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FY 2021 NIST Small Business Innovation Research Program Phase I

Notice of Funding Opportunity

January 25, 2021

FY 2021

Small Business Innovation Research 

(SBIR) Program Phase I

Notice of Funding Opportunity (NOFO)

ANNOUNCEMENT

FUNDING OPPORTUNITY NUMBER: 2021-NIST-SBIR-01

Catalog of Federal Domestic Assistance (CFDA) Number: 

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

U.S. DEPARTMENT OF COMMERCE 

National Institute of Standards and Technology

Opening Date of NOFO: January 25, 2021

Closing Date: April 14, 2021

http://www.nist.gov/sbir
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FY 2021 NIST Small Business Innovation Research Program Phase I

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TABLE OF CONTENTS

 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..............................................................................................................11

1.05 Definitions.........................................................................................................................12

1.06 Fraud, Waste and Abuse ................................................................................................................18

1.07 Other Information ..........................................................................................................................20

2.0 CERTIFICATIONS ............................................................................................................................... 21

2.01 Funding Agreement Certification .................................................................................................21

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

Human Subjects Including Software Testing ..................................................................................... 21

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

from Vertebrate Animals...........................................................................................................26

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

Federal Tax Assessments and Delinquent Federal Tax Returns..................................................31

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS......................................31

3.01 Phase I Application Requirements .....................................................................................31

3.02 Phase I Application ............................................................................................................32

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA ..........................................................38
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FY 2021 NIST Small Business Innovation Research Program Phase I

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4.01 Introduction ......................................................................................................................38

4.02 Phase I Screening Criteria ................................................................................................. 38

4.03 Phase I Evaluation Criteria. ...............................................................................................40

4.04 Phase I Award Selections...................................................................................................40

5.0 CONSIDERATIONS................................................................................................................42

5.01 Awards..............................................................................................................................42

5.02 Reporting Requirements....................................................................................................43

5.03 Payment Schedule.............................................................................................................44

5.04 Innovations, Inventions and Patents..................................................................................44

5.05 Cost Sharing ......................................................................................................................53

5.06 Profit or Fee ......................................................................................................................53

5.07 Joint Ventures or Limited Partnerships..............................................................................53

5.08 Research and Analytical Work ...........................................................................................53

5.09 Awardee Commitments.....................................................................................................53

5.10 Summary Statements........................................................................................................54

5.11 Additional Information ......................................................................................................55

5.12 Technical and Business Information (TABA)................................................................................56

5.13 Technical Assistance for Application Preparation and Project Conduct..............................57

6.0 SUBMISSION OF APPLICATIONS...........................................................................................57

6.01 Deadline for Applications...................................................................................................57
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FY 2021 NIST Small Business Innovation Research Program Phase I

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6.02 Address to Request Application Package............................................................................58

6.03 Application Submission......................................................................................................58

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES .........................................................61

8.0 SUBMISSION FORMS AND CERTIFICATIONS .........................................................................61

8.01 Required Forms and Documents........................................................................................61

8.02 Attachment of Required Application Documents ..............................................................68

 8.03 Verifying the Submission and Tracking the Application ............................................................69

8.04 Unique Entity Identifier and System for Award Management (SAM ..................................... 70

9.0 RESEARCH AREAS ..............................................................................................................................70

Appendix A. COVER SHEET........................................................................................................74

Appendix B. CERTIFICATIONS ....................................................................................................76
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FY 2021 NIST Small Business Innovation Research Program Phase I

Notice of Funding Opportunity

January 25, 2021

US DEPARTMENT OF COMMERCE

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

FY 2021 SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM 

PHASE I NOTICE OF FUNDING OPPORTUNITY (NOFO)

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION

1.01 Introduction

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

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

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

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

sufficiently identify and clearly address a specific NIST technical program area that falls 

within one of the research areas described in Section 9.0 (see Section 3.02.02(1)) or a 

NIST- patented technology available for licensing.

Only FY 2021 Phase I applications may be submitted in response to this NOFO. Phase II 

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

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

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

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

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

application.

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

by the Small Business Innovation Development Act (P.L. 97-219), codified at 15 U.S.C. § 638. 

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

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

and extensions, the most recent of which extends the SBIR program through 2022. (P.L.

114-328).

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

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

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

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

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

(1) stimulate technological innovation; (2) use small business to meet Federal R/R&D needs;
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(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 2021 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.

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

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

Order (EO) 13329 (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) Small Business Innovation Research (SBIR) and Small 

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

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

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

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

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

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

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

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

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

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

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

1.02 Three-Phase Program

The SBIR statute (15 U.S.C. § 638) requires the Department of Commerce to establish a 

three-phase SBIR program by reserving a percentage of its extramural R&D budget to be 

awarded to SBCs for innovation research. SBIR policy is provided by the SBA through the 

SBIR/STTR Policy Directive.

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

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

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

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

1.02.01 Phase I - Feasibility Research

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

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

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

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

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

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

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

Assistance (TABA); see Section 5.12 for more information about TABA.

1.02.02 Phase II - Research and Development

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

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

and submission requirements will be published in an NOFO approximately 30 days prior to 

the end of the FY 2021 Phase I performance period to request FY 2022 Phase II applications.

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

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

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

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

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

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

required to report on its commercialization activities.

1.02.03 Phase III - Commercialization

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

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

work is typically oriented towards commercialization of SBIR research or technology and 

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

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

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

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

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

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

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

make any CRPP awards.

1.03 SBIR Applicant Eligibility and Limitations

1.03.01 Applicant Qualifications

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

NOFO, at the time of award. In addition, the primary employment of the principal 

investigator must be with the small business at the time of the award and during the 

conduct of the proposed research. Primary employment means that more than one-half of 

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

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

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

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

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

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

through a Professional Employer Organization or other similar personnel leasing company 

may be considered employees of the awardee.

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

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

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

each exemption and its terms in writing.

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

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

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

considered for award.

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

performed by the awardee. The total cost for all consultant fees, facility leases, usage fees, 
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and other subcontract/subaward or purchase agreements may not exceed one-third of the 

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

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

usage fees, and other subcontract/subaward or purchase agreements may not exceed onehalf of the total award.

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

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

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

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

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

Applicants may not participate in the review of applications.

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

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

(CRADA) with the awardee. NIST will consider the issue of any potential overlap on a caseby-case 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. Each Phase I applicant must register in the Company Registry prior to submitting

an application. The applicant must save its information from the registration in a .pdf

document and append this document to the SF-424 (R&R) form as described in Section 

8.02. of this NOFO. All applicants are required to report and/or update their registration 

information in the SBA Company Registry prior to each SBIR application submission or if any 

information changes prior to an award.

1.03.03 Performance Benchmark Ratings Requirements

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

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

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

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

benchmark rate at the last assessment.

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

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

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

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

purposes of this NOFO, the applicable five fiscal year period is fiscal year 2015 to fiscal year 

2019. On June 1st of each year, the SBA assesses the Performance Benchmark rates for all 

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

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

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

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

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

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

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

or Phase III awards.

The Commercialization Rate is not applicable for FY 2021. When in effect, the 

Commercialization Rate requirement applies to SBIR and STTR Phase I applicants that have 

received more than 15 (16 or more) Phase II awards over the past 10 fiscal years, excluding 

the last two years. These companies must have realized, to date, an average of at least

$100,000 of sales and/or investments per Phase II award (awarded during this period) or 

have received a number of patents resulting from the SBIR work equal to or greater than 

15% of the number of Phase II awards.

SBA sends three notifications each year to companies affected by the 

performance benchmark requirements:

• February 1st – SBA identifies and notifies via email all companies that, on that date, 

have won enough past awards to be subject to the benchmark requirements.

• April 1st – SBA runs a preliminary assessment to determine which companies appear 

to be failing a benchmark given the data in the system on that date. SBA sends a 

Warning Notice to these companies so that they can review the award in the 

Company Registry (SBIR.gov) and update as needed.

• June 1st – SBA identifies companies that fail a benchmark and notifies them that they 

may not be eligible to receive a new Phase I award for a period of one year.

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

eligibility for Phase I awards. When logged in to the Company Registry at 

https://www.sbir.gov/registration, awardees can view their last assessed Transition Rate by 

clicking on the “Performance Benchmark” side-bar. These company-specific rates appear 

under the heading “At Last Assessment.” A thumbs-up/thumbs-down indicator shows 
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whether or not the company passed the benchmark rates at the last assessment. If at any 

time, a company believes the award information on SBIR.gov is not correct, it should notify 

SBA using the dispute link provided. If a company’s dispute of the data used for the rates is 

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

than the threshold number of awards (21 Phase I awards for the Transition Rate) will see 

“N/A” displayed because the requirement did not apply to them.

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

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

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

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

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

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

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

Performance Benchmarks: (General information on the Performance Benchmark 

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

1.04 Contact with NIST

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

appropriate individual:

Subject Area Point of Contact

Programmatic Questions Mary Clague

Phone: (301) 975-4188

E-mail: mary.clague@nist.gov

or

J’aime Maynard 

Phone: (301) 975-8408

E-mail: jmaynard@nist.gov
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FY 2021 NIST Small Business Innovation Research Program Phase I

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Electronic Application Submission 

through Grants.gov

Grants.gov

(800) 518-4726

E-mail: support@grants.gov

Grant Rules and Regulations Dean Iwasaki

Phone: (301) 975-8449

E-mail: dean.iwasaki@nist.gov

Applicants may also contact the NIST Hollings Manufacturing Extension Partnership 

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

obtaining technical assistance from MEP Centers for application preparation can be 

found in Section 5.13 of this NOFO.

1.05 Definitions

(a) General Definitions

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

excerpted from the SBA SBIR/STTR Policy Directive. 

 

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

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

SBIR/STTR Programs.

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

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

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

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

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

or commercial markets.
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Contract, 2 CFR §200.22 - A legal instrument by which a non-Federal entity purchases 

property or services needed to carry out the project or program under a Federal award. 

The term as used in this part does not include a legal instrument, even if the non-Federal 

entity considers it a contract, when the substance of the transaction meets the definition 

of a Federal award or subaward (see §200.92 Subaward).

Cooperative Agreement, 2 CFR §200.24 - A legal instrument of financial assistance between a 

Federal awarding agency or pass-through entity and a non-Federal entity that, consistent 

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

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

value from the Federal awarding agency or pass-through entity to the non-Federal entity to 

carry out a public purpose authorized by a law of the United States (see 31 U.S.C. 6101(3)); 

and not to acquire property or services for the Federal Government or pass-through entity's 

direct benefit or use;

(b) Is distinguished from a grant in that it provides for substantial involvement between the 

Federal awarding agency or pass-through entity and the non-Federal entity in carrying out 

the activity contemplated by the Federal award.

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.

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 study directed toward greater knowledge or understanding of the 

subject studied;

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

innovation to meet a recognized but unmet need; or

(3) a systematic application of knowledge and innovation toward the production of 
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useful materials, devices, and systems or methods, including design, development, 

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

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

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

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

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

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

Subaward, 2 CFR §200.92 - An award provided by a pass-through entity to a subrecipient for 

the subrecipient to carry out part of a Federal award received by the pass-through entity. It 

does not include payments to a contractor or payments to an individual that is a beneficiary 

of a Federal program. A subaward may be provided through any form of legal agreement, 

including an agreement that the pass-through entity considers a contract.

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

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

women, and women control the management and daily business operations.

