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FY 2020 NIST Small Business Innovation Research Program Phase II

Notice of Funding Opportunity

March 27, 2020

FY 2020

Small Business Innovation Research 

(SBIR) Program Phase II

Notice of Funding Opportunity (NOFO)

ANNOUNCEMENT

FUNDING OPPORTUNITY NUMBER: 2020-NIST-SBIR-02

Catalog of Federal Domestic Assistance (CFDA) Number: 

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

U.S. DEPARTMENT OF COMMERCE 

National Institute of Standards and Technology

Opening Date of NOFO: March 27, 2020

Closing Date: May 26, 2020

http://www.nist.gov/sbir
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FY 2020 NIST Small Business Innovation Research Program Phase II

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1 1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION ............................................ 5

2 1.01 Introduction ............................................................................................................................ 5

3 1.02 Three-Phase Program ............................................................................................................. 6

4 1.03 SBIR Applicant Eligibility and Limitations................................................................................ 8

5 1.04 Contact with NIST.................................................................................................................. ..9

6 1.05 Definitions............................................................................................................................. 10

7 1.06 Fraud, Waste and Abuse....................................................................................................... 17

8 1.07 Other Information................................................................................................................. 18

9 2.0 CERTIFICATIONS ...................................................................................................................... 19

10 2.01 Funding Agreement Certification.......................................................................................... 19

11 2.02 Research Activities Involving Human Subjects, Human Tissue, Data or Recordings Involving

12 Human Subjects Including Software Testing ................................................................................ 19

13 2.03 Research Applications Involving Live Vertebrate Animals or Pre-Existing Cell Lines/Tissues

14 from Vertebrate Animals.............................................................................................................. 25

15 2.04 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid

16 Federal Tax Assessments and Delinquent Federal Tax Returns ................................................... 29

17 3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS ...................................... 29

18 3.01 Phase II Application Requirements....................................................................................... 29

19 3.02 Phase II Application............................................................................................................... 30

20 4.0 METHOD OF SELECTION AND EVALUATION CRITERIA............................................................ 36

21 4.01 Introduction .......................................................................................................................... 36
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22 4.02 Phase II Screening Criteria ....................................................................................................36

23 4.03 Phase II Evaluation Criteria .................................................................................................. 38

24

25 4.04 Phase II Award Selections..................................................................................................... 38

26 5.0 CONSIDERATIONS ................................................................................................................... 39

27 5.01 Awards.................................................................................................................................. 39

28 5.02 Reporting Requirements....................................................................................................... 40

29 5.03 Payment Schedule ................................................................................................................ 41

30 5.04 Innovations, Inventions and Patents.................................................................................... 41

31 5.05 Cost Sharing .......................................................................................................................... 50

32 5.06 Profit or Fee .......................................................................................................................... 50

33 5.07 Joint Ventures or Limited Partnerships ................................................................................ 50

34 5.08 Research and Analytical Work .............................................................................................. 50

35 5.09 Awardee Commitments........................................................................................................ 50

36 5.10 Summary Statements............................................................................................................ 51

37 5.11 Additional Information ......................................................................................................... 46

38 5.12 Technical Assistance for Application Preparation and Project Conduct .............................. 53

39 6.0 SUBMISSION OF APPLICATIONS.............................................................................................. 54

40 6.01 Deadline for Applications...................................................................................................... 54

41 6.02 Address to Request Application Package.............................................................................. 55

42 6.03 Application Submission......................................................................................................... 55
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FY 2020 NIST Small Business Innovation Research Program Phase II

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43 7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES........................................................... 57

44 8.0 SUBMISSION FORMS AND CERTIFICATIONS ........................................................................... 58

45 8.01 Required Forms and Documents.......................................................................................... 58

46 8.02 Verifying the Submission and Tracking the Application ....................................................... 65

47 8.03 Unique Entity Identifier and System for Award Management (SAM).................................. 66

48 9.0 RESEARCH AREAS .................................................................................................................... 67

49 Appendix A. COVER SHEET........................................................................................................... 70

50 Appendix B. CERTIFICATIONS........................................................................................................ 72
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FY 2020 NIST Small Business Innovation Research Program Phase II

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March 27, 2020

51 US DEPARTMENT OF COMMERCE

52 NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

53 FY 2020 SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM 

54 PHASE II NOTICE OF FUNDING OPPORTUNITY (NOFO)

55

56 1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION

57

58 1.01 Introduction

59

60 The National Institute of Standards and Technology (NIST) invites FY 2019 NIST SBIR 

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

62 Opportunity (NOFO). Only FY 2019 NIST SBIR Phase I awardees are eligible to submit 

63 applications in response to this NOFO for Phase II of their projects.

64

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

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

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

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

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

70 114-328).

71

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

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

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

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

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

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

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

79 businesses and by women-owned small businesses in technological innovation; and (4)

80 increase private sector commercialization of innovations derived from Federal R/R&D, 

81 thereby increasing competition, productivity, and economic growth.

82

83 The NIST FY 2020 SBIR program identifies and solicits applications in topics that fall within 

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

85 whenever possible.

86

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

88 energy efficiency or renewable energy system R&D projects, consistent with Executive 
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89 Order (EO) 13329 (http://www.gpo.gov/fdsys/pkg/FR-2004-02-26/pdf/04-4436.pdf) 

90 “Encouraging Innovation in Manufacturing,” the Energy Independence and Security Act of 

91 2007 (P.L. 110-140 § 1203(e), codified at 15 U.S.C. § 638(z)), and the Small Business 

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

93 Technology Transfer (STTR) Program Policy Directive, § 9, found at 

94 https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf. 

95

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

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

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

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

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

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

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

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

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

105 the awardee’s own innovation to develop a commercially viable product based on the NIST106 owned invention.

