomplished using fraudulently obtained X.509 certificates 

[1].

Several protocols and protocol extensions have been proposed to combat these types of 

attacks against web browser users. Some of these proposed solutions have gained traction 

but suffer from drawbacks. HTTPS Strict Transport Security (HSTS) [2] can be used to inform 

browsers to only connect via HTTPS, but suffers from a downgrade attack on the first visitto 

a given web site. HSTS with preloading can prevent the downgrade attack by having a list of 

known HSTS domains stored locally in the browser. Preloading suffers from the inability to 

scale to the size of the entire Internet [3] as the global list of HTTPS protected websites 

could not be stored or accessed quickly in a web browser. Other applications that use 

HTTPS for things such as accessing media or other information may also have to download 

and store the pre-load list in order to insure an initial secure connection to a given service.

Domain-based Authentication of Named Entities (DANE)[4] uses the Domain Name System 

(DNS) to store publish security information about a given host. DANE allows a domain 

owner to be very flexible with regards to the type of certificates used (including the use of 

CAs that are otherwise unknown by clients. DANE does suffer from a perceived 
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performance impact because of the required use of the DNS Security Extensions (DNSSEC). 

There have been some proposed solutions to this problem, but they are not yet fully 

specified. There is also some ambiguity in DANE as to how to handle policy discovery and 

caching, such as provided by HSTS. To date, there has been little published work on how 

DANE and HSTS should interact.

Ideally, web browsers should be able to benefit from multiple ways of authenticating an 

HTTPS protected website. That way, an end user will be further protected against various 

TLS attacks seeking to compromise their communication. However, DANE support in web 

browsers is lacking and there are no major versions of browsers that currently use DANE to 

protect end users.

The primary goal of this project is to develop a prototype web browser that can use DANE 

resource records stored in the DNS to establish an authenticated, TLS protected connection 

to a web server. Existing open source components can be used in this effort, including an 

open source web browser as the candidate code base for the prototype. Possible options 

include (but are not limited to): Chromium, Firefox, Brave, etc. The DANE component may 

also leverage pre-existing libraries such as OpenSSL [5].

The secondary goal of the project is to develop and implement extensions to the DANE 

technologies to provide HSTS-like behavior for policy discovery and caching. Prototype 

implementations should address how to realize/present different validation results (e.g., 

PKIX validation vs. DANE validation) to the user.

Phase I activities and expected results:

Phase I consists of identifying possible candidates to use as the base code and designing the 

algorithms to query the DNS for digital certificates and how to interpret the response. A 

prototype of a web browser that can use certificate information obtained via the DANE to 

establish HTTPS connections should be part of the deliverables. A report should also be 

produced that details the design choices for policy enforcement and any recommendations 

on new specifications to improve policy discovery for TLS clients.

Phase II activities and expected results:

Phase II consists of further development and improvement of the prototype from Phase I. 

The prototype web browser for Phase II should be able to handle all DANE certificate 

scenarios as well as implement the DNSSEC serialized chain extension for TLS [6]. The 

prototype should also include implementations of proposed policy discovery solutions 

discussed in the report deliverable from Phase I.
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As appropriate based on the mutual interest of both NIST and the awardee and on a caseby-case basis for Phase I and Phase II awards, NIST may provide technical experts to act as 

subject matter experts in DNS and DNSSEC as needed. NIST may also be available to 

establish the network and DNS infrastructure that would be needed to conduct testing of 

the resulting prototype web browser.

References:

[1] G. Fleishman. The Huge Web Security Loophole That Most People Don’t Know About, 

and How It’s Being Fixed, FastCompany Feb. 2015.

https://www.fastcompany.com/3042030/the-huge-web-security-loophole-that-mostpeople-dont-know-about-and-how-its-be.

[2] J. Hodges et al. HTTPS Strict Transport Security (HSTS). RFC 6797. Nov 2012.

https://tools.ietf.org/html/rfc6797.

[3] ICANN 60 Tech Day.

https://schd.ws/hosted_files/icann60abudhabi2017/ab/13%20Broadening%20HSTS%20-

%20McIlwain.pdf.

[4] P. Hoffman and J. Schlyter. The DNS-Based Authentication of Named Entities 

(DANE)Transport Layer Security (TLS) Protocol: TLSA, RFC 6698. Aug 2012.

http://datatracker.ietf.org/doc/rfc6698/.

[5] Open SSL 1.1.0 Released.https://www.internetsociety.org/blog/2016/09/openssl-1-1-0-

released/.

[6] M. Shore et al. A DANE and DNSSEC Authentication Chain Extension for TLS, Work in 

Progress. https://datatracker.ietf.org/doc/draft-ietf-tls-dnssec-chain-extension/.

9.02 Advanced Manufacturing and Material Measurements

9.02.01.49 Biomanufacturing

The biopharmaceutical industry is a critical component of the U.S. economy, directly 

employing nearly 900,000 workers, with a $1 trillion economic footprint. By 2020, it is 

projected that more than 50% of the all prescription drug sales will be biologicallymanufactured therapeutics, including protein therapeutics, and emerging gene and cell 

therapy products. A key challenge to the domestic competitiveness of the U.S. 
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biopharmaceutical industry is development of agile and scalable manufacturing processes 

for these biologic therapies. Technology innovation that enables better process control and 

more quantitative and real-time product characterization is needed to move the industry 

meet that challenge.

To this end, NIST seeks the development of new or improved measurement tools and 

methods to efficiently, accurately, and precisely monitor and characterize both processes 

and products across the diversity of biologic products. Advances in such measurement 

technology will:

• Improve risk-analysis of process, equipment and raw material changes on product 

attributes.

• Aid development of scalable manufacturing platforms for emerging types of biologic 

therapies.

• Build generalizable knowledge to improve industry understanding of the tolerance for 

change in relation to product quality.

Of interest in this opportunity are new or improved analytical technologies to evaluate key 

product attributes to aid in the development and control of bioprocesses.

• Improved and generalizable tools for detection of host cell proteins: The co-purification 

of host-cell proteins (HCPs) during production of protein therapeutics is a challenge for 

industry, as HCP contaminants can be immunogenic and may affect the safety and 

efficacy of the final product. The most common detection methods are based on 

immunoassays, but industry is increasingly seeking alternatives, such as the use of mass 

spectrometry. This opportunity seeks the development of more standardized and 

efficient mass spectrometry approaches, or other orthogonal methods to detectHCP.

• Analytical tools to assess the quality and integrity of single-use bioprocess equipment: 

As the biopharmaceutical industry moves toward single-use systems, analytical tools 

and standards that enable efficient and robust detection and characterization of 

leachables under relevant process conditions are needed. Additionally, improved design 

of single-use systems to enable rapid confirmation of the integrity of components and 

connections are desirable.

• Quantitative assessment of filled vs. unfilled viral capsids for manufacturing gene 

therapies: Development of scalable manufacturing processes for gene therapies is 

hampered by significant technical challenges. Among these is the need for 

characterization of filled vs. unfilled capsids in AAV vector generation. The presence of 

the empty capsids can influence the clinical outcome of these gene therapies, yet 
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efficient and robust measurement tools to quantify and characterize the filled, partially 

filled, and unfilled capsids have not been well-established. We seek innovative 

approaches to this measurement challenge to advance the development of 

manufacturing platforms for gene therapies.

Phase I expected results:

The awardee will establish proof of concept for new or improved analytical technology to 

measure desired process or product attributes. The performance characteristics of the new 

or improved analytical technology should be optimized for sensitivity, resolution,

quantitation, speed of measurement (including sample preparation), accuracy, precision, 

and reproducibility.

Phase II expected results:

The new or improved analytical technology will be directly compared with current state-ofthe-art methodology for the relevant bioprocess or biologic product attribute, and will 

demonstrate a factor of 2X or greater improvement in the performance characteristics 

listed for Phase I above.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may be 

available to consult or for potential collaboration, depending on the measurement 

technology to be developed. NIST may also be willing to provide, where appropriate, 

reference materials to better compare performance of the proposed new method or 

technology with that of the current state-of-the-art.

References:

[1] Battelle/PhRMA report: The US Biopharmaceutical Industry: Perspectives on Future 

Growth and the Factors That Will Drive It, 2014.

[2] D.G. Bracewell et al. The Future of Host Cell Protein (HCP) Identification During Process 

Development and Manufacturing Linked to a Risk-based Management for Their Control, 

Biotechnology and Bioengineering, 112(9), 1727–1737, 2015.

[3] Deloitte Development LLC. Advancing Biopharmaceutical Manufacturing: An Evolution 

Underway, 2015.

[4] R. Hernandez. Special Considerations for Extractables and Leachables Testing in 

Biological Products, Pharmaceutical Technology, 39 (2), 2015.

[5] J.F. Wright, Product-Related Impurities in Clinical-Grade Recombinant AAV Vectors: 
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Characterization and Risk Assessment, Biomedicines, 2(1), 80–97, 2014.

9.02.03.73 Compton Scattering Tomography System with Sub-keV Energy Resolution for 

Gamma Ray Energy at 1-10 MeV Range

Advance materials analyses increasingly demand non-destructiveness with spatial and 

spectral information. Combining the high penetrability of neutrons and gamma rays, nuclear 

analytical techniques such as prompt gamma activation analysis (PGAA) has long been a 

special tool for bulk material analysis that reveals the composition with minimal substrate 

interference and with multi-elemental sensitivity, due to the characteristic nuclear signature 

of the emitted gamma rays. However, the high penetrability is accompanied by the 

inherently low detection efficiency for high energy gamma rays. To date, there is no “off the 

shelf” commercial detector technology that can be made suitable for spectrally resolved MeV 

gamma ray tomographic applications, unlike detectors for x rays and lower energy radiations 

which are routinely performed at micrometer scale. For both spatial and energy sensitivity 

requirements, traditional detectors have given way to the newer class of materials such 

Cadmium Zinc Telluride (CZT) which can be miniaturized and with wider band gap which 

enables room temperature operations. Fast on-board electronics allow near-real time image 

reconstruction of Compton scattered events which dominate the MeV energy range have 

seen rapid advances in recent years due to better electronic components and computing 

power. Recent development for clinical applications of such a system [1] shows promise that 

innovations in detector technology and reconstruction algorithm [2] can make prompt 

gamma emission tomography a reality. The NIST Center for Neutron Research is a leader in 

neutron tomography, which can resolve the physical structure of a bulk component such as a 

fuel cell element and its liquid flow in-situ. However, it does not provide compositional 

information that PGAA can. With gamma ray tomography, we can provide a new vision by 

creating a 3D composition map inside a bulk material/manufactured component at a scale 

and depth that x-ray and surface analysis techniques cannot reach.

NIST solicits proposals to develop a gamma ray spectrometer and tomographic system based 

on Compton scattering of MeV gamma rays specifically for the cold neutron beam based 

prompt gamma activation analysis instrument for composition analysis and spatial 

distribution of light elements in metal or other solid matrices. The key goal is spatially 

resolving characteristic energy lines in a bulk material via single-sided tomography that does 

not require physical collimations.

Phase I of this project would be to construct a suitable prototype of detector and 

electronics to assess energy resolution, spatial resolution, and elemental sensitivity, with a 

working reconstruction algorithm that can be off-line, and address the gamma ray 
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background issues surrounding the facility. The expectation for Phase I is to achieve 5 mm 

spatial resolution for 5% mass fraction of hydrogen in solid matrices.

For Phase II, the detector hardware is optimized for gamma ray energy peaks of interest and 

for sample geometry. Mostly importantly, the data acquisition and reconstruction algorithm 

are fully developed and tested for robustness. The desired goal for the phase II product is 1% 

hydrogen at 1 mm spatial resolution. The finished product can be deployed to other PGAA 

facilities as well as possible special applications using portable neutron generators.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may work 

collaboratively with the awardee, providing access to the PGAA experimental station at 

NCNR for the testing of the detectors throughout the developmental stages.

References:

[1] J. Polf et al. Phys. Med. Biol. 60, 7085–7099, 2015.

[2] D. Mackin et al. Phys. Med Biol. 57, 3537–3553, 2012.

9.02.03.73 Continuous Learning for Additive Manufacturing Processes Through Advanced 

Data Analytics

Many hurdles continue to hinder the widespread adoption of Additive Manufacturing (AM) 

technologies for production, including: constrained material choices, low repeatability and 

quality inconsistency associated with AM processes, and high cost and time in AM 

qualification[0]. A key step in overcoming each of these hurdles is to understand process–

structure-property (PSP) relationships across materials and geometries for a given process.

Data-driven modeling approaches are foundational to a better comprehension of materials 

behavior [2]. Such approaches can be used to harness experimental data and data analytics 

techniques, such as data preprocessing, metamodeling, and machine learning, etc., to 

identify process-structure-property relationships. With almost unprecedented variability for 

a manufacturing process, AM provides a unique opportunity for data-driven materials 

characterization. As new data sets begin to emerge, the AM community expects that, with 

appropriate data driven modeling methods, heterogeneous data sets with a multitude of 

geometries, material types, and processes can be mined to develop empirical equations that 

correlate material properties, microstructure, part geometry, and process parameters [3, 4].