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

definitions are also included in Section 5.04.02 of this NOFO. 

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

Computer Database - A collection of data recorded in a form capable of being processed by a 

computer. The term does not include Computer Software.

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

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

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

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

would enable the software to be reproduced, recreated, or recompiled. Computer Software 

does not include Computer Databases or Computer Software Documentation. 
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Computer Software Documentation - Owner's manuals, user's manuals, installation 

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

that explain the capabilities of the Computer Software or provide instructions for using the 

software.

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

media on which it may be recorded. The term does not include information incidental 

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

management information. 

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

sufficient to enable physical and functional interchangeability, and data identifying 

source, size, configuration, mating and attachment characteristics, functional 

characteristics, and performance requirements. For Computer Software it means data 

identifying source, functional characteristics, and performance requirements, but 

specifically excludes the source code, algorithms, processes, formulas, and flow charts 

of the software.

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

including cooperative agreements with international or multi-national defense 

organizations or sales or transfers by the United States Government to foreign 

governments or international organizations. Government Purposes include competitive 

procurement, but do not include the rights to use, modify, reproduce, release, perform, 

display, or disclose Technical Data or Computer Software for commercial purposes or 

authorize others to do so. 

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

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

including detailed manufacturing or process data). 

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

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

Software. 

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

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

Federal Government may exercise SBIR/STTR Computer Software Rights within the 

Government for: 
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(i) Use in Federal Government computers; 

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

provided that the Data incorporated into any derivative software are subject to the 

rights in § 3(ee) of the SBIR/STTR Policy Directive and that the derivative software is 

marked as containing SBIR/STTR Data; 

(iii) Archive or backup; or 

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

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

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

Computer Software Rights included in the Funding Agreement is provided to the 

recipient. 

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

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

purposes without the written permission of the Awardee. The Federal Government 

shall not release, disclose, or permit access to SBIR/STTR Data outside the 

Government without the written permission of the Awardee unless: 

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

with the Government that complies with the terms for such agreements 

outlined in § 8 of the SBIR/STTR Policy Directive; and 

(ii) The release or disclosure is—

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

for purposes of supporting Government internal use or activities, including 

evaluation, diagnosis and correction of deficiencies, and adaptation, 

combination, or integration with other Computer Software provided that 

SBIR/STTR Data incorporated into any derivative software are subject to the 

rights in § 3(ee) of the SBIR/STTR Policy Directive; or 

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

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

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

Data, such as for emergency repair and overhaul. 
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SBIR/STTR Data - All Data developed or generated in the performance of an SBIR or 

STTR award, including Technical Data and Computer Software developed or 

generated in the performance of an SBIR or STTR award. The term does not include 

information incidental to contract or grant administration, such as financial, 

administrative, cost or pricing or management information. 

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

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

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

Data other than Computer Software; and SBIR/STTR Computer Software Rights in 

SBIR/STTR Data that is Computer Software. Upon expiration of the protection 

period for SBIR/STTR Data, the Federal Government has a royalty free license to use, 

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

and is relieved of all disclosure prohibitions and assumes no liability for 

unauthorized use of these data by third parties. The Federal Government receives 

Unlimited Rights in Form Fit, and Function Data, OMIT Data, and all unmarked 

SBIR/STTR Data. 

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

Government is obligated to protect SBIR/STTR Data against unauthorized use and 

disclosure in accordance with SBIR/STTR Data Rights. The SBIR/STTR Protection 

Period begins at award of an SBIR/STTR Funding Agreement and ends not less than 

twenty years from that date (See § 8(b)(4) of the SBIR/STTR Policy Directive). 

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

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

type of Data other than Computer Software. 

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

release, or disclose SBIR/STTR Data that are Technical Data within the 

Government; however, the Government shall not use, release, or disclose the 

data for procurement, manufacturing, or commercial purposes; or release or 

disclose the SBIR/STTR Data outside the Government except as permitted by 

paragraph (B) below or by written permission of the Awardee. 

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

Federal Government without any additional written permission of the 

Awardee only if the non-Governmental entity or foreign government has 

entered into a non-disclosure agreement with the Federal Government that 
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complies with the terms for such agreements outlined in § 8 of the SBIR/STTR 

Policy Directive and the release is: 

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

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

entity to a contractors’ data developed exclusively at private expense, nonSBIR/STTR Data, such as for emergency repair and overhaul; 

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

Government support services contract for internal Government use or 

activities, including evaluation, diagnosis or modification, provided that 

SBIR/STTR Technical Data incorporated into any derivative Data are subject to 

the rights in § 3(ii) of the SBIR/STTR Policy Directive, and the release is not for 

commercial purposes or manufacture; 

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

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

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

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

recording, of a scientific or technical nature (including Computer Software 

Documentation and Computer Databases). The term does not include Computer 

Software or financial, administrative, cost or pricing, or management information, or 

other data incidental to contract or grant administration. The term includes recorded 

Data of a scientific or technical nature that is included in Computer Databases. 

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

works, reproduce, release, perform, display, disclose, or distribute Data in whole or in 

part, in any manner and for any purpose whatsoever, and to have or authorize others 

to do so. 

1.06 Fraud, Waste and Abuse

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

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

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

benefit, privilege, allowance, or consideration to which an individual or business is not 
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entitled. Waste includes extravagant, careless, or needless expenditure of Government 

funds, or the consumption of Government property, that results from deficient practices, 

systems, controls, or decisions. Abuse includes any intentional or improper use of 

Government resources, such as misuse of rank, position, or authority or resources. 

Examples of fraud, waste, and abuse relating to the SBIR/STTR Program include, but are 

not limited to:

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

under, an SBIR/STTR award;

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

compliance with program requirements under an SBIR/STTR award;

(iii) misuse or conversion of SBIR/STTR award funds, including any use of award funds while 

not in full compliance with SBIR/STTR Program requirements, or failure to pay taxes due on 

misused or converted SBIR/STTR award funds;

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

from an SBIR/STTR award;

(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 
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https://www.oig.doc.gov/Pages/Hotline.aspx#complainthotline. Contact information for 

the Office of Inspector General is available at: https://www.oig.doc.gov/pages/ContactUs.aspx. Please do not include Personally Identifiable Information (PII) through the website. 

PII is considered to be items containing Social Security numbers, dates of birth, credit card 

and passport numbers, or other personally identifying information that could adversely 

affect an individual. Should you desire to provide this information, it is strongly 

recommended that you contact the Hotline by telephone at the number listed below.

Phone:

Toll Free 800-424-5197

Mail:

Office of Inspector General Hotline

HCHB 7709 

1401 Constitution Avenue, N.W. 

Washington, DC 20230

1.07 Other Information

1.07.01 Personal and Business Information

The applicant acknowledges and understands that information and data contained in 

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

performance and other reports submitted by applicants, may be used by the Department of 

Commerce in conducting reviews and evaluations of its financial assistance programs. For 

this purpose, applicant information and data may be accessed, reviewed and evaluated by 

Department of Commerce 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.
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In addition, Department of Commerce regulations implementing the Freedom of 

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

These regulations set forth rules for the Department regarding making requested materials, 

information, and records publicly available under the FOIA. Applications submitted in 

response to this Notice of Funding Opportunity may be subject to requests for release 

under the Act. In the event that an application contains information or data that the 

applicant deems to be confidential commercial information that should be exempt from 

disclosure under FOIA, that information should be identified, bracketed, and marked as 

Privileged, Confidential, Commercial or Financial Information. In accordance with 15 CFR § 

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

information contained in financial assistance applications and other documentation 

provided by applicants to the extent permitted by law.

2.0 CERTIFICATIONS

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

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

Research: A systematic investigation, including research development, testing and 

evaluation, designed to develop or contribute to generalizable knowledge. Activities which 

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

conducted or supported under a program which is considered research for other purposes. 

For example, some demonstration and service programs may include research activities.

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

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

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

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

information or identifiable biospecimens. 

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

biospecimens are gathered and manipulations of the subject or the subject's 

environment that are performed for research purposes. 

(2) Interaction includes communication or interpersonal contact between investigator 

and subject. 

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

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

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

individual and that the individual can reasonably expect will not be made public 

(for example, a medical record). Private information must be individually 

identifiable (i.e., the identity of the subject is or may readily be ascertained by the 

investigator associated with the information) in order for obtaining the information 

to constitute research involving human subjects. 

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

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

biospecimen.

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

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

awarded] funding, organizations that have an Institutional Review Board (IRB) are 
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required to follow the procedures of their organization for approval of exempt and 

non-exempt research activities that involve human subjects. Both domestic and 

foreign organizations performing exempt research requiring limited IRB review or 

non-exempt research activities involving human subjects will be required to have 

protocols approved by a cognizant, active IRB currently registered with the Office 

for Human Research Protections (OHRP) within the DHHS that is linked to the 

engaged organizations. All engaged organizations must possess a currently valid 

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

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

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

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

foreign organizations for NIST supported research involving human subjects. NIST 

will not issue its own FWAs or IRB Registrations for domestic or foreign 

organizations. 

2) Administrative Review. The NIST Research Protections Office (RPO) 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 RPO) under 15 

C.F.R. § 27.112 (Review by Institution). If the NIST RPO 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 RPO. Please note that the NIST IRB is 

unable to serve as the IRB for financial assistance recipients.

3) Required documents for proposal review. All applications involving human subjects 

1 Conducting an “administrative review” means that the NIST RPO will review and verify the performing institution’s determination for research not 

involving human subjects or exempt human subjects research. In addition, for exempt research requiring limited IRB review and non-exempt 

human subjects research, the NIST RPO will review and confirm that the research and performing institution(s) are in compliance with 15 C.F.R. 

Part 27, which means RPO 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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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.

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 that do not meet the criteria for requiring a limited IRB review, 
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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)):

(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 de-identification 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, the proposed performer of 

the activity must have a relationship with 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 
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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 copy of each applicable final IRB-approved protocol.

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

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

approval of the research activities, and any IRB-required interim reporting or 

continuing review requirements.

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

of special clearances (i.e., biohazard, HIPAA, etc.) conflict-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-of-funding letter indicating that no other federal funds will be used to 

support the tasks proposed under the proposed research or ongoing project.

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

draft of the proposed protocol.

(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 Research Protections Office (e-mail: anne.andrews@nist.gov; phone:

(301) 975-5445).

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

Lines/Tissues From Vertebrate Animals
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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 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 

2 Conducting an “administrative review” means that the NIST RPO 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. RPO 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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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.

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.). Custom samples includes samples from animal material suppliers, 

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

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

vertebrate animal. 

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 
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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:

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

AAALAC.]

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

approved).

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

research involving vertebrate animals.

5. If any assurances 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 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).
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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 

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 I Application Requirements

Only FY 2021 Phase I applications may be submitted in response to this NOFO. Phase II 

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

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

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

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

applications. To reiterate, only the previous year’s Phase I awardees are eligible to submit 

a Phase II application.

The application must provide sufficient information to demonstrate that the proposed 

work represents a sound approach to the investigation of an important scientific or 

engineering innovation worthy of support. The application must sufficiently identify and 

address a specific NIST technical program area that falls within one of the research areas 

described in Section 9.0 or a NIST-patented technology available for licensing. The 

research must be directed towards development of a commercial product or service in 

the NIST program area. The application must be self-contained and written with all the 

care and thoroughness of a scientific paper submitted for publication. It should indicate a 

thorough knowledge of the current status of research area addressed by the application. 