107

108 1.02 Three-Phase Program

109

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

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

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

113 SBIR/STTR Policy Directive found at https://www.sbir.gov/sites/default/files/SBIR114 STTR_Policy_Directive_2019.pdf. 

115

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

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

118 agreements is 15 U.S.C. § 272(b)(4). NIST programmatic authorities for the research areas 

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

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

121 projects’ approved scope of work. Grants and agreements administrative requirements set 

122 forth at 2 C.F.R. Part 200 will apply to NIST SBIR awards.

123

124 1.02.01 Phase I - Feasibility Research

125

126 The purpose of Phase I is for NIST to determine the technical feasibility of the research, 
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127 preliminary commercialization merit of the proposed effort, and the quality of the 

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

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

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

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

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

133 Assistance (TABA); see Section 5.11 for more information about TABA.

134

135 This NOFO is not soliciting applications for Phase I research.

136

137 1.02.02 Phase II - Research and Development

138

139 This NOFO provides an opportunity to all NIST FY 2019 SBIR Phase I awardees to submit a 

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

141 2020 NIST SBIR Phase II application preparation and submission requirements.

142

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

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

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

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

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

148 performance. Up to $50,000 of the award may be proposed for Technical and Business 

149 Assistance (TABA); see Section 5.11 for more information about TABA. One year after 

150 completing the Phase II R&D activity, the awardee shall be required to report on its 

151 commercialization activities.

152

153 1.02.03 Phase III - Commercialization

154

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

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

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

158 may be for products, production, services, R/R&D or a combination thereof.

159

160 1.02.04 Commercialization Readiness Pilot Program

161

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

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

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

165 to an additional $100,000) to selected awardees after completion of Phase II. The funding 
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166 would be used to further develop Phase II technologies, to support advancement toward 

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

168 make any CRPP awards.

169

170 1.03 SBIR Applicant Eligibility and Limitations

171

172 1.03.01 Applicant Qualifications

173

174 Under this NOFO, only FY 2019 NIST SBIR Phase I awardees are eligible to submit 

175 applications. Applications received from entities other than FY 2019 NIST SBIR Phase I 

176 awardees will not be reviewed or considered for award. Each applicant must qualify as an

177 SBC for R/R&D purposes, as defined in Section 1.05 of this NOFO, at the time of award. In 

178 addition, the primary employment of the principal investigator must be with the small 

179 business at the time of the award and during the conduct of the proposed research. Primary 

180 employment means that more than one-half of the principal investigator's time is spent 

181 working with the small business. Primary employment with a small business precludes full182 time employment with another organization. Occasionally, deviations from this 

183 requirement may occur, which must be approved in writing by the NIST Grants Officer after 

184 consultation with the SBIR Program Manager. Further, a small business may only replace 

185 the principal investigator on an SBIR Phase I award if the NIST Grants Officer provides prior 

186 written approval. Personnel obtained through a Professional Employer Organization or 

187 other similar personnel leasing company may be considered employees of the awardee.

188

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

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

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

192 each exemption and its terms in writing.

193

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

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

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

197 considered for award.

198

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

200 performed by the awardee. The total cost for all consultant fees, facility leases, usage fees, 

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

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

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

204 usage fees, and other subcontract/subaward or purchase agreements, excluding funds 
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205 requested for TABA (see Section 5.11), may not exceed one-half of the total award.

206

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

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

209 https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf. Each SBC 

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

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

212

213 Applicants may not participate in the review of applications.

214

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

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

217 (CRADA) with the awardee. NIST will consider the issue of any potential overlap on a case218 by-case basis.

219

220 1.03.02 Company Registry Requirements

221

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

223 track ownership and affiliation requirements for all companies applying to the SBIR 

224 Program. Each Phase II applicant must register in the Company Registry prior to 

225 submitting an application. The applicant must save its information from the registration 

226 in a .pdf document and append this document to the SF-424 (R&R) form as described at 

227 the end of Section 8.01. of this NOFO. All applicants are required to report and/or update 

228 their registration information in the SBA Company Registry prior to each SBIR application 

229 submission or if any information changes prior to an award.

230

231

232 1.04 Contact with NIST

233

234

235 Applicants may contact the NIST Hollings Manufacturing Extension Partnership 

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

237 obtaining technical assistance from MEP Centers for application preparation can be 

238 found in Section 5.12 of this NOFO.

239

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

241 appropriate individual:

242

243
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FY 2020 NIST Small Business Innovation Research Program Phase II

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Subject Area Point of Contact

Programmatic Questions Mary Clague

Phone: (301) 975-4188

Fax: (301) 975-3482

E-mail: mary.clague@nist.gov

or

J’aime Maynard 

Phone: (301) 975-8408

E-mail: jmaynard@nist.gov

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

Fax: (301) 975-6368

E-mail: dean.iwasaki@nist.gov

244

245 1.05 Definitions

246

247 (a) General Definitions

248

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

250 excerpted from the SBA SBIR/STTR Policy Directive, available at 

251 https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf. 

252

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

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

255 SBIR/STTR Programs.

256
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257 Awardee – The organizational entity that receives an SBIR or STTR Phase I, Phase II, or 

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

259

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

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

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

263 or commercial markets.

264

265 Contract, 2 CFR §200.22 - A legal instrument by which a non-Federal entity purchases 

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

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

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

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

270

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

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

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

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

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

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

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

278 direct benefit or use;

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

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

281 the activity contemplated by the Federal award.

282

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

284 proposed for funding in more than one contract proposal or grant application submitted to 

285 the same Federal agency, or submitted to two or more different Federal agencies for 

286 review and funding consideration; or work where a specific research objective and the 

287 research design for accomplishing the objective are the same or closely related to another 

288 proposal or award, regardless of the funding source.

289

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

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

292 research work, including products or services, funded in whole or in part by the Federal 

293 Government.

294
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295 Joint Venture – See 13 C.F.R. § 121.103(h).

296

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

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

299 subject studied;

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

301 innovation to meet a recognized but unmet need; or

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

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

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

305

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

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

308 to the SBIR and STTR programs?” (available at https://gov.ecfr.io/cgi-bin/text309 idx?SID=d617ae64d7222b2ac946ffe72549ac14&mc=true&node=se13.1.121_1702&rgn=div8)

310

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

312

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

314

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

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

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

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

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

320

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

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

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

324

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

326 definitions are also included in Section 5.04.02 of this NOFO. 