Towards advanced data analytics, intensive research has been done in employing 

metamodeling techniques in design and optimization [5]. AM builds are well suited for such 
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techniques, especially for metal parts, where costs for conducting large scale sampling over 

many variables can be prohibitive. Experimental studies often contain only a few 

measurements and focus on specific sub-processes. The small sets of data captured do not 

adequately represent the inherently large sets of process variables and material 

microstructure variances that must be analyzed for establishing AM PSP relationships. It is 

critical to develop and validate efficient and effective data-driven modeling methods, 

complemented by physics-based models, capable of undertaking rapid explorations of AM 

PSP relationship with limited and diverse data sets.

This subtopic addresses gaps in adopting AM processes as production technologies, 

specifically through deepening the understanding of AM process-structure-property 

relationships using data science and material informatics. It addresses the need for effective 

data-driven modeling methods to establish multiscale models that link AM processes to

highly complex material structures and link AM microstructure to properties. These methods 

should be general enough to apply to any material, process, and complex geometry while 

being effective enough for materials, process, and part qualification.

This subtopic directly relates to NIST’s goal of supporting U.S. commerce through 

measurement science. Successful development of the techniques will enable AM industry 

developing a comprehensive set of design guidelines, qualification methods, engineering 

tools, and standardization of best practices.

This project aims to develop and validate novel AM informatics and data analytics that are 

well suited for the low-volume, high complexity, high cost production requirements in 

metals AM. Methods to be investigated include: multi-scale microstructure data 

representation; in-situ process monitoring and NDT data pre-processing for complexity 

reduction; advanced data mining algorithms to develop 

geometry/process/structure/property relationships using limited data sets from disparate 

sources; augmentation of experimental data sets with knowledge and simulation data from 

AM modeling; and methods to transfer PSP metamodels from one material or process to 

another material or process.

Methods developed for this subtopic are to include advanced data analysis and mining 

methods to solve both “small data sets” and “big data” problems in AM modeling. Data 

mining algorithms are expected to address the formation of AM PSP relationships from 

multimodal data sets contributed through collaborative efforts. Data analysis and data 

mining methods are expected to address in-situ monitoring and NDT data. The AM data 

analytics methods are expected to support the acceleration of AM material characterization, 

AM manufacturability analysis, AM part quality prediction, and AM design and process 
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optimization.

This project will develop data driven methods for identifying AM PSP relationships and 

support process optimization to manufacture high quality parts. Goals include establishing 

the following methods:

1) AM data-driven modeling methods to establish PSP relationships based on small and 

diverse data sets from collaborative efforts, without the need for sophisticated design of 

experiments. Specifically designed data analytics methods are required to support 

continuous learning (also named generative learning) for model improvement, as new data 

points are added frequently by the AM community.

2) Adaptive/sequential sampling methods to conduct cost-effective experiments based on 

existing model characterizations.

3) Methods to integrate and analyze in-situ process monitoring data and NDT data for AM 

PSP relationship modeling.

4) Methods to transfer PSP metamodels developed for one material or process to another 

material or process based on transfer learning concepts [6].

5) Multi-objective AM process optimization methods based on data-driven AM models.

Applied in concert, these methods will support AM part failure prediction and AM design and 

process optimization for part quality (shape and performance) with controlled cost and 

acceptable throughput.

Phase I expected results:

1. Development of an analytics-driven method to incorporate in-situ process monitoring 

and NDT data into existing data structures [7].

2. Demonstration of a data analytics method that incorporates adaptive sampling, 

generative learning, and hybrid modeling techniques (combining physics based modeling 

with data driven modeling) to establish a single PSP relationship in a metal based PBF 

process.

3. Demonstration and implementation of a machine learning method to transfer a PSP 

metamodel developed for one type of AM material to another type of AM material.

4. Prototype software that implements and integrates 1-3 with NISTAMMD 

(https://ammd.nist.gov) through an open API.

Phase II expected results:

1. Validation of Phase 1-developed methods and algorithms by establishing PSPs for three 

materials for a single metal AM process.

2. Development of software that customizes the application and implementation of Phase I 
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algorithms for various AM community stakeholders for material characterization, AM 

manufacturability analysis, design optimization and feedback process control.

3. Extended validation of methods and algorithms developed in Phase I by establishing 10 

PSPs for a second AM process.

4. Demonstration of the software suite in a production process case study. Validation of 

results with experimental measurements at identified process intervals.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may work 

collaboratively, provide technical direction, and consultation.

References:

[1] NIST. Measurement Science Roadmap for Metal-based Additive Manufacturing, National 

Institute of Standards and Technology, 2013.

https://www.nist.gov/sites/default/files/documents/el/isd/NISTAdd_Mfg_Report_FINAL2.pdf.

[2] S.R. Kalidindi et al. Vision for Data and Informatics in the Future MaterialsInnovation 

Ecosystem, JOM, JOM, Vol. 68, No. 8, 2016.

[3] Zhuo Yang et al. Investigating Predictive Metamodeling for Additive Manufacturing, 

Volume 1A: 36th Computers and Information in Engineering Conference, Charlotte, North 

Carolina, USA, August 21–24, 2016.

[4] Z. Yang et al. A Domain Driven Approach to Metamodeling in Additive Manufacturing, 

CIE 2017, Cleveland, OH, Aug. 6-9, 2017.

[5] Y. Pan and M. Hu. A Data-driven Modeling Approach for Digital Material Additive 

Manufacturing Process Planning, International Symposium on Flexible Automation (ISFA), 

Cleveland, OH, 1-3 Aug. 2016.

[6] S.J. Pan and Q. Yang. A Survey on Transfer Learning, IEEE Transactions on Knowledgeand 

Data Engineering, Vol 22, Issue 10, 2009.

[7] Y. Lu et al. A Collaborative Data Management System for Additive Manufacturing, CIE 

2017, Aug. 6-9, 2017, Cleveland, Ohio.

9.02.04.63 Design of a High-speed, Multiplexed Infrared Sensor Platform for Dynamic 

Chemical Analysis
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NIST seeks to determine the technical feasibility of a compact (≤1 m3 physical footprint), 

long-path (≥ 35 m), broad-band (≥ 1 THz) multiplexed infrared sensor platform (MISP) 

capable of high frequency resolution (≤ 1 GHz) and high acquisition rates (≥ 1 kHz), achieved 

via the integration of emerging technology in chip-based lasers, mid-infrared fibers, and 

dispersive optics. We propose development towards a commercial MISP which utilizes one 

or more quantum cascade laser (QCL) frequency combs [1] as the active source(s) and a 

virtually imaged phased array (VIPA) spectrometer and infrared camera as the broad-band 

detector [2, 3]. The purpose of the sensor platform will be to perform accurate and precise 

quantitative analysis of trace chemicals using their unique “quantum fingerprints” within the 

long-wave infrared atmospheric window (λ = 8 μm to λ = 12 μm) [4]. As the relevant optical 

technologies are only now becoming commercially viable, NIST is interested in this feasibility 

(Phase I) and prototyping (Phase II) study to promote U.S. leadership in laser sensor 

development throughout the long-wave infrared atmospheric window.

Proof-of-principle multiplexed spectrometers operating in the mid-wave infrared (λ = 3 μm 

to λ = 5 μm) have reported novel time-resolved chemical kinetics [5, 6] as well as the openpath detection of CH4 and H2O [7]. However, many large molecules of interest to advanced 

manufacturing, air-quality evaluations, and national security applications have strongly 

absorbing fundamental vibrations in the long-wave infrared atmospheric window.

Therefore, NIST seeks to unite in a synergistic way emerging optics and photonics 

technologies (QCL frequency combs, long-path sample cells, mid-infrared fibers, VIPA 

etalons, and compact infrared cameras) by studying the feasibility of a compact and broadband MISP for the high-resolution, simultaneous interrogation of a variety of chemicals 

using their unique infrared absorbances.

Using this multiplexed infrared sensor platform, one could potentially perform simultaneous, 

in situ measurements of isoprene (C5H8) and ozone (O3) fluxes, and thus begin to elucidate 

the impact of biogenic volatile organic compounds (BVOCs) released by the urban 

ecosystems on air quality and human health [8]. To most efficiently achieve 

commercialization, the proposer/awardee should ultimately identify additional specific MISP 

chemical targets and sensing applications. Broadly speaking, the development of a MISP 

would both leverage and further strengthen the United States industrial expertise in laser 

sensors for advanced manufacturing and quantum science using emerging optics and 

photonics technology [9, 10]. Relevant activities include the ruggedization of high-resolution 

imaging dispersive spectrometers and associated high-fidelity data processing, as well as the 

integration of mid-infrared fiber optics and compact, low-volume, long-path gas cells with 

chip-based frequency combs.

Phase I expected results:
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Determine the technical feasibility of a multiplexed infrared sensor platform (MISP) using a 

quantum cascade laser (QCL) frequency comb(s), compact and long-path absorption cell, 

and virtually imaged phase array (VIPA) spectrometer.

Phase II expected results:

Develop a prototype MISP which operates in the long-wave infrared atmospheric window (λ

= 8 μm to λ = 10 μm). Identify and potentially demonstrate active optical sensing of 

awardee-identified chemical targets that will ultimate drive MISP commercialization.

As appropriate based on the mutual interest of both NIST and the awardee, NIST anticipates 

working collaboratively by providing technical guidance, discussing design concepts, and 

aiding in component/prototype evaluation.

References:

[1] Y. Bidaux et al. Opt. Lett. 42, 1604 2017.

[2] L. Nugent-Glandorf et al. Opt. Lett. 37, 3285 2012.

[3] A.J. Fleisher. Frontiers in Optics 2017, OSA Technical Digest (online), paper JTu3A.19.

[4] A. Schliesser et al. Nat. Photonics 6, 440 2012.

[5]A.J. Fleisher et al. J. Phys. Chem. Lett. 5, 2241 2014.

[6] B.J. Bjork et al. Science 354, 444 2016.

[7] L. Nugent-Glandorf et al. Appl. Phys. B 119, 327 2015.

[8] T. Zenone et al. Sci. Rep. 6, 32676 2016.

[9] National Photonics Initiative. Photonics: Enabling American Innovation, Competition and 

Security, February 1, 2017.

[10] National Photonics Initiative. Call for a National Quantum Initiative: Proposal to 

Address the Urgent Need to Develop the Information Infrastructure of Tomorrow, June 22, 

2017.

9.02.05.63 High Throughput, Fast-temperature Response, Force Sensing Material Extrusion 

Print Head
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Thermoplastic material extrusion additive manufacturing is hampered by low production 

rates, low-fidelity temperature control, weak or nonexistent performance feedback, and no 

raw material qualification methods. Creating an integrated system meeting these needs will 

allow wider adoption of material extrusion technologies in the medical, aerospace, and 

automotive sectors where throughput and qualification are crucial requirements.

The NIST mission in the soft matter additive manufacturing space is well aligned with the 

proposed technology in several key areas.

• Promoting technological advances in advanced manufacturing

• Basic research in thermoplastic additive manufacturing

• Standard Reference Material and Research Material development

• Standard test method development (ASTM/ISO)

The goals are three-fold: 1) development of a high-throughput, low-slip printing head to 

further basic research on the fundamental polymer physics underlying the layer-by-layer 

welding during higher shear rate extrusion. This goal will speed adoption of material 

extrusion additive manufacturing by making throughput more competitive with traditional 

manufacturing methods. 2) Integration of force sensing technology, which will provide a 

feedback mechanism to assess material quality, measure standard reference materials, and 

provide a quality assurance signature for a given print. Melt flow indexes are commonly 

used to assess raw material quality, however, currently there is no equivalent method to 

assess raw material quality with a filament as the raw material. A print head with integrated 

force sensing can be used to both assess filament quality and measure reference filaments.

3) Incorporation of a fast temperature response system. Voxel-by-voxel control of material 

properties is a key feature of additive manufacturing systems, however, the slow 

equilibration time in current material extrusion print heads limits the fidelity to

layer-by-layer control. A system with fast temperature response would be capable of rapidly 

switching the inter-layer adhesion quality within a given layer, radically changing the design 

space available to the designer/manufacturer. Incorporation of a fast-thermal response will 

support standard test method development by improving thermal equilibration in systems 

which prone to temperature fluctuation due to negligible thermal mass.

Phase I expected results:

Stand-alone thermoplastic material extrusion head integrating the following technologies: 

counter-rotating nut drive (expanding on nut drive from ref [2]), laser assisted pre-heating 

zone [2], hyperbolic tapered heating zone [2], and strain-gauge for force sensing [1]. The 

system shall be capable of ~10-fold increase in throughput and ~10-fold increase 
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temperature response/equilibration time over current pinch wheel systems while 

simultaneously reporting a viscosity index value. Assessment of accuracy and precision of 

force sensing system. The system should accept standard 1.75 mm or 2.88 mm diameter 

filaments.

Phase II expected results:

Transition from stand-alone system prototype to production system and integration with 

core-XY motion control system.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may work 

collaboratively on design and performance measurements and provide Reference Material 

filaments.