Each application should be checked carefully by the applicant to ensure inclusion of all 

essential material needed for a complete evaluation (see Sections 4.02 and 8.01).

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

commercial product, process, or service that benefits the public.

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

the application has insufficient scientific and technical information, fails to comply with 
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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.

• 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 I Application

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

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

applications -- applications are limited to one proposal per SBC.

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

pages. The only exception to the 15-page limit is for applicants covered by the provision for 

Prior SBIR Phase II Awards (Section 3.02.02 (15)). Additional pages beyond the 15-page 

limit will not be considered in the evaluation process. Pages should be of standard size (8 

1/2” x 11”; 21.6 cm x 27.9 cm) with margins of 2.5 cm and type at least 10-point font. All 

units of measurement should be presented in metric units.

The Technical Proposal portion of the application requires the following:

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

(b) Technical Content (3.02.02) pages 3 through 15.
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The listing of all forms and documents needed to complete the application is given in 

Section 8.01 of this NOFO. The additional required forms and documents in Section 8.01 

are not included in the 15-page count.

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

3.02.01 Cover Sheet

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

Proposal. The Cover Sheet is counted as pages 1 and 2 of the Technical Proposal.

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

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

contacted by your local MEP Center to explore a wide range of services and initiatives to 

help identify potential opportunities to accelerate and strengthen growth and 

competitiveness in the global marketplace for small and medium-sized manufacturers, 

including business-related support services that could potentially benefit the applicant’s 

proposed project.

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

200 words) and summary of potential commercial application of the research results 

(limited to 100 words). Each applicant’s abstract and summary of potential commercial 

applications will be provided to the SBA and should not contain proprietary information.

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

published on the NIST SBIR website (www.nist.gov/tpo/small-business-innovation-researchprogram) and www.sbir.gov.

3.02.02 Technical Content

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

shown:

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

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

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

utilizes a NIST-patented technology available for licensing.

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

technical program area must cite a current webpage (provide the full URL) available on 
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the external NIST website (http://www.nist.gov). Simply providing a research area from 

Section 9.0 is not sufficient. Applicants may not cite webpages describing NIST 

extramural activities or pages related to the NIST budget or appropriations. The NIST 

extramural programs are: the Manufacturing Extension Program; the Baldridge 

Performance Excellence Program; the Office of Advanced Manufacturing, AMTech; and 

Manufacturing USA. 

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

the proposals must align with a NIST program area, the end product does not need to 

mimic closely any particular NIST project found within a NIST program area. For 

example, the NIST Material Measurement Laboratory has an active technical program 

area for creating methods for determining fatigue and fracture of structural materials. A 

specific project in that program area could be developing methods for determining the 

effect of hydrogen embrittlement on the fatigue properties of steel. A proposal that

aligns with the program area of (determining) fatigue and fracture of structural 

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

listed within that program area.

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

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

the Federal Laboratory Consortium (https://www.federallabs.org/labs/nationalinstitute-of-standards-and-technology-nist-0) or cite a U.S. patent number, patent 

application number, or patent serial number for a NIST-owned patent. If information is 

needed regarding the availability of a particular NIST-owned patent for licensing, please 

contact Mary Clague (mary.clague@nist.gov) and include the patent identifying number 

in the communication, before submitting an application.

(2) Identification and Significance of the Problem or Opportunity. Make a clearstatement 

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

potential, and why the research is important.

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

the technical questions it will try to answer, to determine the feasibility of the proposed 

approach.

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

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

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

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

including any conducted by the principal investigator or by the proposing SBC. Describe how 

it relates to the proposed effort and describe any planned coordination with outside 

sources. The applicant must persuade evaluators of his or her awareness of key, recent 

R/R&D conducted by others in the specific topic area.

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

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

extensive, summaries that focus on the most relevant experience and publications are 

desired and may be necessary to meet application size limitations.

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

providing a foundation for the Phase II R/R&D effort. Also state the anticipated commercial 

results of the proposed approach.

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

instrumentation and physical facilities proposed for Phase I should beprovided.

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

third-party research assistance would materially benefit the proposed effort and that 

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

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

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

strengthens the conduct of the research. Outside involvement is not a requirement of this 

program and is limited to no more than one-third of the research and/or analytical effort in 

Phase I. The total cost for all consultant fees, facility leases, usage fees, and other 

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

award.

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

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

available to the public.

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

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

Technical Proposal and do not count against the page limit. See Section 8.01.16.
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(10) Potential Commercial Application. A primary program goal is to provide opportunities 

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

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

commercial potential of the proposed research, how commercialization would be pursued 

and potentially used by the private sector and/or the Federal Government. Include any 

optional letters of support and relevant supporting material such as references to journal 

articles, literature, or government publications. Provide any indicators of commercial 

potential and address the following:

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

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

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

proposition and competitive advantage of the product or service enabled by the proposed 

innovation. Also include the critical milestones and pathway for commercial deployment of 

the proposed product orservice.

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

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

including any Phase II funding commitments from private sector or non-SBIR funding 

sources and/or the existence of Phase III follow-on commitments for the subject research.

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

service.

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

any additional indicators of the commercial potential of the idea.

(11) Cooperative Research and Development Agreements (CRADA). State if the applicant is 

a former or current CRADA partner with NIST, or with any other Federal agency, naming the 

agency, title of the CRADA, and any relationship with the proposed work. The statement of 

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

work of an existing CRADA with any federal agency, including NIST, with the awardee. NIST 

will consider whether there is any overlap on a case by case basis.

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

of its consultants, contractors, or subrecipients or their employees is a domestic or 

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

laboratory.

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

process for Phase I applications.

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

applications or applications containing a significant amount of essentially equivalent work 

for consideration under numerous Federal program funding announcements, it is unlawful 

to enter into a funding agreement requiring essentially equivalent work to an SBIR award 

(see 15 U.S.C. § 638(bb)(3)). If there is any question concerning this, it must be disclosed to 

the soliciting agency or agencies before award.

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

application that has been funded, is now being funded, or is pending with another Federal 

Agency, the applicant must provide the following information:

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

an award was received.

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

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

received.

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

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

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

submitted or award received.

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

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

application.

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

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

name of the awarding agency; date of award; funding agreement number; amount of 
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award; topic, subtopic, or research area title; follow-on agreement amount; source and 

date of commitment; and current commercialization status for each Phase II award. This 

required information will not be counted toward the 15-page Technical Proposal limitation.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.01 Introduction

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

initially screened to determine eligibility, completeness, and responsiveness to this NOFO 

(see Sections 4.02 and 8.01). Applications passing the initial screening will be evaluated in 

accordance with the evaluation criteria (see Section 4.03). Each application will be judged 

on its own merit.

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

a given topic. NIST may elect to fund several or none of the applications for the same 

research area. If an application is submitted that requires a license to use a NIST-owned 

invention covered by a patent or patent application and such NIST-owned invention has 

become unavailable for licensing prior to the close of this NOFO in the field of use relevant 

to the application, NIST has the sole discretion to deem the application ineligible.

4.02 Phase I Screening Criteria

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

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

clearly satisfy all nine (9) of the screening criteria will be eliminated from the review and 

selection process and not receive further consideration. However, NIST, in its sole 

discretion, may continue the review process for an application that is missing minor nonsubstantive information, the absence of which may easily be rectified.

The screening criteria are:

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

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

1.03.
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(3) The Phase I application must include all required forms and documents listed in Section 

8.01:

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

ii) Research and Related Budget (Total Fed + Non-Fed)

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

iv) CD-511, Certification Regarding Lobbying

v) Research and Related Other Project Information

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

vii) Technical Content – see Section 3.02

a. Cover Sheet – see Section 3.02.01

b. Technical Proposal – see Section 3.02.02

viii) Budget Narrative and Justification – see Section 8.01.8

ix) Indirect Cost Rate Agreement – see Section 8.01.9

x) SBA Company Registry Form – see Section 8.01.10

xi) Data Management Plan -see Section 8.01.11

xii) Subaward Budget Form - see Section 8.01.12

xiii) Research and Related Personal Data – see Section 8.01.13

xiv) Current and Pending Support Form – see Section 8.01.14

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

Certificate of Training Completion – see Section 8.01.15

xvi) Letters of Commitment – see Section 8.01.16

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

(5) The Technical Proposal must include an appropriate URL – see Section 3.02.02 (1).

The Phase I application must be submitted only under one of the research areas in Section 

9.0 and must clearly address NIST research priorities as shown by identification of a NIST 

or Federal Laboratory Consortium (FLC) website, or cite a U.S. patent number, patent 

application number, or patent serial number for a NIST-owned patent.

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

additional $6,500 may be requested for TABA. For Phase I, a minimum of two-thirds of the 

research and/or analytical effort must be performed by the awardee. The total cost for all 

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

agreements may not exceed one-third of the total award (Section 1.03).

(7) The feasibility research duration for the Phase I project must not exceed 6 months.
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(8) 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.

(9) The Phase I application must include a commercialization plan. (Section 3.02.02.(10))

4.03 Phase I Evaluation Criteria

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

scored merit review process.

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

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

following weighted criteria for a maximum of 100 points. Reviewers may 

discuss the applications with each other, but scores will be determined on an 

individual basis. The reviewers will evaluate:

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

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

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

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

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

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

proposed research. (5 points)

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

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

commercialization plan. (30 points)

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

service. (25 points)

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

NIST technical program and the NIST mission. (20 points)

4.04 Phase I Award Selections
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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 NIST program areas;

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

efficiency research;

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

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

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

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

(7) Availability of funding.

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 and may 

negotiate the scope and amount of the award. The final approval of selected applications 

and issuance of awards will be by the NIST Grants Officer. The award decisions of the NIST 

Grants Officer are final.

4.04.01 Federal Awarding Agency Review of Risk Posed by Applicants

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

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

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

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

applicant’s ability to effectively implement statutory, regulatory, or other requirements 

imposed on non-Federal entities. 

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

to be completed by June 2021. The earliest start date for awards under this NOFO is expected 

to be June 2021.

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

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

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

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

comment on information about itself previously entered into FAPIIS by a Federal awarding 

agency. As part of its review of risk posed by applicants, NIST GMD will consider any 

comments made by the applicant in FAPIIS in making its determination about the applicant’s 
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integrity, business ethics, and record of performance under Federal awards. Upon completion 

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

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

appropriate specific conditions that correspond to the degree of risk posed by the applicant 

should be applied to an award.

4.04.02 Release of Proposal Review Information

After final award decisions have been announced, the merit evaluations of applications that 

passed the screening criteria will be provided to the applicant with written notification of 

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

5.0 CONSIDERATIONS

5.01 Awards

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

Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

Awards at 2 C.F.R. Part 200, which apply to awards in this program. 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 November 12, 2020, is accessible at 

Department of Commerce Financial Assistance Standard Terms and Conditions.

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 twelve (12) Phase I awards with a project budget of no more than

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

total performance period shall be no more than seven (7) months beginning on the 

agreement start date. A period of one (1) month is allotted after the six (6) month R&D 

duration for the awardee to prepare and submit a final report. The funding vehicles for 

NIST’s SBIR program in both Phase I and Phase II are cooperative agreements.

Phase II awards shall be for no more than $400,000. The R&D activity period of performance 
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in Phase II will depend upon the scope of the research, but should not exceed 24 months.

One year after completing the R&D activity, the awardee shall be required to report on its 

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

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

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

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

months after the completion of Phase I, contingent upon availability of funds.