327

328 All definitions below are excerpted from the SBA SBIR/STTR Policy Directive, available at 

329 https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf. 

330

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

332 computer. The term does not include Computer Software.
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333

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

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

336

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

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

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

340 Software does not include Computer Databases or Computer Software Documentation. 

341

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

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

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

345 software.

346

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

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

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

350 management information. 

351

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

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

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

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

356 identifying source, functional characteristics, and performance requirements, but 

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

358 of the software.

359

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

361 including cooperative agreements with international or multi-national defense 

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

363 governments or international organizations. Government Purposes include competitive 

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

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

366 authorize others to do so. 

367

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

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

370 including detailed manufacturing or process data). 

371
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372 SBIR/STTR Computer Software Rights - The Federal Government’s rights during the 

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

374 Software. 

375

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

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

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

379 Government for: 

380

381 (i) Use in Federal Government computers; 

382

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

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

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

386 marked as containing SBIR/STTR Data; 

387

388 (iii) Archive or backup; or 

389

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

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

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

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

394 recipient. 

395

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

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

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

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

400 Government without the written permission of the Awardee unless: 

401

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

403 with the Government that complies with the terms for such agreements 

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

405

406 (ii) The release or disclosure is—

407

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

409 for purposes of supporting Government internal use or activities, including 

410 evaluation, diagnosis and correction of deficiencies, and adaptation, 
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411 combination, or integration with other Computer Software provided that 

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

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

414

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

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

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

418 Data, such as for emergency repair and overhaul. 

419

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

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

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

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

424 administrative, cost or pricing or management information. 

425

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

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

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

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

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

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

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

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

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

435 also protected under a subsequent SBIR/STTR award shall remain protected through 

436 the protection period of that subsequent award. The Federal Government receives 

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

438 SBIR/STTR Data. 

439

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

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

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

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

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

445

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

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

448 type of Data other than Computer Software. 

449
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450 (1) The Federal Government may, use, modify, reproduce, perform, display, 

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

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

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

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

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

456

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

458 Federal Government without any additional written permission of the 

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

460 entered into a non-disclosure agreement with the Federal Government that 

461 complies with the terms for such agreements outlined in § 8 of the SBIR/STTR 

462 Policy Directive and the release is: 

463

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

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

466 entity to a contractors’ data developed exclusively at private expense, non467 SBIR/STTR Data, such as for emergency repair and overhaul; 

468

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

470 Government support services contract for internal Government use or 

471 activities, including evaluation, diagnosis or modification, provided that 

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

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

474 commercial purposes or manufacture; 

475

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

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

478

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

480

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

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

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

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

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

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

487

488 Unlimited Rights - The Government’s rights to access, use, modify, prepare derivative 
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489 works, reproduce, release, perform, display, disclose, or distribute Data in whole or in 

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

491 to do so. 

492

493 1.06 Fraud, Waste and Abuse

494

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

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

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

498 benefit, privilege, allowance, or consideration to which an individual or business is not 

499 entitled. Waste includes extravagant, careless, or needless expenditure of Government 

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

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

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

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

504 not limited to:

505

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

507 under, an SBIR/STTR award;

508

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

510 compliance with program requirements under an SBIR/STTR award;

511

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

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

514 misused or converted SBIR/STTR award funds;

515

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

517 from an SBIR/STTR award;

518

519 (v) failure to comply with applicable federal costs principles governing an award;

520

521 (vi) extravagant, careless, or needless spending;

522

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

524 (PI) has a financial interest;

525

526 (viii) acceptance by agency personnel of bribes or gifts in exchange for grant or contract 
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527 awards or other conflicts of interest that prevents the Government from getting the best 

528 value; and

529

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

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

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

533 proposed in the application.

534

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

536 Office of Inspector General Complaint Form, available at 

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

538 the Office of Inspector General is available at: https://www.oig.doc.gov/pages/Contact539 Us.aspx. Please do not include Personally Identifiable Information (PII) through the website. 

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

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

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

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

544

545 Phone:

546 Toll Free 800-424-5197

547

548 Mail:

549 Office of Inspector General Hotline

550 HCHB 7709 

551 1401 Constitution Avenue, N.W. 

552 Washington, DC 20230

553

554 1.07 Other Information

555

556 1.07.01 Personal and Business Information

557

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

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

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

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

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

563 Department of Commerce employees, other Federal employees, and also by Federal agents 

564 and contractors, and/or by non-Federal personnel, all of whom enter into appropriate
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565 conflict of interest and confidentiality agreements covering the use of such information. As 

566 may be provided in the terms and conditions of a specific financial assistance award, 

567 applicants are expected to support program reviews and evaluations by submitting required 

568 financial and performance information and data in an accurate and timely manner, and by 

569 cooperating with Department of Commerce and external program evaluators. In accordance 

570 with 2 C.F.R. § 200.303(e), applicants are reminded that they must take reasonable 

571 measures to safeguard protected personally identifiable information and other confidential 

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

573 Department of Commerce financial assistance award.

574

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

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

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

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

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

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

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

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

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

584 4.9, the Department of Commerce will protect from disclosure confidential business 

585 information contained in financial assistance applications and other documentation 

586 provided by applicants to the extent permitted by law.