References:

[1] J. Go et al. Rate Limits of Additive Manufacturing by Fused Filament Fabrication and 

Guidelines for High-Throughput System Design, Additive Manufacturing, 16, 1-11,2016.

[2] J. Go and A.J. Hart. Fast Desktop-Scale Extrusion Additive Manufacturing, Additive 

Manufacturing, 2017, in press.

9.02.06.62 Integrated Nanophotonic Probes for Scanning Optical Measurements and Atomic 

Force Microscopy

Recently, novel chip-scale probes with integrated nanophotonics were invented [5,6] and 

developed by NIST [1-6] and shown to enhance performance and achieve new functionality 

in scanning probe microscopy [1,2]. In one example, new capability for optical probing of 

integrated photonic devices has been demonstrated, which may be of commercial interest 

in the nanophotonics manufacturing. In another example, higher performance and new 

capabilities were demonstrated [1] using an atomic force microscopy probe with integrated 

nanophotonic readout [2,3]. In both cases these novel chip-scale probes were integrated 

with commercial scanning probe systems, lowering the entry barrier for commercial 

adoption.

Proposals are sought to improve manufacturability and develop batch fabrication of such 

probes and simplify their integration with commercial scanning probe microscopes and 

probe stations. Licensing conditions will be the same as in subtopic 9.07.01.40. Currently

such probes are difficult to produce in quantity economically, and are hard to integrate with 

commercial microscopes.
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Further development and commercialization of such probes, together with the 

development of the associated measurement techniques, will enable large improvementsin 

the state of the art of optical/photonic device testing and AFM metrology, and its 

dissemination to a broader community. NIST in general, and the Center for Nanoscale 

Science and Technology in particular, are interested in enabling innovative commercial 

research to achieve such improvement in optical and AFM metrology, and fulfill its mission 

to support the U.S. nanotechnology enterprise from discovery to production by providing 

industry, academia, NIST, and other government agencies with access to nanoscale 

measurement and fabrication methods and technology.

Probing integrated photonics devices by evanescent optical coupling can play a role similar 

to the role of electrical probing in electronics manufacturing, facilitating quick in-line testing 

and determining known good die. Evanescent coupling approach with a nanofabricated 

probe does not require large and expensive dedicated probing areas, and can be applied at 

wafer scale, which are not currently possible with other techniques.

Atomic Force Microscopy (AFM) is a nanoscale metrology technique essential for both 

nanoscience and nanotechnology research as well as nanoscale structure and device 

manufacturing. Decreasing the mass and size of AFM cantilevers both improves the speed 

of their response and decreases thermal mechanical noise by decreasing drag when 

operated in air or fluid environments. In both cases the measurement quality and 

throughput can be increased. Currently such miniaturization is limited by the difficulty of 

realizing precision measurement of the motion of such cantilevers. NIST research has 

demonstrated a way to overcome this difficulty by integrating nanophotonic resonators in 

close proximity to extremely small cantilevers with masses below 1 pg. These allow motion 

measurements with a motion noise floor below 1 fm/Hz1/2 and a force noise floor of a few 

fN/Hz1/2 in air, and a similarly low force noise in water. High resonance frequencies enable 

the devices to respond on sub-microsecond time scales.

The general goals of this research are to increase the quality, availability, and throughput of 

high-precision optical probing and AFM metrology by private sector commercialization of 

innovative, NIST-developed measurement technologies. In addition, this project should use 

small business to meet federal research and development needs, and to stimulate small 

business innovation in technology. The specific goals of this project are to eliminate 

manufacturing challenges and enables mass production of nanophotonic loop probe and 

nanoscale AFM probe microchips. Innovative research should address these specific 

challenges:

1) Mass production of microchips with overhanging photonic loops and/or nanomechanical 

AFM cantilevers.
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2) Mass production of chips that can be efficiently coupled to two or more single mode 

optical fibers. While low-cost fiber pigtailing of probe chips may be considered initially, 

development of reusable scanning probe microscopy chip holders with built-in optical 

connections appears to be a preferred path to commercial adoption.

The probes should be compatible with commercial Scanning Probe Microscope / Atomic 

Force Microscope systems and should be easy to exchange. They should operate in the 

optical telecommunication wavelengths range and allow quick and efficient coupling to 

commercial single-mode optical fiber excitation and detection systems with minimal 

mechanical alignment.

Commercialization of this technology is expected to result in significant advances in the 

commercial state of the art in photonics testing and AFM instrumentation, with a further 

positive impact on U.S. nanomanufacturing and nanotechnology enterprise as a whole.

Phase I expected results:

Demonstration of key elements of proposed probe design and fabrication process. 

Specifically, demonstration of the feasibility of fabricating all on-chip elements required for

1) single-mode fiberoptic connection (such as single-mode fiber pigtailing or a 

disconnectable optical connection approach)

2) exposing the probe tip for interaction with a sample (such as, but not necessarily, 

overhanging over the edge of the chip)

3) batch fabricating probe chips on 100 mm, 150 mm or larger wafers (this may include ebeam lithography).

The demonstrated approach should be in principle suitable for optical probe loops of 10 

micrometer diameter and width down to 150 nm or AFM probes with modal mass below 1 

pg and stiffness in the sense direction of 1 N/m to 100 N/m and optomechanical readout 

with a noise floor below 1 fm/Hz^0.5, or both (preferred). We are not looking for detailed 

optomechanical probe structure design, but seeking to establish a clear path to batch 

fabrication on a wafer scale. Sufficient feasibility demonstration will require fabricating 

simplified test structures to demonstrate key fabrication process steps (such as overhanging 

the probe and/or fiber coupling), and a theoretical study specifying a detailed fabrication 

process flow.

Phase II expected results:

Implementation and demonstration of batch fabrication of functional optical or AFM probes 

or both (preferred). Probe functionality will be validated b NIST. Optimization of probe’s 

design for improved performance and manufacturability. The optical probes shall have the 
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width from 100 nm to 500nm and radius of curvature from 2.5 micrometer to 10 

micrometer. AFM probes shall have the modal mass below 2 pg, and optomechanical 

readout noise below 3 fm/Hz^0.5. Probes shall be available in several different designs 

covering varying stiffnesses (AFM) and effective indexes (optical loop). We expect to have 

established a path to commercial fabrication of these probes at the end of the program.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may 

provide to the awardee full data on current NIST optical and AFM probe design and 

performance. NIST researchers may be available to consult with the awardee on all aspects 

such probe designs and their perceived applications. NIST may provide full details of 

currently used fabrication process and its implementation in the NIST CNST NanoFab, 

including recipes for all steps. Some of these steps are not currently compatible with batch 

fabrication, and NIST seeks to remedy this. NIST may provide full details of the current 

approach to assembly and integration of these probes into commercial instruments. NIST is 

open to regular discussions/consultations regarding design, as well as all other aspects of 

fabrication, as well as use of the probes. NIST researchers may be available, and in Phase II 

will be expecting, to test the early prototype probes and final supplied probes in our fiberoptical sensing and AFM systems. NIST will implement the changes necessary to integrate 

and test the supplied probes in our systems (such as custom adaptors or fiberoptic couplers, 

if necessary).

To be considered under two subtopics, a separate application may be submitted to subtopic

9.07.01.40 NIST Technology Transfer.

References:

[1] T. Michels and V.A. Aksyuk. Optical Probe for Nondestructive Wafer-scale 

Characterization of Photonic Elements, IEEE Photonics Tech. Lett., 29 (8), pp. 643 – 646, 

2017. https://www.nist.gov/publications/optical-probe-nondestructive-wafer-scalecharacterization-photonic-elements.

[2] , J. Chae et al. Nanophotonic Atomic Force Microscope Transducers Enable Chemical 

Composition and Thermal Conductivity Measurements at the NanoscaleNano Letters, 17 

(9), pp 5587–559, 2017. https://www.nist.gov/publications/nanophotonic-atomic-forcemicroscope-transducers-enable-chemical-composition-and.

[3] S.M. An et al. Optomechanical Transducer-based Soft and High Frequency Nanoscale

Cantilever for Atomic Force Microscopy, Proceedings, Solid State Sensor, Actuator and 

Microsystems Workshop, June 2016. https://www.nist.gov/publications/optomechanicaltransducer-based-soft-and-high-frequency-nanoscale-cantilever-atomic.
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[4] T. Michels et al. Fabrication Process for an Optomechanical Transducer Platform with 

Integrated Actuation, NIST JRES, 121, pp. 507-536, 2016.

https://www.nist.gov/publications/fabrication-process-optomechanical-transducerplatform-integrated-actuation.

[5] Patent application NIST 17-015 US1, U.S. Patent Application serial number 15/799,337 

“Photonic Probe for Atomic Force Microscopy, filed October 31, 2017.

[6] Patent application NIST 17-012 US1, Microfabricated Optical Probe.

9.02.07.63 Measuring Handedness by Fluorescence

Inorganic nanomaterials possess unique electronic and optical properties that may enable 

future quantum information technology and biomedical sensing and imaging. There is a 

growing appreciation that the intrinsic handedness of a nanomaterial, i.e. left- vs righthanded twist of the overall structure, plays a critical role in controlling the physical and 

chemical properties of the nanomaterial [1]. However, handedness character has been 

largely ignored in the past due to measurement challenges. Optical absorption based 

circular dichroism (CD) is a well-developed technique for characterizing small molecule 

enantiomers. However, this technique suffers from low speed, low sensitivity, and inability 

to derive stereochemical surface coating effect when applied to colloidal nanoparticles.

Fast, sensitive, and accurate determination of handedness of manufactured nanomaterials 

is thus an unmet measurement need. This subtopic solicits proposals to develop 

fluorescence based measurement of enantiomeric colloidal nanomaterials. A spectrometer 

that carries out such measurement is expected to provide fast, sensitive, and quantitative 

assessment of the enantiomeric content of the colloidal nanomaterial under test, as well as 

stereochemical effects from the coating layer. It is envisioned that this fluorescence-based 

CD spectrometer can be eventually adopted in on-line monitoring of manufacturing 

process, high-throughput screening, and other application development for a wide range of 

nanomaterials.

The specific goals of the project are the following.

1. Construct a fluorescence spectrometer that uses left- and right- circular polarized 

excitation light covering the entire visible range (400-700 nm) via the state-of-the-art super 

continuum light excitation technique, and detect difference emission fluorescence in the 

(900-1600 nm) near IR range, achieving a signal/noise ratio > 100 for the resulting 2D 

excitation-emission spectrum in less than 2 min accumulation time.
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2. Demonstrate the capability of such instrument for the analysis of enantiomericenriched 

nanoparticle colloids, such as different chiral forms of single-wall carbon nanotubes, with 

sample volume no more than 400 L and concentration no more than OD 1 (peak 

absorbance, 10 mm path length).

Phase I expected results:

Demonstrate feasibility of fluorescence based circular dichroism detection that meet 

specifications given in Project Goals.

Phase II expected results:

Assemble a functional unit of fluorescence based CD and deliver it to NIST for long term 

testing and further improvement. Develop commercialization plans to streamline 

production of the instrument assembly and reach out to wider research and industrial 

community for adopting the new measurement capability.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may be 

available to work collaboratively with the awardee, providing consultation and input, and 

answering questions related to details of measurement needs. More importantly, NIST will 

be able to provide nanostructures of defined handedness for instrument development and 

testing.

References:

[1] G. Ao et al. J. Am. Chem. Soc. 138, 16677-16685, 2016.

9.02.08.73 Smart Visualization for Smart Manufacturing

Today’s manufacturing systems are able to collect vast amounts of data; however, much of 

that data is never used unless and until there is a known problem with the equipment.

Sometimes the problem will not even be detected until the product is being used in the 

field, implying that the manufacturing problem may have persisted for several generations 

of the product. Advances in data visualization, which is a fundamental means of observing 

data and discovering problems, hold the potential of faster detection of issues and more 

rapid improvements. However, data visualization still requires considerable effort to easily 

integrate with the systems generating data [1].

Current approaches (drag-and-drop dashboards, tableaus, etc.) to visualizing smart and 

sustainable manufacturing enterprises are limited and suffer from many drawbacks.

Substantial manual effort from experienced practitioners is required. In some cases, skilled 

programming is necessary. In other cases, significant visualization expertise is necessary.
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Understanding large amounts of data, often stored as combinations of relational and nonrelational data in a variety of quasi-federated databases or being streamed directly from 

machines and not well understood by anyone in an enterprise, adds further difficulty.

Combining all of these skills in a single person is costly and is likely to remain out of reach, 

particularly for small manufacturers. (Large manufacturers have similar problems although 

for different reasons – while visualization teams exist, inordinately larger data sets make 

visualization harder in other ways.)

Currently, even the best results are inflexible, unable to adapt to in-process schema 

changes or schema-less databases. This leads to inflexible software that either suffers from 

“bit rot” as schemas and databases change out from under the visualization software or 

from the inability to incorporate new data to improve visualizations.