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

preparation costs. This NOFO does not obligate NIST or the Department of Commerce to 

make any awards under either Phase I or Phase II. Furthermore, NIST will not fund any costs 

incurred by the applicants before awards are made. Publication of this NOFO does not 

oblige NIST or the Department of Commerce to award any specific project or to obligate any 

available funds.

5.02 Reporting Requirements

Phase I awardees will be required to submit a Research Performance Progress Report

(RPPR), covering the award’s first three months, prior to the end of the fourth month of 

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

Publication citation information as well as links to publicly available data or revised Data 

Management Plans (DMP) shall be submitted as soon as they become available.

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

technical details regarding the research conducted up to that point in the project, detailed 

plans for the next stages of the project, results obtained, estimates of technical feasibility, a 

description of TABA services provided, and the benefits and results of TABA services 

provided for those awardees who requested and were approved for TABA services. 

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

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

information within the RPPRs may be necessary in order to effectively communicate 

progress and gain appropriate consultation from NIST experts regarding next steps. All such 

proprietary information must be marked by the awardee according to instructions provided 

in Section 5.04.01.

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

objectives, NIST may periodically request information from small businesses about progress 

taken towards commercialization of the technology after the completion of Phase I and II 
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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 should advances exceed the amount of cash required for a 30-day period.

5.04 Innovations, Inventions and Patents

5.04.01 Proprietary Information Contained in Proposals

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

Unsuccessful applications will be retained in accordance with the General Record Schedule 

1.2/021. The Federal Government may, however, retain copies of all applications. Public 

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

regulatory requirements. Applicants are discouraged from submitting proprietary 

information unless the information is deemed essential for proper evaluation of the 

application. If proprietary information provided by an applicant in a proposal, which 

constitutes a trade secret, proprietary commercial or financial information, confidential 

personal information, or data affecting national security, it will be treated in confidence to 

the extent permitted by law, provided that the proposal is clearly marked by the applicant as 

follows:

(A) The following legend must appear on the title page of the proposal:

This proposal contains information that shall not be disclosed outside the Federal 

Government and shall not be duplicated, used, or disclosed in whole or in part for any 
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purpose other than evaluation of this proposal, unless authorized by law. The Government 

shall have the right to duplicate, use, or disclose the data to the extent provided in the 

resulting award if award is made as a result of the submission of this proposal. The 

information subject to these restrictions are contained on all pages of the proposal except 

for pages [insert page number or other identification of pages that contain no restricted 

information.]

(End of Legend); and

(B) The following legend must appear on each page of the proposal that contains information 

the applicant wishes to protect:

Use or disclosure of information contained on this sheet is subject to the restriction on the 

title page of this proposal.

The use of any other legend is unacceptable to the Government and may constitute grounds 

for removing the application from further consideration without assuming any liability for 

inadvertent disclosure.

5.04.02 Rights in Data Developed Under SBIR Funding Agreements

In lieu of the Department of Commerce Financial Assistance Standard Terms and 

Conditions, Section C.03, Intellectual Property Rights, the following terms and conditions 

will apply to and be included in all SBIR awards issued under this NOFO:

(a) Definitions. All definitions below are excerpted from the SBA SBIR/STTR Policy 

Directive.

 

(1) Computer Database. A collection of data recorded in a form capable of being processed 

by a computer. The term does not include Computer Software.

(2) Computer Programs. A set of instructions, rules, or routines recorded in a form that is

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

(3) Computer Software. Computer programs, source code, source code listings, object code 

listings, design details, algorithms, processes, flow charts, formulae, and related material 

that would enable the software to be reproduced, recreated, or recompiled. Computer 

Software does not include Computer Databases or Computer Software Documentation. 
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(4) Computer Software Documentation. Owner's manuals, user's manuals, installation

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

that explain the capabilities of the Computer Software or provide instructions for using the 

software.

(5) Data. All recorded information, regardless of the form or method of recording or the 

media on which it may be recorded. The term does not include information incidental 

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

management information. 

(6) Form, Fit, and Function Data. Data relating to items, components, or processes that 

are sufficient to enable physical and functional interchangeability, and data identifying 

source, size, configuration, mating and attachment characteristics, functional 

characteristics, and performance requirements. For Computer Software it means data 

identifying source, functional characteristics, and performance requirements, but 

specifically excludes the source code, algorithms, processes, formulas, and flow charts 

of the software.

(7) Government Purpose. Any activity in which the United States Government is a party, 

including cooperative agreements with international or multi-national defense 

organizations or sales or transfers by the United States Government to foreign 

governments or international organizations. Government Purposes include competitive 

procurement, but do not include the rights to use, modify, reproduce, release, perform, 

display, or disclose Technical Data or Computer Software for commercial purposes or 

authorize others to do so. 

(8) Operations, Maintenance, Installation, or Training Purposes (OMIT) Data. Data that 

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

including detailed manufacturing or process data). 

(9) SBIR/STTR Computer Software Rights. The Federal Government’s rights during the 

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

Software. 

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

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

Federal Government may exercise SBIR/STTR Computer Software Rights within the 

Government for: 
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(i) Use in Federal Government computers; 

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

provided that the Data incorporated into any derivative software are subject to the 

rights in § 3(ee) of the SBIR/STTR Policy Directive and that the derivative software is 

marked as containing SBIR/STTR Data; 

(iii) Archive or backup; or 

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

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

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

Computer Software Rights included in the Funding Agreement is provided to the 

recipient. 

(2) The Federal Government shall not release, disclose, or permit access to 

SBIR/STTR Data that is Computer Software for commercial, manufacturing, or 

procurement purposes without the written permission of the Awardee. The Federal 

Government shall not release, disclose, or permit access to SBIR/STTR Data outside 

the Government without the written permission of the Awardee unless: 

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

with the Government that complies with the terms for such agreements 

outlined in § 8 of the SBIR/STTR Policy Directive; and 

(ii) The release or disclosure is—

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

for purposes of supporting Government internal use or activities, including 

evaluation, diagnosis and correction of deficiencies, and adaptation, 

combination, or integration with other Computer Software provided that 

SBIR/STTR Data incorporated into any derivative software are subject to the 

rights in § 3(ee) of the SBIR/STTR Policy Directive; or 

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

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

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

Data, such as for emergency repair and overhaul. 
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(10) SBIR/STTR Data. All Data developed or generated in the performance of an SBIR 

or STTR award, including Technical Data and Computer Software developed or 

generated in the performance of an SBIR or STTR award. The term does not include 

information incidental to contract or grant administration, such as financial, 

administrative, cost or pricing or management information. 

(11) SBIR/STTR Data Rights. The Federal Government’s license rights in properly 

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

SBIR/STTR Technical Data Rights in SBIR/STTR Data that are Technical Data or any 

other type of Data other than Computer Software; and SBIR/STTR Computer 

Software Rights in SBIR/STTR Data that is Computer Software. Upon expiration of 

the protection period for SBIR/STTR Data, the Federal Government has a royalty 

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

Government Purposes, and is relieved of all disclosure prohibitions and assumes no 

liability for unauthorized use of these data by third parties. The Federal Government 

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

unmarked SBIR/STTR Data. 

(12) SBIR/STTR Protection Period. The period of time during which the Federal 

Government is obligated to protect SBIR/STTR Data against unauthorized use and 

disclosure in accordance with SBIR/STTR Data Rights. The SBIR/STTR Protection 

Period begins at award of an SBIR/STTR Funding Agreement and ends not less than 

twenty years from that date (See § 8(b)(4) of the SBIR/STTR Policy Directive). 

(13) SBIR/STTR Technical Data Rights. The Federal Government’s rights during the 

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

type of Data other than Computer Software. 

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

release, or disclose SBIR/STTR Data that are Technical Data within the 

Government; however, the Government shall not use, release, or disclose the 

data for procurement, manufacturing, or commercial purposes; or release or 

disclose the SBIR/STTR Data outside the Government except as permitted by 

paragraph (B) below or by written permission of the Awardee. 

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

Federal Government without any additional written permission of the 

Awardee only if the non-Governmental entity or foreign government has 

entered into a non-disclosure agreement with the Federal Government that 
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complies with the terms for such agreements outlined in § 8 of the SBIR/STTR 

Policy Directive and the release is: 

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

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

entity to a contractors’ data developed exclusively at private expense, nonSBIR/STTR Data, such as for emergency repair and overhaul; 

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

Government support services contract for internal Government use or 

activities, including evaluation, diagnosis or modification, provided that 

SBIR/STTR Technical Data incorporated into any derivative Data are subject to 

the rights in § 3(ii) of the SBIR/STTR Policy Directive, and the release is not for 

commercial purposes or manufacture; 

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

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

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

(14) Technical Data. Recorded information, regardless of the form or method of the 

recording, of a scientific or technical nature (including Computer Software 

Documentation and Computer Databases). The term does not include Computer 

Software or financial, administrative, cost or pricing, or management information, or 

other data incidental to contract or grant administration. The term includes recorded 

Data of a scientific or technical nature that is included in Computer Databases. 

(15) Unlimited Rights. The Government’s rights to access, use, modify, prepare 

derivative works, reproduce, release, perform, display, disclose, or distribute Data in 

whole or in part, in any manner and for any purpose whatsoever, and to have or 

authorize others to do so. 

 (b) Allocation of SBIR/STTR Data Rights. 

(1) An SBC retains ownership of all SBIR/STTR Data it develops or generates in the 

performance of an SBIR/STTR award. The SBC retains all rights in SBIR/STTR Data that 

are not granted to the Federal Government in accordance with the SBIR/STTR Policy 

Directive. These rights of the SBC do not expire. 
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(2) During the SBIR/STTR Protection Period, the Federal Government receives 

SBIR/STTR Technical Data Rights in appropriately marked SBIR/STTR Data that is 

Technical Data or any other type of Data other than Computer Software; and 

SBIR/STTR Computer Software Rights in appropriately marked SBIR/STTR Data that is 

Computer Software.

(3) After the protection period, the Federal Government may use, and authorize 

others to use on its behalf, for Government Purposes, SBIR/STTR Data that was 

protected during the SBIR/STTR Protection Period. Awards issued by the U.S. 

Department of Energy are subject to Unlimited Rights after the expiration of the 

SBIR/STTR Protection Period. 

(4) The Federal Government receives Unlimited Rights in Form Fit, and Function Data, 

OMIT Data, and all unmarked SBIR/STTR Data.

(c) Identification and Delivery of SBIR/STTR Data. Any SBIR/STTR Data delivered by the 

Awardee, and in which the Awardee intends to limit the Federal Government’s rights to 

SBIR/STTR Data Rights, must be delivered with restrictive markings. The Federal 

Government assumes no liability for the access, use, modification, reproduction, release, 

performance, display, disclosure, or distribution of SBIR/STTR Data without markings. 

The Awardee or its subcontractors or suppliers shall conspicuously and legibly mark all 

such SBIR/STTR Data with the appropriate legend. 

(1) The authorized legend shall be placed on each page of the SBIR/STTR Data. If only 

portions of a page are subject to the asserted restrictions, the SBIR/STTR Awardee 

shall identify the restricted portions (e.g., by circling or underscoring with a note or 

other appropriate identifier). With respect to SBIR/STTR Data embodied in Computer 

Software, the legend shall be placed on: (1) the printed material or media containing 

the Computer Software; or (2) the transmittal document or storage container. The 

legend shall read as follows: 
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“SBIR/STTR DATA RIGHTS

Funding Agreement No.