587

588

589 2.0 CERTIFICATIONS

590

591 2.01 Funding Agreement Certification

592

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

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

595 Agreement Certification and the SBIR Funding Agreement Certification – Life-Cycle 

596 Certification, which are provided in Appendix B of this NOFO.

597

598 2.02 Research Activities Involving Human Subjects, Human Tissue, Data or Recordings 

599 Involving Human Subjects Including Software Testing

600

601 Any application that includes research activities involving human subjects, human 

602 tissue/cells, or data or recordings from or about human subjects, must satisfy the 

603 requirements of the Common Rule for the Protection of Human Subjects (“Common Rule”), 
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604 codified for the Department of Commerce at 15 C.F.R. Part 27. Research activities involving 

605 human subjects that fall within one or more of the classes of vulnerable subjects found in 45 

606 C.F.R. Part 46, Subparts B, C and D must satisfy the requirements of the applicable subpart(s). 

607 In addition, any such application that includes research activities on these subjects must be in 

608 compliance with all applicable statutory requirements imposed upon the Department of 

609 Health and Human Services (DHHS) and other Federal agencies, all regulations, policies and 

610 guidance adopted by DHHS, the Food and Drug Administration (FDA), and other Federal 

611 agencies on these topics, and all Executive Orders and Presidential statements of policy on 

612 applicable topics. (Regulatory Resources: 

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

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

615

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

617

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

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

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

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

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

623

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

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

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

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

628 information or identifiable biospecimens. 

629

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

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

632 environment that are performed for research purposes. 

633

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

635 and subject. 

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

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

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

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

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

641 identifiable (i.e., the identity of the subject is or may readily be ascertained by the 
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642 investigator associated with the information) in order for obtaining the information 

643 to constitute research involving human subjects. 

644

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

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

647 biospecimen.

648

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

650

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

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

653 required to follow the procedures of their organization for approval of exempt and 

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

655 foreign organizations performing exempt research requiring limited IRB review or 

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

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

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

659 engaged organizations. All engaged organizations must possess a currently valid 

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

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

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

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

664 foreign organizations for NIST supported research involving human subjects. NIST 

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

666 organizations. 

667

668 2) Administrative Review. The NIST Research Protections Office (RPO) reserves the 

right to conduct an administrative review1 669 of all applications that potentially 

670 include research involving human subjects and were approved by an authorized 

671 non-NIST institutional entity (an IRB or entity analogous to the NIST RPO) under 15 

672 C.F.R. § 27.112 (Review by Institution). If the NIST RPO determines that an 

673 application includes research activities that potentially involve human subjects, the 

674 applicant will be required to provide additional information to NIST for review and 

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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675 approval. The documents required for funded proposals are listed in each section 

676 below. Most documents will need to be produced during the proposal review 

677 process; however, the Grants Officer may allow final versions of certain required 

678 documents to be produced at an appropriate designated time post-award. 

679 Research involving human subjects may not start until the NIST Grants Officer 

680 issues an award explicitly authorizing such research. In addition, all amendments, 

681 modifications, or changes to approved research and requests for continuing review 

682 and closure will be reviewed by the NIST RPO. 

683

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

685 research must clearly indicate, by separable task, all research activities believed to 

686 be exempt or non-exempt research involving human subjects, the expected 

687 institution(s) where the research activities involving human subjects may be 

688 conducted, and the institution(s) expected to be engaged in the research activities.

689

690 a. Not research determination. If an activity/task involves human subjects as defined in the 

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

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

693 that activity/task:

694

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

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

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

698 Common Rule. 

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

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

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

702 with a cognizant IRB if they do not have one.

703

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

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

706 Common Rule in the applicable NIST financial assistance program or project.

707

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

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

710 research not involving human subjects) under the Common Rule, the following information 

711 may be requested for that activity/task:

712

713 (1) Justification, including the rationale for the determination and such additional 
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714 documentation as may be deemed necessary by NIST to review and/or support a 

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

716 Common Rule. 

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

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

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

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

721

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

723 exempt research activities that do not meet the criteria for requiring a limited IRB review, 

724 and the performer of the activity or the supplier and/or the receiver of the information or 

725 biospecimens from human subjects does not have a cognizant IRB to provide an exemption 

726 determination, the following information may be requested during the review process so 

727 that NIST can evaluate whether an exemption under the Common Rule applies (see 15 

728 C.F.R. § 27.104(b) and (d)):

729

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

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

732 human subjects.

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

734 information from human subjects to be collected/provided, not pre-existing samples 

735 (i.e., will proposed research collect only information without personal identifiable 

736 information, will biospecimens or information be de-identified and when and by whom 

737 was the de-identification performed, how were the materials or data originally 

738 collected).

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

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

741 information were originally collected and stripped of personal identifiers. If copies of 

742 consent forms are not available, explain.

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

744 make a determination whether the activity/task or use of biospecimens or information 

745 from human subjects is exempt under the Common Rule.

746

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

748 activities (exempt or non-exempt) involving human subjects, and the proposed performer 

749 of the activity has a cognizant IRB registered with OHRP, and linked to their Federalwide 

750 Assurance, the following information may be requested during the review process:

751

752 (1) The name(s) of the institution(s) where the research will be conducted.
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753 (2) The name(s) and institution(s) of the cognizant IRB(s), and the IRB registration 

754 number(s).

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

756 (4) The FWAs associated with all organizations engaged in the planned research 

757 activity/task, linked to the cognizant IRB.

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

759 subjects.

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

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

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

763

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

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

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

767

768 (1) A copy of each applicable final IRB-approved protocol.

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

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

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

772 continuing review requirements.

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

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

775 training requirements.

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

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

778 included in the application, or if the protocol is supported by multiple funding sources. 

779 For protocols with multiple funding sources, NIST will not approve the study without a 

780 non-duplication-of-funding letter indicating that no other federal funds will be used to 

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

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

783 draft of the proposed protocol.

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

785 process to perform the NIST administrative review of research involving human 

786 subjects. (See 15 C.F.R. § 27.112 (Review by Institution)).

787

788 This clause reflects the existing NIST policy and requirements for Research Involving Human 

789 Subjects. Should the policy be revised prior to award, a clause reflecting the policy current at time 

790 of award may be incorporated into the award.

791
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792 If the policy is revised after award, a clause reflecting the updated policy may be incorporated into 

793 the award.

794

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

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

797 (301) 975-5445).