Manufacturing systems pose other unique characteristics for data. For instance, 

correlations between time and spatial coordinates are one fundamental concept for 

assessing manufacturing performance. Performance is often plagued by the interaction of 

variables along multiple dimensions, rather than a two-factor correlation. In response, some 

solutions focus on prioritizing dimensions or mathematically reducing dimensionality to best 

fit to practical visualizations. However, such data transformations can lead to a loss in 

context and information. Other unique characteristics exist. All in all, the manufacturing 

environment has become data rich but information poor.

The goal of this subtopic is to make available manufacturing visualization software that is 

more flexible, powerful, and easy to use than existing tools. The project will study 

fundamental concepts that are of relevance to manufacturing data, develop procedures for 

automatically applying visualization techniques to those concepts, and provide a natural 

language-based user interface to allow manufactures to quickly assemble their own 

visualizations based on their datasets. The solution is expected to make use of accepted and 

practical visualization principles, such as the proper mapping of visual variables to its target 

data [2], and apply these principles to create a manufacturing-focused toolset.

Additional features of the toolset may include a natural language-based front-end, user 

guidance on types of visualizations to apply to a given dataset, and data crawling 

capabilities. A natural language-based front-end will be a helpful component and, for some 

users, a superior interface to traditional drag-and-drop techniques. User guidance may 

come in the form of proffering certain visualization techniques that are recognizably 

appropriate for a dataset, dissuading the use of visualization techniques that are 

inappropriate for given data, and explaining visualizations that are not immediately obvious. 

The tool should offer and suggest appropriate choices to deal with challenging data such as 
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high-dimension data. The software should include an expandable library of plugin 

visualization components allowing for inclusion of new visualization technologies as they 

become available. A backend data crawler may adapt to new data as it becomes available 

within the enterprise, with and even without explicit schemas.

Phase I of the project will demonstrate the feasibility of developing software for 

visualizations using limited natural language and based on a library of visualizations for 

manufacturing-specific “big data” (large and varied databases).

Phase II will focus on richer natural language interfaces, techniques to recommend 

visualizations based on data, and automated assistance at understanding novel 

visualizations.

At the end of the project, non-visualization specialists should be able to interact with the 

system, producing visualizations that are better than Excel, at least as good as those from R, 

Wolfram, D3JS, etc., but much more quickly and without the development time or skills 

required by current visualization software.

As appropriate based on the mutual interest of both NIST and the awardee, NIST expects to 

work collaboratively with the awardee providing consultation and input on the activities 

and directions and providing data and scenarios as appropriate.

References:

[1] Visualization-related collections described in “visualization zoos” such as

https://queue.acm.org/detail.cfm?id=1805128.,

http://www.idea.org/blog/2012/10/25/great-tools-for-data-visualization/, and

http://d3js.org.

[2] M.S.T. Carpendale. Considering Visual Variables as a Basis for Information Visualization. 

Computer Science TR #2001-693-16. Dept. Computer Science, University of Calgary 2003.

http://dspace.ucalgary.ca/handle/1880/45758.

9.02.09.73 Standards Development and Implementation Tools for Smart Manufacturing and 

Industrial Internet of Things Applications

U.S. manufacturers are using new sensors, data processing, and internet technologies to 

create “smart” manufacturing systems that can compete more effectively. Making 

manufacturing smarter is all about connecting and using data using new, advanced data 
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analytics tools.

Advanced data analytics, needed to achieve the agility and productivity goals in smart 

manufacturing systems, rely on cost- and time-efficient integration of data and services 

from various sources including the Industrial Internet of Things (IIoT) devices. Standards 

necessary for such integration are still too costly and take long time to develop and 

use/reuse.

There have been several previous efforts to develop a computational method to provide a 

new standards development method with needed capabilities. None of the efforts to date 

has resulted in a viable solution.

NIST has performed preliminary research, developed specifications and a software 

prototype (called Message Standard Semantic Refinement Tool – MSSRT) to address such 

needs. The prototype has proved to provide benefits to manufacturing companies albeit in 

a single company environment. To realize the full vision and benefit, the tool needs to be 

used in a cloud-based, multi-tenant environment with additional functionalities to rapidly 

share and reuse standards-usage information. Only in this way, integration costs will reduce 

because new requirements can be met through reuse rather than development of new 

information. In addition, standards development will be more efficient and higher quality by 

adapting the standard-usage information from the widespread inputs.

The targeted application is not a typical multi-tenant application. Typical multi-tenant 

applications do not allow tenants to share data across tenants; and current database 

technologies support such data compartmentalization out of the box. Therefore, the 

targeted application requirement is an innovation in software architecture that allows

specific data to be shared across tenants while ensuring that data cannot be leaked 

unintentionally across tenants at the application logic layer.

Such software application should be hosted and serviced by commercial entities such as a 

supply chain hub, standards development organizations, or a joint venture between these 

types of organizations. This will allow maximum sharing of standards usage information and 

maximum propagation of the requirements to the standards development organizations.

The goal of this subtopic is to develop a multi-tenant tool supporting standards 

development and usage with an architecture that supports security and confidentiality such 

that data can be securely and reliably shared and unshared across tenants.

Phase I expected results:
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A design document that includes assessments of various implementation architectures for 

developing a multi-tenant capability of the MSSRT and additional functionalities needed to 

support the sharing and the agile standard development life cycle. The document shall 

describe the trade-offs among the architectures and provide a justification for the most 

suitable architecture. The report shall describe security and confidentiality requirements 

and how different architectures are meeting and the way of their evaluation against these 

requirements. The document shall group the additional functionalities needed into 

immediate needs, future needs, and visionary needs.

Phase II expected results:

1. A commercial grade multi-tenant MSSRT cloud-based application software implemented 

using the recommended architecture based on the Phase I design. It shall demonstrate the 

standard sharing and development life cycle functionalities and meet the security and 

confidentiality requirements specified in the Phase I design document.

2. The software shall include an HTML-based online user guide for the application.

3. A verification and validation test suite for the MSSRT implementation and test report for 

the test suite run against the implementation.

As appropriate based on the mutual interest of both NIST and the awardee, NIST staff may 

be available to work collaboratively with the awardee.

References:

[1] The Open Applications Group Semantic Refinement Tool Working Group Description.

http://www.oagi.org/dnn2/OurCommunity/WorkingGroups.aspx.

[2] Semantic Refinement Tool Requirement Document Version 1.0.

http://www.oagi.org/dnn2/LinkClick.aspx?link=https%3a%2f%2fdrive.google.com%2fopen

%3fid%3d0B--IONsLNMMRV0hlRWFkc0tyQ0U&tabid=134&portalid=0&mid=494.

[3] Semantic Refinement Tool Technical Design Document.

http://www.oagi.org/dnn2/LinkClick.aspx?link=https%3a%2f%2fdrive.google.com%2fopen

%3fid%3d0B--IONsLNMMRRjAzckhBcVN0OUk&tabid=134&portalid=0&mid=494 .

[4] Profile BOD Draft Specification.

http://www.oagi.org/dnn2/LinkClick.aspx?link=https%3a%2f%2fdrive.google.com%2fopen

%3fid%3d0B--IONsLNMMRUnh5YTg3VE45Qkk&tabid=134&portalid=0&mid=494.

[5] Overview of the OAGIS Repository, a Component of the Semantic Refinement Tool.

http://www.oagi.org/dnn2/LinkClick.aspx?link=https%3a%2f%2fdrive.google.com%2fopen
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%3fid%3d0B--IONsLNMMRTmhzdklOOFRmN1U&tabid=134&portalid=0&mid=494.

[6] The OAGIS Repository Installation Guide.

http://www.oagi.org/dnn2/LinkClick.aspx?link=https%3a%2f%2fdrive.google.com%2fopen

%3fid%3d0B--IONsLNMMReHAxeVJOUktpdnc&tabid=134&portalid=0&mid=494.

[7] The OAGIS Repository Example Query.

http://www.oagi.org/dnn2/LinkClick.aspx?link=https%3a%2f%2fdrive.google.com%2fopen

%3fid%3d0B--IONsLNMMReDJoTXBqS3E2Vnc&tabid=134&portalid=0&mid=494.

[8] Semantic Refinement Tool GitHub Public Repository. https://github.com/OAGi/OAGiNIST/wiki/OAGi-NIST-Semantic-Refinement-Tools-Home.

9.03 Cybersecurity and Privacy

9.03.01.77 Cloud Security Rubik’s Cube (CSRC) – Leveraging Cyber Security Framework to 

Identify the SP 800 53 Security and Privacy Controls for Cloud-based Information Systems

All Federal agencies are charged and entrusted with safeguarding the information that is 

contained in their systems and with ensuring that these systems operate securely and 

reliably. To support Federal agencies, NIST develops security and privacy risk management 

standards and guidelines that assist agencies in implementing integrated, organization-wide 

programs to manage information security risk as mandated by the Federal Information 

Systems Management Act (FISMA) of 2014 and the May 2017 Presidential Executive

Order, Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure: 

available at https://www.whitehouse.gov/the-press-office/2017/05/11/presidentialexecutive-order-strengthening-cybersecurity-federal. Agencies manage many types of risk 

and develop specific policies to identify, assess, and help mitigate adverse effects across a 

wide range of risks, with cybersecurity among them. The latest broad adoption of cloudbased solution for the federal information systems has the potential to elevate the systems’ 

security posture when solutions are properly architected and implemented. The complexity 

of such systems makes though the risk assessment and the design of a proper solution more 

difficult and much harder to achieve, especially when the IT security professionals’ work is 

done in spreadsheets and documents driving paper-based compliance which is out-of-date 

the day after it’s written, and often leaving critical risks undiscovered or unaddressed. The 

U.S. Chief Information Officer (CIO) tasked the National Institute of Standards and 

Technology (NIST), along with other agencies, with specific activities aimed at accelerating 

the adoption of cloud computing. The tasks include the delivery of a Cloud Computing 
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Security Reference Architecture (SP 500-299 – recently renumbered to SP 800-200). The 

document provides a methodology of architecting a cloud-based federal information. 

Additional guidance referred to as SP 800-174: “Security and Privacy Controls for Cloudbased Federal Information Systems”, leverages the methodology in SP 500-299/800-200 to 

provide exhaustive sets of SP 800-53 R4, security and privacy controls recommended for 

each functional capability or micro-service a system implements. Providing a user-friendly 

tool that leverages the NIST’s cloud computing security architecture (SP 800-200) and the 

questionnaire that drives the selection process of functional capabilities and associated 

security and privacy controls deemed necessary to be implemented for the information 

system to operate as indented with minimum residual risk (data aggregated in the SP 800-

174) would support agencies in meeting the FISMA requirements and the Presidential Order 

mandates while creating a risk management dialog that facilitates the communication 

among agency stakeholders through the process of prioritization, implementation and 

integration of the security and privacy controls deemed necessary. The tool, referred to as 

Cloud Security Rubik’s Cube (CSRC), should also allow system information analysis (e.g. user 

should be able to select a control and identify all its instances and the capabilities with 

which the instances are associated document the implementation of the controls, the 

generation), and visualization of the system’s security posture.

The purpose of the project is to enhance and facilitate government agencies’ adoption of 

secure cloud solution through the development of the Cloud Security Rubik’s Cube (CSRC) –

a tool that would draw on the exhaustive guidance NIST provides for the government 

agencies on how to secure information systems (cloud-based in particular) while meeting 

FISMA requirements regarding applying a risk based approach to securing information 

systems and the OMB mandate of using the NIST Cyber Security Framework for this 

purpose. CSRC would bring together guidance provide by NIST in: FIPS 199: “Standards for

Security Categorization of Federal Information and Information Systems”, FISP 200:

“Minimum Security Requirements for Federal Information and Information Systems”, SP

500-299/800-200: “NIST Cloud Computing Security Reference Architecture”, SP 800-53:

“Security and Privacy Controls for Federal Information systems and Organizations”, SP 800-

174: “Security and Privacy Controls for Cloud-based Federal Information Systems” (dataset

only) (requires GitHub account and proper permissions), NIST Cybersecurity Framework 

(v1.1), NISTIR 8170: “The Cybersecurity Framework. Implementation Guidance for Federal

Agencies” and NIST’s proof of concept: GitHub project: 

https://github.com/usnistgov/CloudSecurityRubiksCube.

Phase I expected results:

The Cloud Security Rubik’s Cube is developed as a standalone, enterprise-level application 

that can be installed on either Windows or Mac OS systems.
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Phase II expected results:

Update CSRC to support SP 800-53 Rev5: “Security and Privacy Controls for Information

Systems and Organizations” (currently on draft form), and containerize it in a way that 

makes the tool deployable in a cloud environment (e.g. Cloud.gov), either by the provider of 

a SaaS or by any interested cloud Consumer of a IaaS or PaaS

As appropriate based on the mutual interest of both NIST and the awardee, NIST may be 

available for consultation and input.

References:

[1] FIPS 199: Standards for Security Categorization of Federal Information andInformation

Systems.

[2] FISP 200: Minimum Security Requirements for Federal Information and Information

Systems.

[3] SP 500-299/800-200: NIST Cloud Computing Security Reference Architecture.

[4] SP 800-53: Security and Privacy Controls for Federal Information Systems and

Organizations.

[5] SP 800-174 dataset (requires GitHub account and proper permissions).