Award Date

SBIR/STTR Protection Period

SBIR/STTR Awardee

SBIR/STTR Awardee Address

This is SBIR/STTR Data (or is Computer Software or a Prototype that embodies or 

includes SBIR/STTR Data) to which the SBIR/STTR Awardee has SBIR/STTR Data Rights 

and to which the Federal Government has received SBIR/STTR Technical Data Rights 

(or SBIR/STTR Computer Software Rights) during the SBIR/STTR Protection Period and 

rights of use for Government Purposes after the SBIR/STTR Protection Period, as 

those terms are defined in the SBIR/STTR Funding Agreement. Awards issued by the 

U.S. Department of Energy are subject to Unlimited Rights after the SBIR/STTR 

Protection Period, as that term is defined in the SBIR/STTR Funding Agreement. Any 

reproduction of SBIR/STTR Data or portions of such data marked with this legend 

must also reproduce the markings.” 

(End of Legend)

(2) Data submitted without correct or appropriate markings may be corrected within 

6 months from the date the data is delivered. 

(d) Relation to patents. Nothing regarding SBIR/STTR Data Rights in this clause shall imply 

a license to or imply a requirement to license to the Federal Government any patent to a 

Subject Invention (as defined under the Bayh-Dole Act implemented at 37 CFR 401) made 

under an SBIR/STTR award.

(e) Copyright.

(1) Data first produced in the performance of this award.

(i) Except as otherwise specifically provided in this award, the Awardee may assert 

copyright subsisting in any data first produced in the performance of this award.

(ii) When asserting copyright, the Awardee shall affix the applicable copyright notice 

of 17 U.S.C. § 401 or § 402 and an acknowledgment of Government sponsorship 

(including award number).

(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 
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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.

(End of Clause)

5.04.03 NIST-Owned Inventions

Awardees will not have any automatic rights to make, use or sell products or services 

incorporating NIST-owned inventions. For any SBIR award that requires a license to use a 

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

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

5.04.04 Patent Rights

Normally, SBCs may retain worldwide patent rights to any invention developed with 

Federal support. The specific requirements governing the development, reporting, and 

disposition of rights to inventions and patents resulting from Federal awards are described 

in more detail in 37 C.F.R. Part 401, which implements 35 U.S.C. § 202 through 204 and 
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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

Joint ventures and limited partnerships are eligible provided the entity created qualifies as an

SBC as defined in this NOFO. 

5.08 Research and Analytical Work

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

1.03, must be performed by the proposing SBC. The total cost for all consultant fees, facility 

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

exceed one-third of the total award. For Phase II, a minimum of one-half of the research 

and/or analytical effort, per Section 1.03, must be performed by the applicant. The total 

cost for all consultant fees, facility leases, usage fees, and other subcontract/subaward or 

purchase agreements may not exceed one-half of the total award.

5.09 Awardee Commitments

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

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

funding agreement. Awards also will be governed by the Department of Commerce 
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Financial Assistance Standard Terms and Conditions (November 12, 2020 or successor 

version); the Uniform Administrative Requirements, Cost Principles, and Audit 

Requirements for Federal Awards at 2 C.F.R. Part 200, adopted by the Commerce 

Department through 2 C.F.R. § 1327.101; when applicable, 48 C.F.R. Subpart 31.2, Contracts 

with Commercial Organizations; and the Department of Commerce Pre-Award Notification 

Requirements for Grants and Cooperative Agreements, 79 FR 78390 (December 30, 2014).

Section 5.10 describes the types of terms and conditions to which the awardee would 

commit. This list is not a complete list of terms and conditions to be included in Phase I and 

Phase II funding agreements and is not the specific wording of such terms and conditions.

5.10 Summary Statements

The following statements apply to Phase I and Phase II awards and are examples of some of 

the topic areas that will be addressed in the award terms and conditions.

(1) Access to Records. Government officials have the right of timely and unrestrictedaccess 

to records of awardees, including access to personnel for discussion related to the records. 

See 2 C.F.R. § 200.337.

(2) Termination. Awards may be terminated (a) by the NIST Grants Officer, if an awardee 

materially fails to comply with the terms and conditions of an award, 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. §§ 200.339-343

(3) Non-Discrimination. The awardee will be required to comply with statutory and other 

non-discrimination requirements. No person in the United States shall, on the ground of 

race, color, national origin, handicap, age, religion, or sex, be excluded from participation 

in, be denied the benefits of, or be subject to discrimination under any program or activity 

receiving Federal financial assistance. See Section G.02 of the Department of Commerce 

Financial Assistance Standard Terms and Conditions (November 12, 2020).

(4) Audit Requirements. Government officials may conduct an audit of an award at any 

time. Unless otherwise specified in the award, for-profit organizations that expend
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$750,000 or more in Department of Commerce funds during their fiscal year must have an 

audit conducted for that year in accordance with Section D.01.c of the Department of 

Commerce Financial Assistance Standard Terms and Conditions (November 12, 2020).

(5) Codes of Conduct. Codes of Conduct. 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 (November 12, 2020).

(6) Officials Not To Benefit. No Federal Government official may benefit personally, to 

include financial and/or profession gain, from the SBIR/STTR Funding Agreement.

(7) Duplication of Effort. The funding agreement shall not support the duplication of other 

federally-funded research.

(8) Scheduling and Use of Federal Agency Facilities and Equipment. The Awardee must 

schedule, reserve, and complete usage within the period of performance of the Funding 

Agreement.

5.11 Additional Information

This NOFO reflects current planning. If there is any inconsistency between the information 

contained herein and the terms of any resulting SBIR funding agreement, the terms of the 

funding agreement are controlling. 

Before award of a SBIR funding agreement, the Government may request the applicant to 

submit certain organizational, management, personnel, and financial information to assure 

responsibility of the applicant.

The Government is not responsible for any funds expended by the applicant before award 

of any 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. 
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Unsolicited applications will not be accepted under the SBIR Program in either Phase I or 

Phase II.

If an award is made pursuant to an application submitted under this SBIR Program NOFO, a 

representative of the awardee will be required to certify that the concern has not previously 

been, nor is currently being, paid for essentially equivalent work by any Federal agency.

The responsibility for the performance of the principal investigator, and other 

employees or consultants who carry out the proposed work, including those of 

subrecipients or contractors, lies with the management of the organization receiving an 

award.

Safety is a top priority at NIST. Employees and affiliates of award recipients who conduct 

project work at NIST will be expected to be safety-conscious, to attend NIST safety training, 

and to comply with all NIST safety policies and procedures, and with all applicable terms of 

their guest research agreement.

5.12 Technical and Business Assistance (TABA)

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

provide funding for Technical and Business Assistance (TABA) to Phase I and Phase II 

awardees as authorized by 15 U.S.C. § 638(q). The NIST TABA program assists in 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. Allowable services include assistance with product 

sales, intellectual property protections, market research, market validation, and 

development of regulatory plans and manufacturing plans, or access to technical and 

business literature available through on-line databases.

If requested, NIST may provide up to an additional $6,500 for TABA services during Phase I.

To request TABA funding, include up to an additional $6,500 in the budget, provide vendor 

information in the budget justification that demonstrates the provider can provide the 

services needed and include a letter of commitment from the provider (see Section 8.01 

for additional information). NIST may disapprove a proposed TABA provider. TABA requests 

must be part of the application submission and may not be requested subsequent to 

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

Requested TABA funds should be clearly labeled in the Budget Narrative (see Section 
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8.01.8.

5.13 Technical Assistance for Application Preparation and Project Conduct

Applicants may wish to contact the NIST Hollings Manufacturing Extension Partnership 

(MEP), a nationwide network of locally managed extension centers whose sole purpose is to 

provide 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 I applications must be received no later than 11:59 p.m. Eastern Time, 

Wednesday, April 14, 2021. Only electronic applications submitted via Grants.gov will be 

accepted.

Applicants should be aware, and factor in their application submission planning, that 

the Grants.gov system 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

February 20, 2021 February 22, 2021

March 20, 2021 March 22, 2021

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 
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Criteria and Section 8.01 Required Forms and Documents) will not be considered.

NIST strongly recommends that applicants do not wait until the last minute to submit an 

application. NIST will not make allowance for any late submissions. To avoid any potential 

processing backlogs due to last minute Grants.gov registrations, applicants are highly 

encouraged to begin their Grants.gov registration process early. No extensions will be 

granted.

When developing your submission timeline, please keep in mind that (1) all applicants are 

required to have current registrations in the System for Award Management (SAM.gov) and 

Grants.gov; (2) the free annual registration process in the electronic System for Award 

Management (SAM.gov) (see Section 6.03.1.b) of this NOFO) generally takes between three 

and five business days but can take more than three weeks; and (3) applicants will receive a 

series of e-mail messages from Grants.gov over a period of up to two business days before 

learning whether a Federal agency’s electronic system has received its application. Please 

note that a federal assistance award cannot be issued if the designated recipient’s 

registration in the System for Award Management (SAM.gov) is not current at the time of 

the award.

Applicants will find instructions on registering with SAM.gov as part of the Grants.gov 

process at: http://www.grants.gov/web/grants/applicants/organizationregistration.html.

6.02 Standard Application Package

The standard application package, consisting of the standard forms, i.e., SF-424 (R&R), 

Research & Related Budget, SF- 424B (if applicable), CD-511, Research and Related Other 

Project Information, SF-LLL (if applicable), and Research & Related Subaward Budget is 

available at www.grants.gov. 

Please see Section 8.01 for a complete list of required forms anddocuments.

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. 
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Applications are limited to one proposal per SBC. The last application received in 

Grants.gov will be used for evaluation.

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

announcement 2021-NIST-SBIR-01.

a) Applicants should carefully follow specific Grants.gov instructions to ensure the 

attachments will be accepted by the Grants.gov system. A receipt from Grants.gov 

indicating an application is received does not provide information about whether 

attachments have been received. Attachment files names should be kept as short as 

possible due to potential file corruption after the addition of extensions by 

Grants.gov. For further information or questions regarding the electronic application 

process for the 2021-NIST-SBIR-01 announcement, e-mail at grants@nist.gov.

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

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

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

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

problems are encountered, the registration process can take three (3) weeks or more. 

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

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

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

also Section 8.04 of this NOFO. After registering, it may take several days or longer from the 

initial log-on before a new Grants.gov system user can submit an application. Only 

authorized individuals(s) will be able to submit an application, and the system may need 

time to process a submitted application. Applicants should save and print the proof of 

submission they receive from Grants.gov. If problems occur while using Grants.gov, the 

applicant is advised to (a) print any error message received and (b) call Grants.gov directly 

for immediate assistance. If calling from within the United States or from a U.S. territory, 

please call 800-518-4726. If calling from a place other than the United States or a U.S. 

territory, please call 606-545-5035. Assistance from the Grants.gov Help Desk will be 

available around the clock every day, with the exception of Federal holidays. Help Desk 

assistance will resume at 7:00 a.m. Eastern Time the day after Federal holidays. For 

assistance using Grants.gov, you may also contact support@grants.gov.

c) To find instructions on submitting an application on Grants.gov, Applicants should refer 

to the “Applicants” tab in the banner just below the top of the http://www.grants.gov home 

page. Clicking on the “Applicants” tab produces two exceptionally useful sources of 

information, Grant Applications and Applicant Resources, which applicants are advised to 
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review.