798

799 2.03 Research Applications Involving Live Vertebrate Animals or Pre-Existing Cell 

800 Lines/Tissues from Vertebrate Animals

801

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

803 cared for, euthanized, or used by award recipients to accomplish research goals, teaching, or 

804 testing must meet the requirements of the Animal Welfare Act (AWA) (7 U.S.C. § 2131 et seq.), 

805 and the AWA final rules (9 C.F.R. Parts 1, 2, and 3), and if appropriate, the Good Laboratory 

806 Practice for Nonclinical Laboratory Studies (21 C.F.R. Part 58). In addition, such research 

807 activities should be in compliance with the “U.S. Government Principles for Utilization and Care 

808 of Vertebrate Animals Used in Testing, Research, and Training” (Principles). The Principles and

809 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 810

811 Street, N.W., Department 285, Washington, DC 20055, or as a free PDF online at 

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

813

1) Administrative Review. NIST reserves the right to conduct an administrative review2 814 of all 

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

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

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

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

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

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

821 section below. Some may be requested for a pre-review during the proposal review process; 

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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822 however, the Grants Officer may allow final versions of certain required documents to be 

823 produced at an appropriate designated time post-award. If an award is issued, no research 

824 activities involving live vertebrate animals shall be initiated or costs incurred for those 

825 activities under the award until the NIST Grants Officer issues written approval. In addition, 

826 all re-approvals, amendments, modifications, changes, annual reports and closure will be 

827 reviewed by NIST. 

828

829 2) Required documents for NIST proposal review. The applicant should clearly indicate in the 

830 application, by separable task, all research activities believed to include research involving 

831 live vertebrate animals and the institution(s) where the research activities involving live 

832 vertebrate animals may be conducted. In addition, the applicant should indicate any 

833 activity/task that involves an excluded or custom collection from vertebrate animals, or a 

834 field study with animals.

835

836 a) Excluded Collections from Vertebrate Animals: The requirements for review and 

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

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

839 include live animals. These regulations also do not apply to obtaining stock or pre840 existing items from animal material suppliers (e.g., tissue banks), such as pre-existing cell 

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

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

843

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

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

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

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

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

849 from vertebrate animals are excluded from IACUC review.

850

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

852 documentation for obtaining custom samples from live vertebrate animals from animal 

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

854 laboratories, etc.). Custom samples includes samples from animal material suppliers, 

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

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

857 vertebrate animal. 

858

859 c) Field Studies of Animals: Some field studies of animals may be exempt under the Animal 
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860 Welfare Act from full review and approval by an animal care and use committee, as 

861 determined by each institution. Field study is defined as “... a study conducted on free862 living wild animals in their natural habitat...”. 9 C.F.R. § 1.1. However, this term excludes 

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

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

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

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

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

868 be provided as described below.

869

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

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

872 required:

873

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

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

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

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

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

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

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

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

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

883 i.e., 12-R-3456; 

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

885 (AAALAC) indicated by providing the organization name accredited by 

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

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

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

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

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

891 112).

892

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

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

895 involving live vertebrate animals the following information regarding review by an 

896 applicable IACUC may be requested during the application review process:

897
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898 1. The name(s) of the institution(s) where the research involving live vertebrate 

899 animals will be conducted and/or custom samples collected.

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

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

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

903 Animal Welfare (OLAW) should be indicated by the OLAW assurance number, 

904 i.e. A-1234; an USDA Animal Welfare Act certification should be indicated by 

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

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

907 AAALAC.]

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

909 approved).

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

911 research involving vertebrate animals.

912 5. If any assurances or IACUCs need to be obtained or established, that should be 

913 clearly stated.

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

915 clearly provided for each instance, or indicated as pending.

916

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

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

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

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

921 vertebrate animals:

922

923 1. A copy of the IACUC approved ASP.

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

925 dates of the ASP.

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

927 several sources.

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

929 a draft of the proposed ASP may be requested.

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

931 applications to perform the NIST administrative review of research involving 

932 live vertebrate animals.

933

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

935 Should the policy be revised prior to award, a clause reflecting the policy current at time of 
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936 award may be incorporated into the award.

937

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

939 incorporated into the award.

940

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

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

943 975-2887).

944

945 2.04 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid 

946 Federal Tax Assessments and Delinquent Federal Tax Returns

947

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

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

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

951 federal tax returns.

952

953 3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENT

954

955 3.01 Phase II Application Requirements

956

957 Only FY 2019 NIST SBIR Phase I awardees are eligible to submit FY 2020 Phase II 

958 applications in response to this NOFO. Phase I applications are not being accepted 

959 under this NOFO. 

960

961 The application must provide sufficient information to demonstrate that the proposed 

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

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

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

965 described in Section 9 or a NIST-patented technology available for licensing. The research 

966 must be directed towards development of a commercial product or service in the NIST 

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

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

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

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

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

972

973 The application must serve as the basis for technological innovation and lead to a new 
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974 commercial product, process, or service that benefits the public.

975

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

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

978 the administrative procedures as outlined in the applicable Screening Criteria in Section 

979 4.02, or is missing any of the required forms and documents listed in Section 8.01.

980

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

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

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

984 product or service for which an SBIR award is made.

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

986 conducted under each Phase II award.

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

988 further the research and development conducted under each Phase II award.

989 • Updated information in the SBA Tech-Net database on sbir.gov for any prior award 

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

991 information relating to more than one Phase II award among those awards, if it 

992 notes the apportionment for each award.

993

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

995 database upon completion of the last program objective under the funding agreement and 

996 is requested to voluntarily update the information in the database annually thereafter for a 

997 minimum period of 5 years.

998

999 3.02 Phase II Application

1000

1001 A complete application must include a Technical Proposal (described below) and all other 

1002 forms and documents listed in Section 8.01. 

1003

1004 The Cover Sheet and Technical Content portion of the Technical Proposal, is limited to 15 

1005 pages. Additional pages beyond the 15-page limit will not be considered in the evaluation 

1006 process. Pages should be of standard size (8 1/2” x 11”; 21.6 cm x 27.9 cm) with margins of 

1007 2.5 cm and type at least 10-point font. All units of measurement should be presented in 

1008 metric units.