[6] NIST Cybersecurity Framework.

https://www.nist.gov/sites/default/files/documents/draft-cybersecurity-frameworkv1.11.pdf.

[7] NISTIR 8170: The Cybersecurity Framework. Implementation Guidance for Federal

Agencies.

9.03.02.60 Digital Forensics

Digital forensics is a broad field that covers any investigation of digital systems or media 

ranging from traditional computers to mobile phone to drones and even medical devices. 

Digital forensics examines systems and media in order to find evidence of crimes and to 

determine who did them. This includes tasks such as identifying who created, sent, or 

viewed data, what types of data are on a system, reconstructing deleted data and so forth.
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Digital forensics is used not just by law enforcement, but in civil and corporate 

investigations.

Since the scope of digital forensics is vast, the community needs many tools to be able to 

examine both the variety of systems and media that come to the lab but also to be able to 

perform different types of analysis. To support this need, NIST has created datasets that 

support digital forensic examinations, especially through the National Software Reference 

Library (NSRL) program. The NSRL publishes several datasets related to software that are 

imported into digital forensic tools. The NSRL recently created new datasets for mobile 

device apps and gaming platform software.

There are currently no tools that use these datasets to increase the efficiency and 

effectiveness of digital forensic analysis. NIST is interested in having research performed to 

determine the best ways to use these datasets and then to create software that digital 

forensics labs, or other forensic tool makers, can use.

Project goals are:

1. Research the potential for using new NSRL datasets in digital forensic examinations. 

There are multiple ways in which a dataset can be used to help with digital forensic 

examinations. Research is needed to understand what forensic processes can be improved 

by having access to this data. Each new system and media type presents new challenges to 

forensic examination. The goal is not to simply replicate how previous datasets were used, 

but to develop new approaches to the examination. The new approaches should address 

not just finding new types of evidence, but also helping address the problem that forensic 

examinations can be overwhelmed with the amount of data in a case. Efficiency is also an 

important goal.

2. Develop prototype software that increases the efficiency and effectiveness of digital 

forensic examinations by using the new NSRL datasets. The software can be either a 

standalone tool or appropriate for incorporation into existing toolsuites.

3. Develop commercial grade software. The software can be either a standalone tool or 

appropriate for incorporation into existing tool suites.

Phase I expected results:

Prototype software that increases the efficiency and effectiveness of digital forensic 

examinations by using the new NSRL datasets.

Phase II expected results:
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Commercial-level software that increases the efficiency and effectiveness of digital forensic 

examinations by using the new NSRL datasets.

As appropriate based on the mutual interest of both NIST and the awardee, NIST will 

provide datasets for mobile apps for both Android and iOS; for Steam/Valve software, and 

possibly for Blizzard and Origin games; NIST will also provide a research environment in 

which the awardee can test their software against the NSRL corpus.

Reference:

[1] National Software Reference Library (NSRL). http://www.nsrl.nist.gov.

9.03.03.77 Imposing Fine-grain Next Generation Access Control over Database Queries

Relational Database Management Systems (RDBMSs) do not typically impose fine-grain 

access control directly on its data. To restrict access to sensitive data that might reside in a 

RDBMS, controls are typically implemented at the application level or through proprietary 

RDBMS methods such as views. These controls take on many forms including role-based 

access to “screens” with parameters that can be characterized and subsequently used to 

formulate and issue SQL queries. SQL queries comprise four basic types of operations–

Select, Insert, Update, and Delete–that respectively read, create, write, and delete data in 

tables. An important feature of RDBMSs is that they can specify criteria and extract and/or 

alter data that might reside in one or more tables with great efficiency. For example, “give 

me all the employees over 50 years old that live in Virginia”. NIST has developed a method 

for which a patent application has been filed [1] that leverages ANSI/INCITS Next 

Generation Access Control (NGAC) standard [2] called Next-generation Database Access 

Control (NDAC) for imposing access control over database queries at the data level, 

independent of the application and with minimal impact on performance. Licensing 

conditions will be the same as in subtopic 9.07.01.40. As a result, the same policies can 

protect multiple databases from queries sent from multiple applications. Furthermore, 

NDAC not only provides control down to the field level, but to varying fields of select rows. 

NDAC is unique in achieving this granularity of control without the use and coordination of 

multiple protection mechanisms. Operationally, users issue wide sweeping queries, and 

NDAC allows access to the optimal amount of data permissible for the user. The method 

includes an Access Manager for trapping and enforcing policy over SQL queries issued by 

applications as well as a Translator for converting SQL statements to NGAC inputs and 

converting NGAC authorization responses to either an access Deny or a permitted SQL 

statement that is submitted to the database. [4] provides a comprehensive description of 

the NDAC method.
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In support of the NGAC standardization effort, NIST has developed an NGAC open source 

reference implementation [5] called the Policy Machine (PM), that includes an 

administrative tool for expressing policy and an NGAC authorization engine that may serve 

as a critical component in an NDAC implementation. In addition, NIST has developed a 

partial NDAC prototype implementation that demonstrates partial functionality for Select

and Update SQL statements to demonstrate the viability of NDAC. This prototype 

implementation can be found on GitHub as open source [6].

This SBIR subtopic seeks development of a commercially viable NDAC product that 

leverages Policy Machine opensource. This effort includes development of an Access 

Manger and Translator. The translator should include a SQL parser that may be developed 

from scratch, purchased, or adapted from an open source parser. The Access Manager must 

include a SQL proxy. In addition, a commercially viable product should include user, 

administrator, and application developer documentation. An anticipated challenge is 

capturing and extracting a user identity from an application that is required along with SQL 

as input to the Access Manager.

Phase I activities and expected results:

1. Plan, specification and design for an NDAC implementation based on the existing PM 

open source for future commercial use.

2. Completed development plan, specification, and design including test plan for the

proposed capabilities.

Phase II activities and expected results:

1. Code development, documentation, and testing of the Beta version of a commercially 

viable NDAC product.

2. A robust beta version of NDAC product that contains the proposed capabilities, 

documentation for the code and user manual, and testing results to verify the completeness 

of the development.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may 

provide PM source code [5], NDAC prototype source code [6], consultation, input, and 

discussion with the awardee to help with the evaluation of the proposed development. 

Upon request, NIST would conduct a demonstration of the prototype NDAC 

implementation.

To be considered under two subtopics, a separate application may be submitted to subtopic

9.07.01.40 NIST Technology Transfer.
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References:

[1] D. Ferraiolo, S. Gavrila, G. Katwala, J. Roberts. U.S. Patent App. 15/215,556.

[2] American National Standards Institute, Information technology - Next Generation Access 

Control - Functional Architecture (NGAC-FA), INCITS 499-2013, American National Standard 

for Information Technology, March 2013.

[3] American National Standards Institute, Information technology – Next Generation 

Access Control – Generic Operations and Data Structures (GOADS), INCITS 526-2016, 

American National Standard for Information Technology, January 2016.

[4] D. Ferraiolo et al. Imposing Fine-grain Next Generation Access Control over Database 

Queries Proceedings of the 2nd ACM Workshop on Attribute-Based Access Control, pp 9-15, 

2017.

[5] NIST Policy Machine Versions 1.5 and 1.6 - Harmonia [Website], https://github.com/PMMaster [accessed 9/26/16].

[6] NDAC prototype implementation, https://github.com/PM-Master/NDAC.

9.04 Exploratory Measurement Science

9.04.01.63 In-line Spectral Filtering for Integrated Raman Fiber Optic Probes

Novel designs of Raman spectroscopic probes benefit from the flexibility afforded by the 

use of optical fibers, yet Raman scattering intrinsic to the fibers is an undesirable spectral 

background that results in reduced analyte sensitivity. Spectral filters can be deployed to 

eliminate this background at the cost of increased probe size and complexity. NIST seeks the 

development of optical fiber assemblies wherein the spectral filtering is engineered into the 

fibers themselves through the use of fiber Bragg gratings or other similar technology.

Development of such fiber technology is expected to benefit wide ranging applications of 

Raman spectroscopy such as biomedical endoscopy and remote sensing, in addition to the 

development of integrated Raman/mechanical probes being pursued at NIST.

Raman spectroscopy is a widely used, non-destructive technique for extracting 

compositional and structural information about a wide variety of materials on micrometer 

length scales. In recent years, Raman instrumentation has moved beyond the traditional 

microscope and spectrometer paradigm to include a wide variety of portable form factors in 
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which the analysis technology can be brought to the specimen, rather than the typical 

reverse approach. A key element in some of these new designs is the use of optical fibers 

for both delivery of the excitation light and collection of the Raman scattered photons. The 

use of fibers provides a great deal of flexibility over free space optics, particularly for 

analysis in remote (e.g., undersea [1]) or difficult to access locations (e.g., in vivo [2]). A 

complication of the use of silica fibers is the Raman scattering generated by the fibers 

themselves; this scattering can be of sufficient intensity to mask the detection of analytes in 

low wavenumber Raman scattering (< 1250 cm-1) [2]. The fiber Raman scattering can be 

suppressed through the use of narrow bandpass filters (excitation beam) and steep long 

pass filters (Stokes scattered beam) located between the excitation/collection fibers and

the specimen. The use of such filters works well in conventional Raman instruments, but 

presents significant design challenges for applications with significant space limitations. It is 

worth noting that these are often the same applications that stand to benefit the most from 

the flexibility afforded by the use of fiber optics.

Several researchers have explored the idea of engineering the functionality of the Raman 

filters directly into optical fibers, thus eliminating the space constraints imposed by the 

need for the spectral filters. For example, Popp and co-workers demonstrated the use of 

Bragg gratings written into several collection fibers to suppress the silica fiber background 

in the Raman spectroscopy of brain tissue [3]. The further development of this type of 

technology opens the possibility of greatly simplifying the Raman probe designs for a wide 

variety of applications, including endoscopy [2] and remote Raman sensing (e.g., mine 

shafts [4]).

NIST researchers have an interest in coupling an optical fiber or fiber bundle directly to an 

optically transparent mechanical probe (e.g., ceramic ball lens) to allow simultaneous 

Raman and mechanical measurements of materials. An optical fiber assembly with 

integrated spectral filtering of the silica fiber Raman from the excitation beam and rejection 

of Rayleigh scattered light in the collection fibers would greatly improve on current 

implementations of integrated Raman/mechanical probes.

Phase I expected results:

NIST expects a design for an optical fiber or fiber bundle with integrated filtering technology 

sufficient to suppress fiber Raman scattering to a degree comparable to commercial Raman 

filters (e.g., narrow bandpass/longpass Raman filter combinations). The design should 

include fiber parameters derived from relevant optical modeling for fiber Bragg gratings (or 

other appropriate technology) that will yield sufficient filtering performance. Additionally, a 

plausible methodology for fabrication of fibers or fiber bundles with the integrated filtering 

technology that will allow coupling to NIST specified mechanical probes should also be 
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developed.

Phase II expected results:

NIST expects fabrication of a working prototype optical fiber assembly with integrated 

spectral filtering yielding performance comparable to commercial Raman filter sets.

Additionally, the assembly design should accommodate reproducible coupling to ceramic 

ball lens mechanical probes specified by NIST.

As appropriate based on the mutual interest of both NIST and the awardee, NIST staff may 

be willing to consult awardees on specific details of planned use of fiber optics at NIST and 

to provide mechanical probes for testing along with providing general input on 

requirements for other possible applications.

References:

[1] X. Zhang et al. A Review of Advances in Deep-ocean Raman Spectroscopy, Appl. Spec., 66 

(2012) pp. 237 – 249 DOI:10.1366/11-06539.

[2] O. Stevens et al. Developing Fibre Optic Raman Probes for Applications in Clinical 

Spectroscopy, Chem. Soc. Rev., 45 (2016) pp. 1919-1934 DOI: 10.1039/C5CS00850F.

[3] S. Dochow et al. Multicore Fiber with Integrated Fiber Bragg Gratings forBackgroundfree Raman Sensing,” Opt. Express, 20 (2012), pp. 20156-20169 DOI: 

10.1016/j.addr.2015.03.009.

[4] J. Pope, and J. Herries. In-situ Detection and Analysis of Methane in Coal Bed Methane 

Formations with Spectrometers, U.S. Patent 7,821,635, October 26, 2010.

9.04.02.68 Intermediate Frequency Conversion System for High-Bandwidth Multiplexed 

Sensors Arrays

Arrays of cryogenic sensors below 1 Kelvin provide unique measurement capabilities for 

both industrial applications, for example materials analysis in a scanning electron 

microscope, and for fundamental scientific applications, for example x-ray beam-line 

science and cosmic microwave background research. New application areas are emerging as 

the arrays become larger and move beyond the domain of specialized cryogenic facilities.

These systems use a variety of different cryogenic sensors, including microwave kinetic 

inductance detectors, magnetic calorimeters, and microcalorimeters and bolometers based 

on transition-edge sensors (TESs).
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In order to read out cryogenic sensor arrays at the scale of tens to hundreds of thousands of 

sensors, multiplexing with GHz of bandwidth per output channel is necessary. Without this 

multiplexing, the heat load caused by electrical connections to room temperature would be 

prohibitive. Cryogenic sensor groups at NIST, as well as other institutions around the world, 

have been developing microwave multiplexing technologies to meet this need.