Applicants will receive a series of e-mail messages over a period of up to two business days 

before learning whether a Federal agency’s electronic system has received its application. 

Closely following the detailed information in these subcategories will increase the likelihood 

of acceptance of the application by the Federal agency’s electronic system.

Applicants should pay close attention to the guidance under “Applicant FAQs,” as it contains 

information important to successful submission on Grants.gov, including essential details on 

the naming conventions for attachments to Grants.gov applications.

The Grants.gov Online Help 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.

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 
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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/nationalinstitute-of-standards-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 I Screening 

Criteria. Guidelines provided below are based on frequently asked questions and are not 

intended to be comprehensive – all forms must be fully completed.

A complete application contains the following forms and documents:

1. SF-424 (R&R), Application for Federal Assistance. The SF-424 (R&R) must be signed 

by an authorized representative of the applicant organization.

For SF-424 (R&R), items 5, 14, and 19, use the Zip Code +4 format (##### - ####) when 

addresses are called for.

For SF-424 (R&R), item 16, the NIST SBIR Program is not covered by that Executive 

Order.

For SF-424 (R&R), item 17, the list of certifications and assurances is contained in the 

SF-424B (item 3. below).

For SF-424 (R&R), item 18, if the SF-LLL, Disclosure of Lobbying Activities form (item 6. 

below) is applicable, attach it to field 18.

Instructions for filling in the SF-424 (R&R) can be found on Grants.gov, as well as in the 

NIST Grants Management Division SF-424 Research and Related (R&R) Application 

Package Guidance.
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2. Research & Related Budget (Total Fed + Non-Fed). The budget 

should reflect anticipated expenses for the full term of the project, considering all 

potential cost increases, including cost of living adjustments. 

The budget should be detailed in these categories:

A. Senior/Key Person;

B. Other Personnel;

C. Equipment Description;

D. Travel;

E. Participant/Trainee Support Costs (not relevant to this competition);

F. Other Direct Costs;

G. Direct Costs (automatically generated);

H. Indirect Costs;

I. Total Direct and Indirect Costs (automatically generated);

J. Fee;

K. Total Costs and Fee (automatically generated);

L. Budget Narrative and Justification document (item 8. below) should be 

attached to field L.

Instructions for completing the Research & Related Budget (Total Fed + Non-Fed) form 

can be found on Grants.gov, as well as in the NIST Grants Management Division SF-424 

Research and Related (R&R) Application Package Guidance.

3. SF-424B, Assurances - Non-Construction Programs (if applicable). The SF-424B is 

required for all applicants that have not updated their System for Award Management 

(SAM.gov) entity registration since February 2, 2019 to include the Federal financial 

assistance certifications and representations (certs and reps). If an applicant has 

updated their SAM.gov entity registration since February 2, 2019 to include the 

certifications and representations, then the SF-424B is not required.

4. CD-511, Certification Regarding Lobbying. Enter “2021-NIST-SBIR-01” in theAward 

Number Field. Enter the title of the application used in field 11 of the SF-424 (R&R), 

or an abbreviation of that title, in the Project Name field.

5. Research and Related Other Project Information. Answer the highlighted 

questions and use this form to attach the Cover Sheet and Technical Proposal (item 

(7) below), the Indirect Cost Rate Agreement (item (9) below), the SBA Company 
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Registry Form (item (10) below), the Data Management Plan (item (11) below), the 

Research & Related Personal Data form(s) (item 13 below), the Current and Pending 

Support Form (item (14) below), the Compliance with SBIR Program Requirements, 

Applicant Fraud Awareness Training (item (15) below), and Letters of Commitment 

(item (16) below). Instructions for completing the Research and Related Other 

Project Information can be found on Grants.gov, as well as in the NIST Grants 

Management Division SF-424 Research and Related (R&R) Application Package 

Guidance.

Please note that the Project Summary/Abstract is not relevant to this competition. 

However, Grants.gov requires an attachment to field 7 of the Research and Related 

Other Project Information form to successfully pass through Grants.gov. Please attach a 

document to field 7 stating, “A Project Summary/Abstract is not relevant to this 

competition”.

There are no separate documents required for field 9, “Bibliography & References Cited’; 

or for field 10, “Facilities & Other Resources;” or for field 11, “Equipment”. Any details 

relating to these topics should be included in other documents and forms, if and as 

specified in this NOFO.

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

7. Cover Sheet (Appendix A) and Technical Proposal. Read Section 3.02 of this NOFO 

very carefully, and in its entirety, for directions on completing this section of the 

application. The Technical Content is limited to 15 pages including letters of support –

see Section 3.02.02 (4). The Technical Proposal must include an appropriate URL – see 

Section 3.02.02 (1).

8.Budget Narrative and Justification. There is no set format for the Budget Narrative 

and Justification; however, the written justification should include the necessity and 

the basis for the cost, as described below. Proposed funding levels must be consistent 

with the project scope, and only allowable costs should be included in the budget. 

Information on cost allowability is available in the Uniform Administrative 

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

Part 200 (http://go.usa.gov/SBYh), which apply to awards in this program. If 

requested, include TABA funds (see Section 5.12) in the Budget Narrative and 

Justification.

The Budget Narrative and Justification must be attached to the Research & Related 
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Budget (Total Fed + Non-Fed) and it does not count against the 15-page limit of the 

Technical Proposal.

Information needed for each budget category is as follows (categories not listed are 

automatically generated by the form or are not relevant to this competition):

(a) Senior/Key Person – At a minimum, the budget justification should include the 

following: name, job title, commitment of effort on the proposed project in terms 

of average number of hours per week or percentage of time, salary rate, total direct 

charges on the proposed project, description of the role of the individual on the 

proposed project, and the work to be performed.

 Fringe benefits should be identified separately from salaries and wages and based on 

rates determined by organizational policy. The items included in the fringe benefit 

rate (e.g., insurance, parking, etc.) should not be charged under another cost 

category.

(b) Other Personnel – Data is requested at the project role level, and not at the 

individual level for Other Personnel. The budget justification should include the 

following: job title, commitment of effort on the proposed project in terms of 

average number of hours per week or percentage of time, salary rate, total direct 

charges on the proposed project, description of the role of the position on the 

proposed project and the work to be performed.

Fringe benefits should be identified separately from salaries and wages and based 

on rates determined by organizational policy. The items included in the fringe 

benefit rate (e.g., health insurance, parking, etc.) should not be charged under 

another cost category.

(c) Equipment Description – Equipment is defined as an item of property that has an 

acquisition cost of $5,000 or more (unless the organization has established lower 

levels) and an expected service life of more than one year. The budget justification 

should list each piece of equipment, the cost, and a description of how it will be 

used and why it is necessary to the successful completion of theproposed

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). Applicants should provide at least two (2) 

quotes, if available, for equipment costing $25,000 or more. If two (2) quotes are 

not available, please provide a statement as to why two (2) quotes are not 
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available.

Any items that do not meet the threshold for equipment can be included under the 

Materials and Supplies line item in Section F, Other Direct Costs.

(d) Travel –– For all travel costs, required by the recipient to complete the project, 

including attendance at any relevant conferences, the budget justification for 

travel should include the following: destination; names or number of people 

traveling; dates and/or duration; mode of transportation, lodging and 

subsistence rates; and description of how the travel is directly related to the 

proposed project. For travel that is yet to be determined, please provide best 

estimates based on prior experience. If a destination is not known, an 

approximate amount may be used with the assumptions given for the location of 

the meeting.

(f) Other Direct Costs – For costs that do not easily fit into the other cost categories, 

please list the cost, and the breakdown of the total costs by quantity or unit of cost. 

Include the necessity of the cost for the completion of the proposed project. Only 

allowable costs can be charged to the award. 

Each subaward or contractual cost should be treated as a separate item in the 

Other Direct Costs category. Describe the services to be provided and the necessity 

of the subaward or contract to the successful performance of the proposed project. 

Contracts are for obtaining goods and services. Subawardees perform part of the 

project scope of work. For each subaward, applicants must provide budget detail 

justifying the cost of the work performed on the project.

(h) Indirect Costs – Commonly referred to as Facilities & Administrative Costs, Indirect 

Costs are defined as costs incurred by the applicant organization that cannot 

otherwise be directly assigned or attributed to a specific project. For more details, 

see Section 8.01(9) of this NOFO.

(j) Fee – Profit or fee not to exceed 7% of the sum of the direct and indirect costs must 

be listed in this cost category if included in the proposed budget.

9. Indirect Cost Rate Agreement. NIST will not negotiate indirect cost rates for Phase I 

awards. If indirect costs are included in the proposed budget, provide a copy of the 

approved negotiated agreement if this rate was negotiated with a cognizant Federal 
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audit agency. If a rate has not been established, provide a statement to this effect 

and a computation for the cost in the budget narrative. Applicants without an 

established rate may propose estimated indirect costs at a rate not to exceed 40 

percent of the total direct costs and will not be required to provide further 

justification if selected for an award. Any profit or fee requested is not considered a 

direct cost for the purpose of the indirect cost base calculation.

10. 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/STTR Policy Directive requires 

each Phase I applicant to register in the Company Registry prior to submitting an 

application. The applicant must save its information from the registration in a .pdf 

document. Attach this document to the Research and Related Other Project 

Information form as described in Section 8.02.

11. Data Management Plan. Consistent 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 proposing projects 

that include the conduct of research must include a Data Management Plan (DMP).

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

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

within the scope of the project. For the purposes of the DMP, NIST adopted the 

definition of “research data” at 2 C.F.R. § 200.315(e)(3). 

The DMP must include, at a minimum, a summary of proposed activities that are 

expected to generate data; a summary of the types of data expected to be generated 

by the identified activities; a plan for storage and maintenance of the data expected to 

be generated by the identified activities, including after the end of the award’s period 

of performance; and a plan describing whether and how data generated by the 

identified activities will be reviewed and made available to the public.

A template for the DMP, an example DMP, and the rubric against which the DMP will 

be evaluated for sufficiency is available at https://www.nist.gov/open/informationawardees. An applicant is not required to use the template as long as the DMP 

contains the required information.

3 https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf 4 https://www.nist.gov/system/files/documents/2019/11/08/final_o_5701_ver_2.pdf
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If an application stands a reasonable chance of being funded and the DMP is 

determined during the review process to be insufficient, the program office may reach 

out to the applicant to resolve deficiencies in the DMP. If an award is issued prior to 

the deficiencies being fully rectified, the award will include a Specific Award Condition 

(SAC) stating that no research activities shall be initiated or costs incurred for those 

activities under the award until the NIST Grants Officer amends the award to indicate 

the SAC has been satisfied.

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

12. Subaward Budget Form. The Research & Related Subaward Budget Attachment 

Form is required if sub-recipients and contractors are included in the application 

budget. 

Instructions for completing and attaching subaward budget forms are available by 

visiting the R & R Family section of the Grants.gov Forms Repository and scrolling 

down to the R & R Subaward Budget Attachment(s) Form and selecting 

“Instructions.”

13. Research & Related Personal Data. Answer the highlighted questions.

Complete and print the form available at https://www.grants.gov/forms/r-rfamily.html. Attach this document to the Research and Related Other Project 

Information form as described in Section 8.02.

14. 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 
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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-andpending-support and reference the guidance provided as it contains information to 

assist with accurately completing the form.

15. 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 Research and Related Other 

Project Information form as described in Section 8.02.