1009

1010 The Technical Proposal portion of the application requires the following:

1011 (a) Cover Sheet (3.02.01) pages 1 and 2,
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1012 (b) Technical Content (3.02.02) pages 3 through 15,

1013 (c) Commercialization Plan (3.02.03), and

1014 (d) Phase I Final Report (3.02.04).

1015

1016 The listing of all forms and documents needed to complete the application is given in 

1017 Section 8.01 of this NOFO. The additional required forms and documents in Section 8.01 

1018 are not included in the 15-page count.

1019

1020 See Section 6.0 for information on the submission of applications in response to this NOFO.

1021

1022 3.02.01 Cover Sheet

1023

1024 A completed Cover Sheet (see Appendix A of this NOFO) is a required part of the Technical 

1025 Proposal. The Cover Sheet is counted as pages 1 and 2 of the Technical Proposal.

1026

1027 If an applicant checks ‘Yes’ on #11, the applicant’s contact information will be provided to 

1028 the NIST Hollings Manufacturing Extension Partnership (MEP). Such applicants may be 

1029 contacted by your local MEP Center to explore a wide range of services and initiatives to 

1030 help identify potential opportunities to accelerate and strengthen growth and 

1031 competitiveness in the global marketplace for small and medium-sized manufacturers, 

1032 including business-related support services that could potentially benefit the applicant’s 

1033 proposed project.

1034

1035 The applicant must provide in the space available on the Cover Sheet an abstract (limited to 

1036 200 words) and summary of potential commercial application of the research results 

1037 (limited to 100 words). Each applicant’s abstract and summary of potential commercial 

1038 applications will be provided to the SBA and should not contain proprietary information.

1039 Each awardee’s abstract and summary of potential commercial applications will be 

1040 published on the NIST SBIR website (www.nist.gov/tpo/small-business-innovation-research1041 program) and www.sbir.gov.

1042

1043 3.02.02 Technical Content

1044

1045 Beginning on page 3 of the Technical Proposal, include the following items with headings as 

1046 shown:

1047

1048 (1) Identification and Significance of the Problem or Opportunity. Make a clearstatement 

1049 of the specific research problem or opportunity addressed, its innovativeness, commercial 

1050 potential, and why the research is important. Explain how it applies to the specific 
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1051 research area in Section 9 that was utilized in Phase I.

1052

1053 (2) Phase II Technical Objectives. State the specific objectives of the Phase II effort,including

1054 the technical questions it will try to answer, to determine the feasibility of the proposed 

1055 approach.

1056

1057 (3) Phase II Work Plan. Include a detailed description of the Phase II feasibility research 

1058 plan. The plan should indicate what will be done, where it will be done, and how the 

1059 research will be carried out. The method(s) planned to achieve each objective or task 

1060 should be discussed in detail.

1061

1062 (4) Related R/R&D. Describe significant R/R&D that is directly related to the application, 

1063 including any conducted by the principal investigator or by the proposing SBC. Describe how 

1064 it relates to the proposed effort and describe any planned coordination with outside 

1065 sources. The applicant must persuade evaluators of his or her awareness of key, recent 

1066 R/R&D conducted by others in the specific topic area.

1067

1068 (5) Key Individuals and Bibliography of Related Work. Identify key individuals involved in 

1069 Phase II, including their related education, experience, and publications. Where vitae are 

1070 extensive, summaries that focus on the most relevant experience and publications are 

1071 desired and may be necessary to meet application size limitations.

1072

1073 (6) Relationship with Future R/R&D. Discuss the significance of the Phase II effort in 

1074 providing a foundation for a Phase III R/R&D effort. Also state the anticipated commercial 

1075 results of the proposed approach.

1076

1077 (7) Facilities and Equipment. A description, availability, and location of 

1078 instrumentation and physical facilities proposed for Phase II should be

1079 provided.

1080

1081 (8) Consultants, Contracts, and Subawards. The purpose of this section is to show that any 

1082 third-party research assistance would materially benefit the proposed effort and that 

1083 arrangements for such assistance are in place at time of application submission.

1084

1085 For Phase II, a minimum of one-half of the research and/or analytical effort must be 

1086 performed by the awardee. Outside involvement in the project is encouraged where it 

1087 strengthens the conduct of the research. Outside involvement is not a requirement of this 

1088 program and is limited to no more than one-half of the research and/or analytical effort in 
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1089 Phase II. The total cost for all consultant fees, facility leases, usage fees, and other 

1090 subcontract/subaward or purchase agreements, excluding funds requested for TABA – see 

1091 Section 5.11, may not exceed one-half of the total award.

1092

1093 No individual or entity may serve as consultant, contractor, or subrecipient if they have 

1094 been the recipient of any NIST information related to the research area that is not generally 

1095 available to the public.

1096

1097 The applicant must also include Letters of Commitment from any participating consultants, 

1098 subrecipients, or subcontractors. The Letters of Commitment are separate from the 

1099 Technical Proposal and do not count against the page limit. See Section 8.01.16.

1100

1101 (9) Cooperative Research and Development Agreements (CRADA). State if the applicant is 

1102 a former or current CRADA partner with NIST, or with any other Federal agency, naming the 

1103 agency, title of the CRADA, and any relationship with the proposed work. The statement of 

1104 work of an SBIR award awarded under this NOFO cannot overlap with the statement of 

1105 work of an existing CRADA with any federal agency, including NIST. NIST will consider 

1106 whether there is any overlap on a case by case basis.

1107

1108 (10) Guest Researcher. State if the applicant or any of its consultants, contractors, or 

1109 subrecipients or their employees is a domestic or foreign guest researcher at NIST (see

1110 http://www.nist.gov/tpo/collaborations/guestresearchers.cfm), naming the sponsoring 

1111 laboratory.

1112

1113 (11) Cost Sharing. Cost sharing is not required and is not considered during theevaluation 

1114 process for Phase II applications.