All solutions currently being developed rely on the measurement of the system with a 

superposition of microwave tones at different frequencies, one for each detector. The 

cryogenic circuit is designed to modulate the microwave tones, each with the signal from its 

own sensor. If the input tones can be digitally synthesized, and the modulated tones 

digitally processed, the sensor signals can then be demultiplexed using software-defined 

radio (SDR). However, room temperature hardware is needed to bridge to frequency gap 

between the GHz carrier tones and existing digital-to-analog (DAC) and analog-to-digital 

(ADC) converters.

The microwave carriers are generated using IQ mixing to upconvert baseband tones from a 

pair of DACs. The modulated signals are similarly mixed down and fed into a pair of ADCs. 

To read out more bandwidth than the DACs and ADCs provide, we split the signal from the 

cryostat (combine the signal into the cryostat), mix down (up), and filter to exclude aliasing 

from tones outside the band of interest. Currently the up-mix and down-mix are 

accomplished using discrete connectorized components including the mixers and various 

amplifiers, attenuators, and filters necessary to match the signals to both the sensors and 

digitizers. In order to read out future large arrays of cryogenic sensors, a more integrated 

and scalable commercial solution is necessary.

The project goal is to enable multiplexed readout of large scale cryogenic sensor arrays, we 

seek proposals for a scalable system to perform the frequency conversion between the 

microwave frequencies and existing DACs and ADCs that meets the following technical 

goals:

• Capability for up- and down-mix of several adjacent bands in the 4-8 GHz range. As the 

bandwidth of ADCs and DACs is rapidly evolving, system adaptability is preferred. 

However, our current system is set up to use 4X 1 GHz bands.

• Ability to match the range of the DACs and ADCs to the amplitude of microwave signals 

into and out of the cryostat, without degrading signal-to-noise (SNR). For example, with 

a +/- 0.5 V scale on the digitizers and 2000 tones, the power per tone is -38 dBm on I 

and Q. The microwave power per generated tone must be at least -45 dBm, preferably -

40 dBm. While meeting this goal, the conversions must not degrade either input or 
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output SNR to worse than 130 dB/Hz.

• Switchable calibration modes to allow the I/Q imbalances to be characterized and 

compensated for in the digital signal processing. This calibration is necessary to suppress 

image tones, which can interfere with the signals of other sensors.

• Integrated solution that provides power for the active components and communication 

for control of the relays, attenuators, microwave sources, etc.

• Scalable manufacture, to satisfy the needs of systems accessing many tens of GHz of 

bandwidth with low lead time, and without high cost per unit.

Phase I expected results:

A substantially complete mechanical and electrical design that addresses the project goals 

described above.

Phase II expected results:

Construction of a prototype frequency conversion system that fulfills the project goals 

above. This prototype will remain the property of the awardee. Demonstration of the 

frequency conversion system together with NIST staff. Commercialization of frequency 

conversion system if technically successful.

As appropriate based on the mutual interest of both NIST and the awardee, NIST personnel 

may be available to assist the awardee in a variety of ways including consultation on 

instrument design and participation in design reviews.

References:

[1] J.N. Ullom and D.A. Bennett. Review of superconducting transition-edge sensors for xray and gamma-ray spectroscopy. Superconductor Science and Technology 28.8, 084003, 

2015.

[2] J. Zmuidzinas. Superconducting Microresonators: Physics and applications. Annu. Rev. 

Condens. Matter Phys. 3.1 (2012): 169-214.

[3] J.A.B. Mates et al. Simultaneous Readout of 128 X-ray and Gamma-ray Transition-edge 

Microcalorimeters using Microwave SQUID Multiplexing. Applied Physics Letters 111.6, 

062601, 2017.

9.04.03.68 Solid-State Dynamic Mode Mixer for Multi-Mode Optical Fiber

Multi-mode optical fiber is a common delivery system for radiant flux, in particular from 

lasers, and as the input for detection systems such as spectrographs. The output from a 
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multi-mode optical fiber is non-uniform and sensitive to the input geometry. For example, a 

common incident flux condition is for quasi-collimated flux introduced into the optical fiber 

at an angle. In this case, the output distribution will be a ring or doughnut. This type of 

distribution creates calibration issues with both spectrographs and integrating spheres. For 

spectrographs, the optical fiber is often coupled directly to the slit, resulting in a nonuniform ‘saddle’ image on the focal plane. This type of image can lead to partial saturation 

of the spectrum and measurement errors.

Propagation of radiation through a multi-mode optical fiber does not by itself reduce effects 

of laser coherence, often referred to as speckle, on the measured signal. Currently, speckle 

is reduced by placing a length of unjacketed optical fiber into an ultrasonic bath. The bath 

modulates the optical signal at frequencies of 40 kHz, reducing speckle in the output beam. 

Over time, however, cracks develop in the optical fiber, increasing the loss in the fiber. The 

optical fiber in the ultrasonic bath needs to be replaced every 4 weeks to 8 weeks 

(depending on usage). While some modes are mixed using the ultrasonic bath, the mixing is 

not sufficient to produce a uniform output beam. Static mode mixers have been developed, 

but are not suitable because they do not reduce coherence effects. One U.S. company 

claims to have a mode mixer product (General Photonics, MMS-201). However, it operates 

over a very limited spectral range, from 500 nm to 1650 nm, and does not adequately mix 

the spatial modes in the fiber, though it does reduce the coherence of the light propagated 

through the system.

A Solid-State Dynamic Mode Mixer will mix the spatial modes in the optical fiber at 

frequencies of 1 kHz or greater, effectively averaging out the non-uniform spatial 

distribution and shifting coherence effects to higher frequencies. It will impact all research 

and products that benefit from a uniform output from a multi-mode fiber.

Project goals include the following:

1. Demonstrate dynamic mode mixing in a multi-mode optical fiber covering the spectral 

range from 360 nm to 1000 nm.

a. Mode mixing should be dynamic, scrambling the spatial modes at 1 kHz or greater.

b. Mode mixing should improve the uniformity of the output beam to either a flat-hat or 

Gaussian-like spatial distribution.

c. Insensitivity of the output of the multi-mode fiber to input conditions should be 

demonstrated.

2. Extend the mode mixing to 2.5 um.

3. Extend the spectral range to 3 μm.

4. Extend the spectral range to 300 nm.

5. Extend the spectral range to 200 nm.
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Phase I expected results:

It is expected that project goal 1 will be complete by the end of Phase I.

Phase II expected results:

1. Package demonstrated product in a box suitable for rack-mounting. Keep the size within 

3U.

2. Project goals 2-5. For all goals 1a, 1b, and 1c shall be demonstrated.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may be 

available to assist in any way it can be helpful and hopes to work with the awardee to 

understand the performance of the mode mixer – in particular the degree of 

homogenization of the light output from the fiber and the temporal behaviors.

9.05 Health and Bioscience

9.05.01.68 Open Source Image Analysis for NIST/RSNA/NCI Validated MRI Phantoms

There is a critical need for National Metrology Institute-validated medical imaging 

calibration structures (SI-traceable phantoms) as well as validated analysis platforms that 

can determine the accuracy of advanced quantitative imaging techniques that are coming 

online. An open analysis package for NIST phantoms was one of the most requested items 

in a recent MRI Standards workshop held at NIST Boulder in August 2017. Commercial

versions of this analysis package were identified as an essential element getting these 

reference objects used in clinical trials.

The new quantitative imaging techniques, included advanced diffusion mapping and 

magnetic resonance fingerprinting, can provide more information about tissue properties, 

which is critical for identifying cancerous lesions, neural trauma, and the onset and 

progression of neurodegenerative diseases. These new techniques, which are faster and 

more cost effective, need to be validated using primary reference structures provided by 

NIST(1-4), with protocols validated by NIST, the National Cancer Institute (NCI), and the 

Radiological Society of North America (RSNA). An example public-domain best-practice 

protocol is the diffusion imaging profile recently published by RSNA Quantitative Imaging 

Biomarker Alliance(5). It is imperative that an open source analysis framework be setup so 

that different institutions, medical instrument makers, pharmaceutical companies can verify 

and compare their analysis protocols on the same SI-traceable object.
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While the open source component of this subtopic is not a commercial product, it lays the 

foundation for many commercial packages that rely on their ability to demonstrate that 

they can successfully implement standard analysis protocols or can provide ones with 

demonstrated superiority. Once the company can demonstrate the open sourceframework, 

it can market application specific versions that are tailored to specific clinical trials.The 

existence of an open source image analysis package for SI-traceable phantoms will greatly 

assist the NIST goal of transitioning medical imaging to a precise metrology. Having NISTvalidated components in a widely used open source analysis platform will advance precision 

medicine. A very successful model of an open source image analysis package is ImageJ (and 

offspring such as FIJI), which was originally developed by NIH.

The goal of the project is to create a new and unique platform to extract quantitative 

information from MRI phantom data sets. The platform must be open to inspection, 

modular so users can swap in analysis packages that they wish to compare against current 

standards, implement advanced physics models for artifact identification and uncertainty 

analysis, provide a platform where machine learning analysis, such as magnetic resonance 

fingerprinting and deep learning image reconstruction, can be compared against standards. 

At present, there is no such common platform to compare and test quantitative image 

analysis protocols on primary reference standards. Currently, when comparing analysis 

techniques, a hodgepodge of different packages, both commercial and in-house, are used. 

This platform would be a ground-breaking critical component connecting medical imaging 

to the SI.

The Phase I effort should develop a framework of tools to allow processing of data from the 

NIST system phantom, diffusion phantom, and breast phantom(6-8) using NIST, RSNA, and 

NCI prescribed protocols(5). The framework should be open to allow swapping in different 

analysis protocols and allow rapid comparison between protocols. Phase I should provide a

demonstration on one phantom of how the analysis framework will work. Phase I should 

also produce innovative plans for improved analysis of geometric distortion, automated 

resolution determination, and better methods for dealing with noise and artifacts.

The Phase II effort should develop the complete analysis framework and include innovative 

components going beyond what has been currently developed by NIST, RSNA, and NCI. 

These elements may include deep learning based analysis of geometric distortion, RF 

inhomogeneity analysis, and an automated image resolution analysis. The analysis 

framework should be completely modular with the ability to import and analyze all existing 

SI-traceable phantoms.(6-8) The open source component should be published on Github 

with public accessibility. The company should further demonstrate the ability to use the 

open source package to provide improved quality assurance tools for clinical trials.
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As appropriate based on the mutual interest of both NIST and the awardee, NIST may 

provide access to all details of phantom construction and access to NIST in house analysis 

packages. NIST may provide virtual phantoms (digital reference object) providing full 

numerical description of NIST developed phantoms. NIST will facilitate access to RSNA QIBA 

and NCI Quantitative Imaging Network imaging protocols. NIST will provide continuous test 

and feedback on the platform as it is developed using existing NIST datasets.

References:

[1] N.M. deSouza et al. Implementing Diffusion-weighted MRI for Body Imaging in 

Prospective Multicentre Trials: Current Considerations and Future Perspectives. Eur Radiol. 

2017. doi: 10.1007/s00330-017-4972-z. PubMed PMID: 28956113.

[2] Y. Jiang et al. Repeatability of Magnetic Resonance Fingerprinting T1 and T2 Estimates 

Assessed Using the ISMRM/NIST MRI System Phantom. Magnetic Resonance in Medicine: 

Official Journal of the Society of Magnetic Resonance in Medicine / Society of Magnetic 

Resonance in Medicine. 2016. doi: 10.1002/mrm.26509. PubMed PMID: 27790751; PMCID: 

PMC5408299.

[3] D.C. Newitt et al. Multisite Concordance of Apparent Diffusion Coefficient 

Measurements Across the NCI Quantitative Imaging Network. J Med Imaging (Bellingham). 

2018; 5(1):011003. doi: 10.1117/1.JMI.5.1.011003. PubMed PMID: 29021993; PMCID: 

PMC5633866.

[4] E.M. Palacios et al. Toward Precision and Reproducibility of Diffusion Tensor Imaging:A 

Multicenter Diffusion Phantom and Traveling Volunteer Study. AJNR American Journal of 

Neuroradiology. 2017; 38(3):537-45. doi: 10.3174/ajnr.A5025. PubMed PMID: 28007768; 

PMCID: PMC5352533.

[5] QIBA Profile: Diffusion-Weighted Magnetic Resonance Imaging (DWI).

http://qibawiki.rsna.org/index.php/Perfusion, Diffusion and_Flow-MRI_Biomarker_Ctte. 

2017.

[6] K.E. Keenan et al. Comparison of T1 Measurement Using ISMRM/NIST Phantom. 

Proceedings Title: Proceedings of the International Society of Magnetic Resonance in 

Medicine, #3290 2016.

[7] K.E. Keenan et al. Variability and Bias Assessment in Breast ADC Measurement Across 

Multiple Systems. Journal of Magnetic Resonance Imaging. 2016;44(4):846-55.
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[8] K.E. Keenan et al. Design of a Breast Phantom for Quantitative MRI. Journal of Magnetic 

Resonance Imaging, 44(3):610-9 2016.