16. Letters of Commitment. Letters must be submitted by all funded and unfunded 

entities that will have an active role in executing the activities outlined in the Project 

Narrative. Letters of Commitment must address the level of participation, 

qualifications of the personnel who will be actively involved, and how successful 

completion of this project would positively impact their profession or community. 

Letters of Commitment must also specify any voluntary committed cost-share, 

including the specific services and/or products to be used in the project. Letters of 

Commitment must be signed by an individual with authority to legally bind the 

organization to its commitment. Letters of commitment do not count against the 

specified page limits.

8.02 Attachment of Required Application Documents

Items 8.01.1 through 8.01.5 above are part of the standard application package in 

Grants.gov and can be completed through the download application process. 

Item 8.01.6, the SF-LLL, Disclosure of Lobbying Activities form, is an optional application 

form which is part of the standard application package in Grants.gov. If item 8.01.6, the 

SF-LLL, Disclosure of Lobbying Activities form is applicable to this proposal, attach it to

field 18 of the SF-424 (R&R), Application for Federal Assistance.

Item 8.01.7, the Cover Sheet and Technical Proposal, should be attached to field 8 

(Project Narrative) of the Research and Related Other Project Information form by 

clicking on “Add Attachment”.
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Item 8.01.8, the Budget Narrative and Justification, should be attached to field L (Budget 

Justification) of the Research and Related Budget (Total Fed + Non-Fed) form by clicking 

on “Add Attachment”.

Items 8.01.9, the Indirect Cost Rate Agreement; 8.01.10, the SBA Company Registry 

Form; 8.01.11, the Data Management Plan; 8.01.13, the Research & Related Personal 

Data; 8.01.14, the Current and Pending Support Form; 8.01.15, the SBIR Applicant Fraud 

Awareness Training Certificate of Training Completion; and 8.01.16 Letters of 

Commitment, must be attached by clicking on “Add Attachments” found in item 12 

(Other Attachments) of the Research and Related Other Project Information form. 

Item 8.01.12, the Subaward Budget Form(s), if applicable to the submission, should be 

attached to the Research & Related Subaward Budget (Total Fed + Non-Fed) 

Attachment(s) Form in the application package.

Following these directions will create zip files which permit transmittal of the documents 

electronically via Grants.gov. 

8.03 Verifying the Submission and Tracking the Application

Applicants should carefully follow specific Grants.gov instructions at www.Grants.gov to 

ensure the attachments will be accepted by the Grants.gov system. A receipt from 

Grants.gov indicates only that an application was transferred to a system. It does not 

provide details concerning whether all attachments (or how many attachments) 

transferred successfully. Attachment file names should be kept as short as possible due 

to potential file corruption after the addition of extensions by Grants.gov. Applicants will 

receive a series of e-mail messages over a period of up to two business days before 

learning whether a Federal agency’s electronic system has received its application.

Applicants are strongly advised to use Grants.gov’s “Download Submitted Forms and 

Applications” option to check that their application’s required attachments were 

contained in their submission.

After submitting the application, check the status of your application here: CHECK 

APPLICATION STATUS. If any, or all, of the required attachments are absent from the 

submission, follow the attachment directions found above, resubmit the application, and 

check again for the presence of the required attachments.

If the directions found at 
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https://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm are 

not effective, please contact the Grants.gov Help Desk immediately. If calling from within 

the United States or from a U.S. territory, please call 800-518-4726. If calling from a place 

outside the United States or a U.S. territory, please call 606-545-5035. E-mails should be 

addressed to support@grants.gov. Assistance from the Grants.gov Help Desk will be 

available around the clock every day, with the exception of Federal holidays. Help Desk 

service will resume at 7:00 a.m. Eastern Time the day after Federal holidays.

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

procedures at the Grants.gov site (http://go.usa.gov/cjamz). It can take up to two 

business days for an application to fully move through the Grants.gov system to NIST.

NIST uses the Tracking Numbers assigned by Grants.gov, and does not issue Agency 

Tracking Numbers.

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

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

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

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

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

application or plan under consideration by a Federal awarding agency, unless otherwise 

excepted from these requirements pursuant to 2 C.F.R. § 25.110. NIST will not make a 

Federal award to an applicant until the applicant has complied with all applicable unique 

entity identifier and SAM requirements and, if an applicant has not fully complied with the 

requirements by the time that NIST is ready to make a Federal award pursuant to this 

NOFO, NIST may determine that the applicant is not qualified to receive a Federal award 

and use that determination as a basis for making a Federal award to another applicant.

9.0 RESEARCH AREAS

The NIST research programs work at the frontiers of measurement science to ensure that 

the U.S. system of measurements is firmly grounded in sound scientific and technical 

principles. Today, the NIST laboratories address increasingly complex measurement 

challenges, ranging from the very small (nanoscale devices for advanced computing) to the 

very large (vehicles and buildings), and from the physical (resilient infrastructure) to the 

virtual (cybersecurity and data science). As new technologies develop and evolve, NIST’s 

measurement research and services remain central to national defense, homeland security, 

trade and innovation.

NIST’s research activities provide industry, academia and other federal agencies with world-
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class research capabilities in measurement science that form the foundation of the global 

system of weights and measures and enable innovation. NIST provides measurement tools 

and standards to strengthen U.S. competitiveness and security in the following areas:

Advanced Communications, Networks and Scientific Data Systems

NIST’s Advanced Communications, Networks and Scientific Data Systems activities enable 

secure, reliable, high-speed wireless and wireline communications critical to U.S. economic 

competitiveness, safety and security. NIST measurement science research and support for 

the development of standards accelerates the deployment of next-generation 

communication technologies needed for commercial- scale use of connected vehicles, 

“internet of things” (IoT) applications, drones and future artificial intelligence/machine 

learning-based systems. NIST is committed to helping solve the measurement and 

validation challenges of these fast-moving fields to help the U.S. achieve and maintain 

global leadership in these areas.

Advanced Manufacturing and Material Measurements

NIST has partnered with the U.S. manufacturing sector for more than a century and has a 

proven track record of delivering useful tools and technical assistance to existing 

manufacturers and aspiring start-ups. NIST's Advanced Manufacturing and Material 

Measurements activities provide industry with precision measurement technologies, tests, 

protocols and world-class scientific and engineering knowledge through targeted research 

across a broad portfolio, including advanced materials development, advanced sensing, 

biomanufacturing and smart manufacturing systems. NIST’s efforts in advanced 

manufacturing and material measurements rely on three major mechanisms: partnerships 

with manufacturers, development of physical and information standards, and development 

of new measurement capabilities.

Cybersecurity and Privacy

NIST’s Cybersecurity and Privacy activities strengthen the security of the digital 

environment through a portfolio bridging foundational and applied cybersecurity research, 

and through the development of publicly available standards and technical guidance. NIST’s 

sustained outreach efforts support the effective application of standards and best practices 

enabling the adoption of practical cybersecurity and privacy. Through internal research and 

collaboration with the private sector, academia, standards development organizations, 

other government agencies and national and international stakeholders, NIST addresses the 

nation’s current and future measurement science needs and is responsive to Congressional 
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mandates and Executive Orders.

Fundamental Measurement, Quantum Science and Measurement Dissemination

At the heart of NIST’s mission is the dissemination of the fundamental units of 

measurement (the International System of Units, or SI). NIST determines the definitive 

methods for nearly every kind of measurement employed in commerce and research, 

provides NIST-traceable calibrations, and disseminates standards and best practices 

throughout the nation. Staying ahead of the increasingly challenging demands of U.S. 

industry requires that NIST push the frontiers of measurement science by devising new 

tools and techniques—especially at the quantum scale where the rules of classical physics 

do not apply. Through balanced and coordinated programs, NIST leads the world in 

disseminating the fundamental units of measurement. This leadership in metrology 

advancement directly impacts NIST’s relevance and leadership in measurement services.

Health and Biological Systems Measurements

NIST provides a solid foundation of measurement assurance enabling reproducibility of 

biomedical research results and confidence in clinical decision-making and ensuring the 

efficacy and safety of treatments. As a nonregulatory agency, NIST’s research plays an 

essential role in health and bioscience innovations, including in precision medicine, 

engineering biology, medical imaging, regenerative medicine and our understanding of the 

microbiome and how it affects health. New and improved measurement capabilities 

advance our understanding of biology and provide the basis for industries to harness this 

information for future medical technologies.

Physical Infrastructure and Resilience

NIST’s Physical Infrastructure and Resilience activities support the safety, interoperability 

and resilience of the nation’s infrastructure at the component, structure and system levels. 

NIST’s research supports the development of building codes making the built environment 

healthier for occupants, more resilient against hazards, and safer for both residents and first

responders. In collaboration with policymakers, building officials and planning groups, NIST 

produces guides to help communities integrate resilience into their economic development, 

zoning, mitigation and other local planning activities impacting buildings, public utilities and 

infrastructure systems.

Exploratory Measurement Science
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NIST’s mission requires deep expertise in a broad range of disciplines. To best position NIST 

to support U.S. technological interests well into the future, it is essential that NIST maintain 

a portfolio of exploratory measurement science research programs. NIST invests in higherrisk and potentially transformative measurement science research to stay on the cutting 

edge of technology trends.
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Appendix A. COVER SHEET

(A fillable version of the Cover Sheet is available at http://www.nist.gov/sbir)

Application to National Institute of Standards and Technology (NIST) 

Small Business Innovation Research (SBIR) Program Phase I

2021-NIST-SBIR-01 (April 14, 2021)

Cover Sheet

Name & Address of 

Submitting Firm:

Project 

Title

Principal 

Investigator 

(PI) Name

PI Title

PI Phone # PI E-mail

NIST may verify the following responses with information provided elsewhere in your application or by independent sources.

THE APPLICANT CERTIFIES THAT:

1. It is a small business concern (SBC) and meets the definition as stated in this Notice of Funding

Opportunity (NOFO).

☐ Yes ☐ No

2. The primary employment of the PI will be with the SBC at the time of award and during the

conduct of research.

☐ Yes ☐ No

3. A minimum of either two-thirds for Phase I or one-half for Phase II of the research will be 

performed by the SBC as determined by data provided in the Budget Narrative. See NOFO

Section 1.03.01 for details on funding determination.

☐ Yes ☐ No

4. The applicant and/or PI ☐ has/ ☐ has not submitted applications for essentially equivalent work under other Federal program

FFOs and ☐ has / ☐ has not received other Federal awards for essentially equivalent work. 

If “has”, what agency? Click here to enter text.

See NOFO Section 3.02.02(14) for additional details that must be provided.

5. The applicant qualifies as a socially and economically disadvantaged SBC and meets the

definition as stated in this NOFO.

☐ Yes ☐ No

6. The applicant qualifies as a woman-owned SBC and meetsthe definition as stated in this NOFO. ☐ Yes ☐ No

7. The applicant qualifies as a HUBZone-owned SBC and meets the SBA’s definition(see

http://www.sba.gov/hubzone).

☐ Yes ☐ No

8. Year SBC founded: Click here to enter text.

9. Number of Employees: Click here to enter text.

STATEMENTS:

10. The applicant will permit the Federal Government to disclose name, address, and telephone 

number of the corporate official of your concern, if your application does not result in an 

award, to appropriate local and State-level economic development organizations that may 

be interested in contacting you for further information.