1115

1116 (12) Similar Applications or Awards. WARNING -- While it is permissible to submit identical 

1117 applications or applications containing a significant amount of essentially equivalent work 

1118 for consideration under numerous Federal program funding announcements, it is unlawful 

1119 to enter into a funding agreement requiring essentially equivalent work to an SBIR award 

1120 (see 15 U.S.C. § 638(bb)(3)). If there is any question concerning this, it must be disclosed to 

1121 the soliciting agency or agencies before award.

1122

1123 If an application submitted in response to this NOFO is substantially the same as another 

1124 application that has been funded, is now being funded, or is pending with another Federal 

1125 Agency, the applicant must provide the following information:

1126

1127 (a) Names and addresses of agencies to which an application was submitted or from which 
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1128 an award was received.

1129

1130 (b) Date of application submission or date of award.

1131

1132 (c) Title, number, and date of NOFO(s) under which an application was submitted or award

1133 received.

1134

1135 (d) Specific applicable research topic(s) for each application submitted or award received.

1136

1137 (e) Title of research projects for each application submitted or award received.

1138

1139 (f) Name and title of principal investigator or project manager for each application 

1140 submitted or award received.

1141

1142 If no equivalent application is under consideration or award for equivalent work received, a 

1143 statement to that effect must be included in this section of the technical content area of the 

1144 application.

1145

1146

1147 3.02.03 Commercialization Plan 

1148 Attach a copy of your commercialization plan that follows the guidelines below. 

1149

1150 An important criterion for selection of NIST Phase II awards is the potential for commercial 

1151 applications of the research, as evidenced by one or more of the following: 

1152

1153 • The SBC’s record of commercializing SBIR and other research; 

1154

1155 • The existence of Phase III follow-on funding commitments from the private sector or non1156 SBIR Government funding sources; and 

1157

1158 • Other indicators of the concept’s commercial potential. 

1159

1160 There are no page limits (upper or lower) for the commercialization plan because each 

1161 project is distinct and each company's vision for deploying its technology into the 

1162 marketplace is unique. 

1163

1164 The commercialization plan should provide information directly related to bringing the 

1165 anticipated research results to market. For more information on preparing a 

1166 commercialization plan, please visit the Small Business Administration website, Writing a 
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1167 Business Plan: http://www.sba.gov/category/navigation-structure/starting-managing1168 business/starting-business/how-write-business-plan. The commercialization plan should 

1169 indicate how the Phase II research results are to be carried out in Phase III and should 

1170 address the following areas: 

1171

1172 Company Information – Focused objectives/core competencies; specialization area(s); 

1173 products with significant sales, and history of previous Federal and nonfederal funding, 

1174 regulatory experience, and subsequent commercialization. 

1175

1176 Commercial Applications - A clear description of the product/service/process you plan on 

1177 providing as a result of your Phase II research and the potential commercial application or 

1178 use. 

1179

1180 Customers and Competition – Clear description of key technology objectives, current 

1181 competition, and advantages compared to competing products or services; description of 

1182 hurdles to acceptance of the innovation. 

1183

1184 Market – Milestones, target dates, analyses of market size, and estimated market share 

1185 after first year sales and after 5 years, explanation of plan to obtain market share 

1186

1187 Intellectual Property – Patent status, technology lead, trade secrets or other demonstration 

1188 of a plan to achieve sufficient protection to realize the commercialization state and attain at 

1189 least a temporal competitive advantage. 

1190

1191 Financing – Plans for securing necessary funding in Phase III.

1192

1193 Assistance and Mentoring - Plans for securing needed technical or business assistance 

1194 through mentoring, partnering, or through arrangements with state assistance programs, 

1195 Small Business Development Centers (SBDCs), Hollings Manufacturing Extension Partnership 

1196 Centers, or other assistance providers. 

1197

1198 Each SBC applying for a Phase II award is required to update its Commercialization 

1199 information on www.SBIR.gov for all of its prior Phase II awards.

1200

1201 3.02.04 Phase I Final Report 

1202

1203 Attach a copy of your Phase I Final Report. The Phase I Final Report does not count toward 

1204 the Technical Proposal 15 page limit.

1205
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1206

1207 4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

1208

1209 4.01 Introduction

1210

1211 All applications will be evaluated and judged on a competitive basis. Applications will be 

1212 initially screened to determine eligibility, completeness, and responsiveness to this NOFO 

1213 (see Sections 4.02 and 8.01). Applications passing the initial screening will be evaluated in 

1214 accordance with the evaluation criteria (see Section 4.03). Each application will be judged 

1215 on its own merit.

1216

1217 NIST is under no obligation to fund any application or any specific number of applications in 

1218 a given topic. NIST may elect to fund several or none of the applications for the same 

1219 research area. If an application is submitted that requires a license to use a NIST-owned 

1220 invention covered by a patent or patent application and such NIST-owned invention has 

1221 become unavailable for licensing prior to the close of this NOFO in the field of use relevant 

1222 to the application, NIST has the sole discretion to deem the application ineligible.

1223

1224 4.02 Phase II Screening Criteria

1225

1226 Please carefully read the entire NOFO and review the following Phase II Screening Criteria to

1227 assure that your application meets NIST requirements. Phase II applications that do not 

1228 clearly satisfy all seven (7I) of the screening criteria will be eliminated from the review 

1229 and selection process and not receive further consideration. However, NIST, in its sole 

1230 discretion, may continue the review process for an application that is missing minor non1231 substantive information, the absence of which may easily be rectified.

1232

1233 The screening criteria are:

1234

1235 (1) The application must be received by NIST before the deadline specified in Section 6.01.

1236

1237 (2) The proposing firm must qualify as eligible according to the criteria provided in Section 

1238 1.03.