9.05.02.68 Optical Imager for Quantitative Deep Tissue Oximetry

In image-based tumor detection, exposure of the human body to ionizing 

radiation in x-ray tomography and the use of heavy metal contrast reagents in 

MRI cause harmful side effects (See “The surprising dangers of CT scans and Xrays”7

, Label-free optical imaging technologies, i.e. without the need for 

ionizing radiation exposure and exogenous contrast agents will enable safe and 

complication-free tumor diagnostics. However, optical techniques are 

fundamentally limited to surface imaging or to low resolution diffuse light 

scattering applications as the optical wavelengths of light significantly scatter 

through thick tissue, preventing the backscattered light from refocusing for 

precise image reconstruction.8 A new technique has been recently 

demonstrated that overcomes some of the issues associated with traditional 

optical imaging. In the new technique, optoacoustic imaging, the absorption of 

light by existing (endogenous) colored molecules in a sample provides 

specificity and contrast, but unlike traditional optical techniques, there is no 

need to collect the scattered light. Rather, the initial absorption of light creates 

an acoustic wave which is much easier to collect because it is not as 

susceptible to scattering as optical wavelengths. The goal of this innovative 

research is to realize an instrument based on label- free optical imaging that is 

capable of quantitative and functional oximetric imaging (i.e. determination of 

oxy- and deoxyhemoglobin concentration ratios as a map of tissue 

oxygenation) of deep tissues with depth and lateral resolutions, and tumoridentifying specificity comparable to those of MRI and x-ray computed 

tomography. Functional evaluation of the tissue oxygen levels has been shown 

to be a key biomarker to quantitatively diagnose the disease states of tumor 

tissues.9

7 https://www.consumerreports.org/cro/magazine/2015/01/the-surprising-dangers-of-ct-sans-and-xrays/index.htm)

8 http://www.laserfocusworld.com/articles/print/volume-51/issue-11/newsbreaks/multimode-holographicwaveguides-tackle-in-vivo-biological-imaging.html
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9 https://www.researchgate.net/figure/267657254_fig1_Figure-2-An-illustration-of-the-differences-betweennormal-oxygen-level-in-the evaluation of tissue oxygen levels

Recent technological advancements in this area have been research-based (preclinical) and 

exploratory, mostly taking place in academic laboratories. Commercialization of a technology 

to make an optical technique readily available and validated will allow a broad range of 

clinical applications for non-invasive diagnostics of tumors. Label-free deep tissue optical 

imaging will significantly enhance the safety and lower the health care cost of tumor 

diagnostics in the clinic. Broad distribution of this technology through commercialization 

would also provide a valuable tool in evaluation of the efficacy of a variety of cancer 

treatment approaches. Non-invasive optical imaging will enable prognosis of tumors in 

response to new drugs as well as image-guided surgeries and treatments, promoting a broad 

range of industries such as medical device manufacturers to pharmaceutical companies.

This innovative research is well aligned with NIST’s mission to improve the quality of 

people’s lives by working with industry to develop and apply technology, measurements, 

and standards. NIST began a program in Optical Medical Imaging approximately 8 years ago 

to help with the development of phantoms (i.e. calibration artifacts) for a variety of preclinical optical imaging techniques. The Molecular and BioPhotonics Group has received 

standards development (SD) funds to respond to the needs of the optical medical imaging 

community, specifically to develop phantoms for optical coherence tomography and 

photoacoustic imaging. Both Europe and Asia are currently approving clinical use of 

photoacoustic imaging, but the U.S. is lagging behind because of stricter approvals required 

by the Food and Drug Administration (FDA). NIST is working to support the FDA to develop 

phantoms that would enable the FDA to assess and accelerate approval of new optical 

medical imaging devices and their applications. NIST’s participation in this SBIR is expected 

to encourage small start-ups and businesses to develop a product and begin FDA 

submission for approval of the device. The success of this SBIR will also provide a 

benchmark to accelerate clinical applications (i.e. use of the device) of a broad range of 

label-free tissue optical imaging methods for accurate disease diagnostics to improve the 

quality of people’s lives.

Label-free deep tissue optical imaging with a penetration depth of a few centimeters and 

with the spatial resolution of about 250 micrometers has been demonstrated by 

photoacoustic computed tomographic imaging. In tumor imaging applications, this 

technique uses endogenous molecular contrast originated from hemoglobin molecules 

highly concentrated in newly formed blood vessels in tumor regions. While demonstration 

of tumor imaging has the potential for huge clinical impact in the noninvasive diagnostic of
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tumors, an accurate measurement of the oxygen level in the tissue is essential to provide a 

prognostic indicator directly related to the efficacy test of tumor treatments. The project goals 

are to integrate a quantitative label-free functional imaging capacity capable of mapping 

oxygen saturation (SO2) level in tissues (with < ±5% absolute accuracy and < ±1% repeatable 

precision) into existing photoacoustic computed tomographic imaging technology with the 

following requirements: spatial resolution of < 300 micrometer, and temporal resolution 10 Hz 

in 2D frame rate, and < 20 s to acquire a volume tomography of

~4cm deep tissues.

Phase I expected results:

1. Integration of a functional imaging capability to determine tissue oxygen levels into a 

deep-tissue photoacoustic imaging system.

2. Develop methods for quantitative evaluation of the image quality involving tissue oxygen

saturation (SO2) level, spatial resolution, temporal resolution, and contrast to noise ratio. 3.

Demonstration of the resolution, precision and accuracy levels stated in project goals for 

NIST provided phantoms.

Phase II expected results:

1. Demonstrate quantitative functional oximetry mapping capability in at least 5 human 

subjects with the oxygen saturation measurement with < ±5% accuracy and < ±1%precision.

2. Demonstrate <350 micrometer spatial and < 20 s for 3D and 0.1 s for 2D temporal 

resolutions for the tomography of > 4cm deep tissues.

3. Success would ultimately entail submitting an Investigational device exemption (IDE) 

package to FDA for device approval.

One of the major foci of the NIST’s Optical Medical Imaging program is to develop standards 

to enable quantitative label free imaging of biological tissues. Through the program, the 

NIST team has successfully developed a series of tissue-mimicking phantoms with welldefined and well-characterized optical properties for a broad range of label free optical 

imaging technologies, including photoacoustic microscopy and tomography. As appropriate 

based on the mutual interest of both NIST and the awardee, NIST’s phantoms will be 

available for the calibration of devices and the validation of the optical measurements for 

this study. The NIST team has also demonstrated a capability to accurately measure the 

ratio of oxy-hemoglobin to deoxy-hemoglobin at a single cell sensitivity. This knowledge 

base will be available to help the SBIR researcher(s) to verify their quantitative oximetry 

measurements.

References:

[1] S. Hunjan et al. Tumor Oximetry: Demonstration of an Enhanced Dynamic Mapping 
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Procedure Using Fluorine-19 Echo Planar Magnetic Resonance Imaging in the Dunning 

Prostate R3327-AT1 Art Tumor, Int. J. Radiation Oncology Biol. Phys., 49(4) 1097,2001.

[2] L.V. Wang and J. Yao, A Practical guide to Photoacoustic Tomography in the Life

Sciences, Nature Methods 13, 627, 2016.

[3] J.Y. Lee et al. Absorption-Based Hyperspectral Imaging and Analysis of Single 

Erythrocytes, IEEE Journal of Selected Topics in Quantum Electronics, Vol. 18, No. 3, 1130-

1139, May/June 2013.

[4] B. Chon et al. Digital Phantoms Generated by Spectral Light Modulators, Journalof 

Biomedical Optics, 20(11), 11215, November 2015.

9.05.03.77 Parallel Algorithms for Processing Huge Sparsely Labeled Datasets on Clusters of 

Multicore Processors and Many-Core Accelerators for Healthcare Applications

Many healthcare applications are unavoidably spatio-temporal and generate large amounts 

of data. Expert interaction and measurement costs for these datasets imply that only a very 

small fraction of the data can be labeled such that models or results are presented in a form 

that supports human understanding. In general, the underlying spatial and spatio-temporal 

relationships in these data can be represented as three-dimensional grid or graph 

structures. Traditional machine learning algorithms are not applicable as they tend to be 

sample-based, requiring labelling of a significant fraction of the data. Therefore, a pressing 

need exists for algorithms that can handle very large datasets with only a fraction of data 

labeled. Additionally, data volume and speed of data acquisition requires that such 

algorithms effectively exploit networked multicore, GPU, and parallel computing resources. 

The underlying technology should have broad applicability in spatio-temporal big data 

applications.

The goal of the proposed research is to develop fast, parallel semi-supervised machine 

learning (ML) algorithms that address challenges of very large datasets and applications in 

the domain of healthcare. Such ML algorithms should be effective for datasets having 

millions to billions of data points, with only a few thousands of data points labelled.

Phase I expected results:

Select a representative sparsely labeled healthcare dataset. Develop novel machine learning 

algorithms that can work effectively for sparsely labeled datasets. Demonstrate their 

parallelization capability on hundreds of traditional cores.

Phase II expected results:
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Demonstrate the effectiveness of machine learning algorithms developed in Phase I on real 

world applications in health care domains. Demonstrate scalability of these algorithms on 

large clusters of GPUs and multicore machines. Phase II results should lead to a 

commercialization path for the technology applications in specific domains within 

Healthcare.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may be 

available to work both in consultative and collaborative capacity in assisting the awardee.

Reference:

[1] O. Chapelle et al. Semi-Supervised Learning, MIT Press, 2010.

9.05.04.77 Process Modeling for IoT Health Services

Two central challenges in contemporary health IT are (i) the rising heterogeneity of 

elements interacting in health systems and (ii) the unprecedented level of interconnectivity 

between them [1]. Consequently, it is no longer sufficient to consider medical processes 

(only) at the level of doctor and patient; we must also consider the interactions between 

electronic health records, embedded medical devices and web apps as well as other parties 

like specialists, testing labs and insurance providers. Adding to the problem, these health 

processes occur at multiple scales, and we may wish to analyze them from many different 

perspectives, ranging from psychological to biophysical to probabilistic.

Recent work in mathematics has revealed a powerful new approach to open and 

interconnected systems based on resource-sensitive process representations called string 

diagrams [2]. Developed to facilitate calculations in quantum computing, these allow for a 

formal representation of correlations and entanglement between interacting elements in a 

system. This provides a common context and mathematical structure in which to 

comprehend both the diversity and the interaction implicit in modern health systems.

Moreover, there is a rich semantic theory for string diagrams, allowing us to realize 

different perspectives on these processes. Best of all, these approaches are generic; while 

we want to apply them here for health IT, the same methods are directly relevant to other 

IoT systems including smart manufacturing processes.

The goal of this project is to develop a prototype tool for the representation and modeling 

of IoT processes based on string diagrams, following the work in [3] and [4]. This should 

allow for process representation based on string diagrams as well as semantic modeling of 

the resources and processes there-in. The tool must also allow for the construction of 

structured mappings (i.e., functors) between these diagrams, in order to support multi-scale 
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representations.

The project must also demonstrate the application of this tool in healthcare IT, through one 

or more examples to be developed jointly with NIST.

The results of the Phase I award should include (i) a user interface for constructing string 

diagrams, (ii) a means of connecting components in the diagram with semantic and/or 

computational representations and (iii) a toy example demonstrating such a representation 

and an analysis based on it.

Phase II should result in a polished prototype tool, extending the capabilities above with (i) 

multi-scale analysis based on structured mappings between diagrams, (ii) the capability for 

editing both process and semantic representations and (iii) an automated or guided tool for 

updating analyses after process modification. These capabilities should be validated 

through a use-case which will involve >3 interacting components, two scales of 

representation and analyses from two distinct perspectives.

As appropriate based on the mutual interest of both NIST and the awardee, NIST may be 

available to assist with the design of the tool, including user interaction and underlying data 

structures. NIST may also be available to assist in modeling and construction of use cases.

The work on medical device inter-operability in the division can be used to generate the 

examples for prototype implementations.

References:

[1] S. Jabbar et al. Semantic Interoperability in Heterogeneous IoT Infrastructure for 

Healthcare, Wireless Communications and Mobile Computing, vol. 2017, Article ID 9731806, 

10 pages, doi:10.1155/2017/9731806, 2017.

[2] B. Fong et al. A Categorical Approach to Open and Interconnected Dynamical Systems. 

Proceedings of the 31st Annual ACM/IEEE Symposium on Logic in Computer Science. ACM, 

2016.

[3] S. Reinert et al. Modeling the Internet of Things: A Foundational Approach. Proceedings 

of the Seventh International Workshop on the Web of Things. ACM, 2016.