☐ Yes ☐ No

11. The applicant authorizes contact information and project title to be provided to the NIST 

Manufacturing Extension Partnership (MEP) after awards have been announced. If ‘Yes’ your 

contact information will be provided to NIST MEP. If so, you will be contacted by your local 

MEP to explore business-related support services that could benefit the potential of the

project you proposed.

☐ Yes ☐ No
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Signature of Company Official 

and typed name, title, address, 

telephone number, and date

Signature of Principal Investigator

and typed name, title, address, telephone 

number, and date

TECHNICAL ABSTRACT (limit to 200 words):

POTENTIAL COMMERCIAL APPLICATION OF THE RESEARCH: (limit to 100 words)

OTHER INFORMATION:

Information contained in unsuccessful applications will remain the property of the applicant. The Federal Government may, however, retain 

copies of all applications. Public release of information in any application submitted will be subject to existing statutory and regulatory

requirements Applicants are discouraged from submitting proprietary information unless the information is deemed essential for proper 

evaluation of the application. If proprietary information provided by an applicant in a proposal constitutes trade secret, proprietary 

commercial or financial information, confidential personal information, or data affecting national security, it will be treated in confidence to 

the extent permitted by law, provided that the proposal is clearly marked by the applicant as follows:

(A) The following legend must appear on the title page of the proposal:

This proposal contains information that shall not be disclosed outside the Federal Government and shall not be duplicated, used, or 

disclosed in whole or in part for any purpose other than evaluation of this proposal, unless authorized by law. The Government shall have 

the right to duplicate, use, or disclose the data to the extent provided in the resulting award if award is made as a result of the 

submission of this proposal. The information subject to these restrictions are contained on all pages of the proposal except for pages 

[insert page number or other identification of pages that contain no restricted information.]

(End of Legend); and

(B) The following legend must appear on each page of the proposal that contains information the applicant wishes to protect:

Use or disclosure of information contained on this sheet is subject to the restriction on the title page of this proposal.

The use of any other legend is unacceptable to the Government and may constitute grounds for removing the application from further 

consideration without assuming any liability for inadvertent disclosure.

This collection of information contains Paperwork Reduction Act (PRA) requirements approved by the Office of Management and Budget 

(OMB). Notwithstanding any other provisions of the law, no person is required to respond to, nor shall any person be subject to a penalty for 

failure to comply with, a collection of information subject to the requirements of the PRA unless that collection of information displays a 

currently valid OMB control number. Public reporting burden for this collection is estimated to be 30 minutes per response, including the time 

for reviewing instructions, searching existing data sources, gathering and maintaining the data needed and completing and reviewing the 

collection of information. Send comments regarding this burden estimate or any aspect of this collection of information, including suggestions

for reducing this burden, to the National Institute of Standards and Technology, Attn: Mary Clague, 100 Bureau Dr., MS 2200, Gaithersburg, MD 

20899.

OMB Control No. 0693-0072 

Expiration Date: 1/31/2024
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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/STTR Policy Directive and also any statutory and 

regulatory provisions referenced in those authorities.

If the funding agreement officer believes that the business may not meet certain eligibility 

requirements at the time of award, they are required to file a size protest with the U.S. Small 

Business Administration (SBA), who will determine eligibility. At that time, SBA will request 

further clarification and supporting documentation in order to assist in the verification of any of 

the information provided as part of a protest. If the funding agreement officer believes, after 

award, that the business is not meeting certain funding agreement requirements, the agency 

may request further clarification and supporting documentation in order to assist in the 

verification of any of the information provided.

Even if correct information has been included in other materials submitted to the Federal 

government, any action taken with respect to this certification does not affect the 

Government’s right to pursue criminal, civil or administrative remedies for incorrect or 

incomplete information given in the certification. Each person signing this certification may be 

prosecuted if they have provided false information.

The undersigned has reviewed, verified and certifies that (all questions must be responded to 

by checking the appropriate box):

The Awardee business concern meets the ownership and control requirements set forth in 13 

C.F.R. § 121.702.

☐Yes☐No
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(2) If a corporation, all corporate documents (namely: articles of incorporation and any 

amendments, articles of conversion, by-laws and amendments, shareholder meeting minutes 

showingofficer elections, organizational meeting minutes, all issued stock certificates, stock 

ledger, buy-sell agreements, stock transfer agreements, voting agreements, and documents 

relating to stock options, including the right to convert non-voting stock or debentures into 

voting stock) must include evidence that the corporation meets the ownership and control 

requirements set forth in 13 C.F.R. § 121.702.

☐Yes☐No ☐N/A Explain why N/A:

(3) If a partnership, the partnership agreement evidences that it meets the ownership and 

control requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(4) If a limited liability company, the articles of organization and any amendments, and 

operating agreement and amendments, evidence that it meets the ownership and 

control requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(5) The birth certificates, naturalization papers, or passports show that any individuals it relies 

upon to meet the eligibility requirements are U.S. citizens or permanent resident aliens in the 

United States.

Yes ☐No ☐N/A Explain why N/A:

(6) The Awardee business concern has no more than 500 employees, including the employees of 

its affiliates.

☐Yes ☐No

(7) SBA has not issued a size determination currently in effect finding that this business 

concern exceeds the 500 employee size standard.

☐Yes ☐No

(8) During the performance of the award, the principal investigator will spend more than 

one half of his/her time (based on a 40 hour workweek) as an employee of the awardee or 

has requested and received a written deviation from this requirement from the funding 
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agreement officer.

☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

(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 to this agency or another Federal agency.

☐ Has been submitted for funding to this agency or another Federal agency but has not been 

funded under any other grant, contract, subcontract or other transaction.

☐ A portion has been funded by another grant, contract, or subcontract as described in detail

in the application and approved in writing by the funding agreement officer.

(10) During the performance of award, the Awardee will perform the applicable percentage of 

work unless a deviation from this requirement is approved in writing by the funding 

agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

(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 the Awardee’s facilities with the Awardee’s employees, except as otherwise 

indicated in the SBIR application and approved in the funding agreement.

☐Yes ☐No

(13)The SBIR Awardee has registered itself on SBA’s database as majority-owned by venture 

capital operating companies, hedge funds or private equity firms.

☐Yes ☐No ☐N/A Explain why N/A:

(14)The SBIR Awardee is a Covered Small Business Concern (a small business concern that:(a) 

was not majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, 

or private equity firms on the date on which it submitted an application in response to an SBIR 

solicitation; and (b) on the date of the SBIR award, which is made more than 9 months after the 

closing date of the solicitation, is majority-owned by multiple venture capital operating 
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companies, hedge funds, or private equity firms).

☐Yes☐No

(15) The SBIR Awardee will notify this agency immediately if all or a portion of the work 

authorized and funded under this award is subsequently funded by another Federal agency.

☐Yes☐No

(16) I understand that the information submitted may be given to Federal, State and 

local agencies for determining violations of law and other purposes.

☐Yes☐No

(17) 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 behalfof the business concern that the information provided in this certification, the 

application, and all other information submitted in connection with this application, is true 

and correct as of the date of submission. I acknowledge that any intentional or negligent 

misrepresentation of the information contained in this certification may result in criminal, civil 

or administrative sanctions, including but not limited to: (1) fines, restitution and/or 

imprisonment under 18 U.S.C. § 1001; (2) treble damages and civil penalties under the False 

Claims Act (31 U.S.C.§ 3729 et seq.); (3) double damages and civil penalties under the Program 

Fraud Civil Remedies Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds, (5) 

suspension and/or debarment from all Federal procurement and nonprocurement 

transactions (FAR Subpart 9.4 or 2 C.F.R. Part 180); and (6) other administrative penalties 

including termination of SBIR/STTR awards.

Signature Date / /

Print Name (First, Middle, Last)

Title

Business Name
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SBIR Funding Agreement Certification (Life-Cycle Certification)

All SBIR Phase I and Phase II awardees must complete this certification at all times set forth in 

the funding agreement (see §8(j) of the SBIR/STTR Policy Directive). This includes checking all of 

the boxes (unless otherwise directed) and having an authorized officer of the awardee sign and 

date the certification each time it is requested.

Please read carefully the following certification statements. The Federal government relies on 

the information to ensure compliance with specific program requirements during the life of the 

funding agreement. The definitions for the terms used in this certification are set forth in the 

Small Business Act, the SBIR/STTR Policy Directive, and also any statutory and regulatory 

provisions referenced in those authorities.

If the funding agreement officer believes that the business is not meeting certain funding 

agreement requirements, the agency may request further clarification and supporting 

documentation in order to assist in the verification of any of the information provided.

Even if correct information has been included in other materials submitted to the Federal 

government, any action taken with respect to this certification does not affect the 

Government’s right to pursue criminal, civil, or administrative remedies for incorrect or 

incomplete information given in the certification. Each person signing this certification may be 

prosecuted if they have provided false information.

The undersigned has reviewed, verified and certifies that (all questions must be responded to by 

checking the appropriate box):

(1) The principal investigator spent more than one half of his/her time (based on a 40 hour 

workweek) as an employee of the awardee or the awardee has requested and received a 

written deviation from this requirement from the funding officer.

☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

(2) All, essentially equivalent work, or a portion of the work performed under this project 

(check applicable line):

☐Has not been submitted for funding to this agency or another Federal agency.

☐Has been submitted for funding to this agency or another Federal agency but has not

been funded under any other grant, contract, subcontract or othertransaction.

☐A portion has been funded by another grant, contract, or subcontract as described in detail in 

the proposal and approved in writing by the funding agreement officer.
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(3) Upon completion of the award the awardee will have performed the applicable 

percentage or work, unless a deviation from this requirement is approved in writing by the 

funding agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

(4) The work is completed and the small business awardee has performed the applicable 

percentage of work, unless a deviation from this requirement is approved in writing by the 

funding agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

☐N/A because work is not completed.

(5) The research/research and development is performed in the United States unless a 

deviation is approved in writing by the funding agreement officer.

☐Yes ☐No ☐Waiver has been granted

(6) The research/research and development is performed at the awardee’s facilities by the 

awardee’s employees, except as otherwise indicated in the SBIR application and approved in 

the funding agreement.

☐Yes ☐No

(7) I will notify the Federal agency immediately if all or a portion of the work authorized and 

funded under this award is subsequently funded by another Federal agency.

☐Yes ☐No

(8) I understand that the information submitted may be given to Federal, State and local 

agencies for determining violations of law and other purposes.

☐Yes ☐No

(9) I am an officer of the awardee business concern authorized to represent it and sign this 

certification on its behalf. By signing this certification, I am representing on my own behalf, 

and on behalf of the business concern, that the information provided in this certification, the 

application, and all other information submitted in connection with the award, is true and 

correct as the date of submission. I acknowledge that any intentional or negligent 

misrepresentation of the information contained in this certification may result in criminal, civil 
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or administrative sanctions, including but not limited to: (1) fines, restitution and/or 

imprisonment under18 U.S.C. § 1001; (2) treble damages and civil penalties under the False 

Claims Act (31 U.S.C. § 3729 et seq.); (3) double damages and civil penalties under the 

Program Fraud Civil Remedies Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds, 

(5) suspension and/or debarment from all Federal procurement and nonprocurement 

transactions (FAR Subpart 9.4 or 2 C.F.R. Part 180); and (6) other administrative penalties 

including termination of SBIR/STTR awards.

☐ Yes ☐No

Signature Date / /

Print Name (First, Middle, Last)

Title

Business Name