[4] S. Breiner et al. Categorical Foundations for Systems Engineering". 15th Annual 

Conference on Systems Engineering Research. Redondo Beach, CA. March 23-25,2017.
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9.06 Physical Infrastructure and Resilience

9.06.01.73 Self Configuring Residential Conditioned Air Zoning System for Low Energy Homes

Several years of testing and data analysis at the NIST Net Zero Energy Residential Test 

Facility (NZERTF) have shown that this low energy home has difficulty with temperature 

differences between the upstairs and lower levels of the home. Design airflow rates to 

those rooms have been verified, but the low sensible loads in the home mean that the airconditioning system does not operate enough to keep the air well-mixed. Temperature 

differences of as much as 2 °C to 3 °C are prevalent during the warmest days of summer and 

coolest days of winter. Therefore, the need for more dedicated control of temperature in 

each room is needed. This observation has already been noted in the literature for other 

low energy homes; the conclusions were that zoned systems are a way to ensure comfort in 

all occupied areas (Stecher 2011).

This subtopic proposes the development of an easy-to-install, (hopefully) lower cost, 

performance-verifiable conditioned air zoning system that will be applicable for both new 

homes and retro-fit into existing homes. NIST foresees that the leveraging of Internet of 

Things (IoT) technology such as blue-tooth, zigbee, wifi, etc. can have a huge impact on the 

heating, ventilating, and air-conditioning systems that residential and commercial 

contractors install every day. Current building code homes and low energy homes could 

benefit from multiple temperature and humidity controlled zones. As far as human comfort 

is concerned, the use of a conditioned air zoning system is a very good way of producing 

comfortable conditions for all occupants in the various spaces of the home; in some

instances, the installation of this zoning system can also save energy by directing 

conditioned air to the occupied spaces only.

The product of this SBIR project will be the demonstration of a conditioned air zoning 

system; this zoning system would be designed to deliver the appropriate conditioned air 

flow rates, as calculated from an ACCA Manual J (2016a) cooling and heating load analysis, 

to each area of the NZERTF based upon the measurement of each zone’s temperature and 

humidity. The novel idea behind this project would be the merge of Internet of Things (IoT) 

technology and control of the zoning system’s dampers and measurements. Wireless 

communications protocols would be used to control the zone dampers and communicated 

to the master zone controller that initiates calls for heating or cooling. The master zone 

controller should be designed to work with single-speed, multi-speed, and variable-speed 

equipment. It should be able to operate with heat pumps, air conditioners, hot air furnaces, 

or combinations of furnaces with air-conditioners or heat pumps.
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Ideally the zone control system should have features that speed setup and installation; 

zoning dampers should quickly be recognized by the master zone controller and a suitable 

graphic interface should show the relative location of zone sensors and zone dampers on a 

schematic of the zoning plan for the residence. Plug-and-Play is the ideal for the installer; in 

an ideal embodiment, a typical zone damper would be installed, recognized by the zone 

controller software, automatically displayed on the zoning system schematic, and assigned 

a physical location and zone by the installer. The only hard wiring that would need to occur, 

would be the application of electrical power to the zone dampers and master zone

controller. The master zone controller could also be hard-wired to the control inputs of the 

HVAC system(s).

The zone dampers and any other optional hardware should be able to accommodate 

installations within hard sheet metal round duct and flexible duct. Novel duct fittings for 

takeoffs from the main duct that make the installation very quick and easy are desired. 

Quick installation of zone dampers using novel installation fittings and/or techniques are 

also desired. These installation methods should work for “hard” duct and “flex” duct 

takeoffs from the main supply trunk line. If a particular takeoff or damper installation 

hardware is suitable for only one kind of duct material, hard or flex, then the 

demonstration can proceed with that particular duct material. All installations of zoning 

hardware (takeoffs and dampers) should provide low air pressure drop per design criteria 

of ACCA Manual D and Zr (ACCA 2016b, 2011) and ease of installation (Abushakra et al. 

2002). The ability to add optional equipment such as duct air flow booster fans, smoke 

detectors, temperature/humidity sensors, indoor air quality monitoring sensors, air 

volume flow measurement sensors, or other sensors is desirable as well. All optional 

accessories should be quickly recognized by the master zone controller and displayed to 

the installer automatically in the graphical interface during setup and installation. The 

relative locations of the installed options should be easily placed in appropriate locations 

on the overall zoning system configuration graphical schematic.

The zoning system setup and installation software should have a commissioning mode that 

allows for verification of appropriate air flow rates (CFM) to each zone according to the 

awardee performed room load calculations (ACCA Manual J) and CFM requirements.

This project will also allow a broad sampling of technical experts in the fields of consumer 

electronics, air conditioning, and related fields to offer input toward the development of a 

practical, simplified installation and self-configuring residential HVAC air distribution zoning 

system. This input should produce an effective device design at minimal cost.

Phase I activities and expected results:
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The awardee will create an acceptable design that performs all the necessary functions 

described above. A complete working example of a zone thermostat, zone damper, and 

master zone controller with installer software as described above should be demonstrated 

on the benchtop. Functionality to control the HVAC equipment listed above should also be 

demonstrated. If all functions cannot be directly incorporated, the contractor shall work 

with the NIST technical expert to re-define the criteria to something buildable while 

meeting most of the previously listed requirements.

Phase II activities and expected results:

In Phase II of the SBIR project, the awardee shall construct a prototype of the Phase I zone 

system design. The awardee shall demonstrate their takeoff and zone damper or optional 

accessory installation in hard and flex duct. The duct installation will demonstrate 

installation of takeoffs and zone dampers plus accessories. Installer graphical interface 

software that demonstrates the setup, commissioning, and full installation operation shall 

be provided to NIST. Training to use/install all hardware and software will also be provided 

to NIST for up to six (6) people. Takeoffs will not be installed at the NZERTF, but the zone 

system installation will be performed like a retrofit rather than a new construction 

installation. The zone system will be field deployed in the NZERTF by NIST personnel that 

have been trained by the awardee on the software and hardware necessary to do a zoned 

system installation. During the prototype test, the awardee shall work with the NIST 

technical experts to refine their design, perfect software tools, and refine the design to 

remove any flaws. The awardee shall provide a complete zoning system for at least three

(3) controlled zones at the NZERTF.

As appropriate based on the mutual interest of both NIST and the awardee, NIST technical 

experts may be available for consultations and discussions to answer design questions and 

clarify any other technical aspects within their field of expertise. NIST will provide 

architectural drawings of the existing duct work and structure as required by the zone 

system designers. The awardee will be allowed supervised inspection visits to the NZERTF 

to complete their load calculations, prepare a zoned system design, and/or to answer any 

other design related questions.

References:

[1] B. Abushakra and M. Sherman. A Study of Pressure Losses in Residential AirDistribution 

Systems. Lawrence Berkley National Laboratory, 2002. Available at

http://escholarship.org/uc/item/2db0m8p8.

[2] ACCA Manual D. 2016. ANSI/ACCA Manual D – Residential Duct Systems.
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[3] ACCA Manual J. 2016. ANSI/ACCA Manual J – Residential Load Calculation.

[4] ACCA Manual Zr. 2011. ANSI/ACCA Manual Zr – Residential Zoning.

[5] ASHRAE 120-2017. Method of Testing to Determine Flow Resistance of HVAC Ducts and 

Fittings. ANSI approved. American Society of Heating, Refrigerating, and Air Conditioning 

Engineers. Available at http://www.techstreet.com.

[6] D. Stecher. Final Expert Meeting Report: Simplified Space Conditioning Strategies for 

Energy Efficient Houses. U.S. Dept. of Energy, Building Technologies Program, 2011. 

Available at http://www.osti.gov/bridge.

9.07 Lab to Market

9.07.01.40 NIST Technology Transfer

NIST has numerous technologies that require additional research and innovation to advance 

them to a commercial product. The goal of this SBIR subtopic is for small businesses to 

advance NIST technologies to the marketplace. The Technology Partnerships Office at NIST 

will provide the Awardee with a no-cost research license for the duration of the SBIR

award. When the technology is ready for commercialization, a commercialization license 

will be negotiated with the Awardee. Applications may be submitted for the development 

of any NIST-owned technology that is covered by a pending U.S. non-provisional patent 

application or by an issued U.S. patent.

Small businesses can obtain information about available NIST-owned inventions at 

http://www.nist.gov/tpo. Applicants can also obtain information from the U.S. Patent and 

Trademark Office site (http://www.uspto.gov) and private search engines.

Applicants will need to confirm that the NIST-owned invention is available for licensing by 

searching the invention using the link provided on the websites provided above.

Alternatively, the applicant can confirm the status of availability by submitting a question to 

the NIST SBIR website as directed in Section 1.04. Some NIST-owned inventions are 

described as only available for licensing on a non-exclusive basis, which typically means that 

at least one non-exclusive commercialization license has been granted by NIST. Any such 

NIST-owned inventions are still available for licensing on a non-exclusive basis. Any NISTowned invention that has been exclusively licensed to another party is not available for 

licensing. If the NIST-owned invention has become unavailable for licensing prior to the 

close of this NOFO in the field of use relevant to the subtopic, NIST has the sole discretion to 
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deem such an application as ineligible under the subtopic, as stated in Section 4.02 (Phase I 

Screening Criteria).

A SBIR awardee for this subtopic will be able to obtain from NIST’s Technology Partnership 

Office a research license to use the NIST-owned invention for the award. Awardees 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. Any research license granted for the purpose of this subtopic will be royaltyfree during the award period. More information about licensing NIST inventions is available 

at http://www.nist.gov/Licensing.

The technical portion of an application should cite the NIST patent or patent application, 

and include a description of the research that will be undertaken. Included in this technical 

portion of the application, the applicant should provide a brief description of the proposed 

plan to develop the commercial product or to develop a commercial service using the NIST 

invention. The absence of this development plan will result in the application being less 

competitive.

Phase I expected results:

Develop a feasibility study that examines expectations of the research to produce a 

commercial product or service.

Phase II expected results:

Provide further R&D that leads to demonstrated practical application and advancement 

toward a commercial product or service.

As appropriate based on the mutual interest of both NIST and the awardee, NIST staff may be 

available for consultation and collaboration to the extent that resources are available.
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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 II

2019-NIST-SBIR-02

Cover Sheet

Name of Submitting Firm: Click here to enter text.

Project

Title

Click here to enter text.

Principal 

Investigator

(PI) Name

PI Title Click here to enter text.

PI Phone # Click here to enter text. PI E-mail Click here to enter text.

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(12) 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 Government to disclose contact information if this 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

TECHNICAL ABSTRACT (limit to 200 words):
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Click here to enter text.

POTENTIAL COMMERCIAL APPLICATION OF THE RESEARCH: (limit to 100 words)

Click here to enter text.

OTHER INFORMATION:

Information contained in unsuccessful applications will remain the property of the applicant. The 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 an application 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. This information must be clearly marked by the applicant with the term ‘confidential proprietary information’ and the 

following legend must appear in this section of the application.

PROPRIETARY NOTICE

“These data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part for any 

purpose other than evaluation of this proposal. If a funding agreement is awarded to this applicant as a result of or in connection with the 

submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the funding 

agreement and pursuant to applicable law. This restriction does not limit the Government's right to use information contained in the data 

if it is obtained from another source without restriction. The data subject to this restriction are contained on pages _________________of 

this proposal.”

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: Mary Clague, 100 Bureau Dr., MS 2200, Gaithersburg, MD 

20899. 

OMB Control No. 0693-0072

Expiration Date: 12/31/2020
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Appendix B. 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 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 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 (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) 

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: 

____________________________________________

(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) It 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 

(8) During the performance of the award, the principal investigator will spend more than one 

half of his/her time as an employee of the awardee or has requested and received a written 

deviation from this requirement from the funding agreement officer.

☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: ______ %
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(9) All, essentially equivalent work, or a portion of the work proposed under this project (check 

the applicable line):

☐Has not been submitted for funding by another Federal agency.

☐Has been submitted for funding by another Federal agency but has not been funded under 

any other Federal 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.

(10) During the performance of award, it 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: ______ %

(11) 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

(12) During performance of award, the research/research and development will be performed 

at my facilities with my employees, except as otherwise indicated in the SBIR application and 

approved in the funding agreement.

☐Yes ☐No 

(13) It 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: 

____________________________________________

(14) It 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 NOFO; and (b) on the date of the SBIR award, which is made more than 9 months after 

the closing date of the NOFO, is majority-owned by multiple venture capital operating 

companies, hedge funds, or private equity firms).

☐Yes ☐No 

☐It will notify the Federal agency immediately if all or a portion of the work proposed is 

subsequently funded by another Federal agency.
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☐I understand that the information submitted may be given to Federal, State and local 

agencies for determining violations of law and other purposes.

☐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(h) of the SBIR Policy Directive). 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 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 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 boxes must be checked):

(1) The principal investigator spent more than one half of his/her time 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 by another Federal agency.

☐Has been submitted for funding by another Federal agency but has not been funded under 

any other Federal 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.
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(3) Upon completion of the award it 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 it 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 my facilities with my employees, 

except as otherwise indicated in the SBIR application and approved in the funding agreement.

☐Yes ☐No 

☐It 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.

☐I understand that the information submitted may be given to Federal, State and local 

agencies for determining violations of law and other purposes.

☐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 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 
FY 2019 NIST Small Business Innovation Research Program Phase II

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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 

_____________________________________________________________________________