1239

1240 (3) The Phase II application must include all required forms and documents listed in 

1241 Section 8.01:

1242

1243 i) SF-424 (R&R), Application for Federal Assistance
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1244 ii) Research and Related Budget

1245 iii) SF-424B, Assurances – Non-Construction Programs, (if applicable)

1246 iv) CD-511, Certification Regarding Lobbying

1247 v) Research and Related Other Project Information

1248 vi) SF-LLL – Disclosure of Lobbying Activities (if applicable)

1249 vii) Technical Content – see Section 3.02

1250 a. Cover Sheet – see Section 3.02.01

1251 b. Technical Proposal – see Section 3.02.02

1252 c. Commercialization Plan – see Section 3.02.03

1253 d. Phase I Final Report – see Section 3.02.04

1254 viii) Budget Narrative and Justification – see Section 8.01.8

1255 ix) Indirect Cost Rate Agreement – see Section 8.01.9

1256 x) SBA Company Registry Form – see Section 8.01.10

1257 xi) Data Management Plan -see Section 8.01.11

1258 xii) Subaward Budget Form - see Section 8.01.12

1259 xiii) Research and Related Personal Data – see Section 8.01.13

1260 xiv) Current and Pending Support Form – see Section 8.01..14

1261 xv) Compliance with SBIR Program Requirements, Applicant Fraud Awareness Training -

1262 Certificate of Training Completion – see Section 8.01.15

1263 xvi) Letters of Commitment – see Section 8.01.16

1264

1265 (4) The Cover Sheet and Technical Proposal portions of the Technical Content must not 

1266 exceed 15 pages.

1267

1268 (5) The Phase II total proposed project budget must not exceed $400,000. Up to $50,000 

1269 of the award may be requested for TABA. For Phase II, a minimum of one-half of the 

1270 research and/or analytical effort must be performed by the awardee. The total cost for all 

1271 consultant fees, facility leases, usage fees, and other subcontract/subaward or purchase 

1272 agreements, excluding funds requested for TABA – see Section 5.11, may not exceed one1273 half of the total award (Section 1.03).

1274

1275 (6) The duration of R/R&D for the Phase II project must not exceed 24 months.

1276

1277 (7)If an application is submitted that requires a license to use a NIST-owned invention

1278 covered by a patent or patent application, the relevant NIST-owned invention must be 

1279 available for licensing prior to the close of this NOFO in the field of use relevant to the 

1280 application.

1281

1282
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1283 4.03 Phase II Evaluation Criteria

1284 Phase II applications that satisfy the screening criteria in Section 4.02 will proceed to 

1285 a scored merit review process.

1286

1287 Merit Review. The applications will be evaluated by at least three (3) reviewers

1288 composed of NIST staff or non-federal personnel in accordance with the 

1289 following equally-weighted criteria for a maximum of 100 points. Reviewers 

1290 may discuss the applications with each other, but scores will be determined on 

1291 an individual basis. The reviewers will evaluate:

1292

1293 (1) The soundness of the technical approach to the proposed research. 

1294

1295 (2) The likelihood the proposed effort will yield significant results leading to a product within 

1296 the technical area as described in the commercialization plan. 

1297

1298 (3) The likelihood the proposed approach will contribute to the field of study in the technical 

1299 area. 

1300

1301 (4) Qualifications of the proposed principal/key investigators, supporting staff, 

1302 and consultants as they relate to accomplishing the proposed research effort.

1303

1304 Applicants should be specific and clear when writing their applications and not 

1305 assume information not clearly spelled out can be inferred by the reviewer. No 

1306 technical clarifications may be made after application submission.

1307

1308

1309 4.04 Phase II Award Selections

1310

1311 Final selection decisions will be made by the Selecting Official, the Director of the NIST 

1312 Technology Partnerships Office, or designee, considering the following selection factors:

1313

1314 (1) Scores and comments provided by the Merit reviewers;

1315 (2) Diversity across NIST program areas;

1316 (3) Proposed projects that include SBIR high priority areas of manufacturing and energy 

1317 efficiency research;

1318 (4) Proposed projects that include participation by women and socially and economically 

1319 disadvantaged SBCs, and SBCs from HUBZones or underserved-states;

1320 (5) Possible duplication of other federally-funded research; and

1321 (6) Availability of funding.
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1322

1323 NIST may select some, all, or none of the applications, or part(s) of any particular 

1324 application. Prior to issuing an award, NIST may ask for supplemental information and may 

1325 negotiate the scope and amount of the award. The final approval of selected applications 

1326 and issuance of awards will be by the NIST Grants Officer. The award decisions of the NIST 

1327 Grants Officer are final.

1328

1329 4.04.01 Federal Awarding Agency Review of Risk Posed by Applicants

1330

1331 After applications are proposed for funding by the selecting official, the NIST Grants 

1332 Management Division (GMD) performs administrative reviews, which may include a review 

1333 of the financial stability of an applicant, the quality of the applicant’s management systems, 

1334 the history of performance, and/or the applicant’s ability to effectively implement 

1335 statutory, regulatory, or other requirements imposed on non-Federal entities. Upon review 

1336 of these factors, if appropriate, specific conditions that correspond to the degree of risk 

1337 may be applied to an award.

1338

1339 Upon completion of the pre-award risk assessment, the Grants Officer will make a 

1340 responsibility determination concerning whether the applicant is qualified to receive the

1341 subject award and, if so, whether appropriate specific conditions that correspond to 

1342 the degree of risk posed by the applicant should be applied to an award.

1343

1344 4.04.02 Release of Proposal Review Information

1345

1346 After final award decisions have been announced, the merit evaluations of applications that 

1347 passed the screening criteria will be provided to the applicant with written notification of 

1348 award/non-award. The identity of the reviewers will not be disclosed.

1349

1350 5.0 CONSIDERATIONS

1351

1352 5.01 Awards

1353

1354 Through 2 C.F.R. § 1327.101, the Department of Commerce adopted Uniform 

1355 Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

1356 Awards at 2 C.F.R. Part 200, which apply to awards in this program. Refer to 

1357 http://go.usa.gov/SBYh and http://go.usa.gov/SBg4.

1358

1359 The Department of Commerce will apply to all awards made under this NOFO the Financial 

1360 Assistance Standard Terms and Conditions in effect on the date of award. The current 
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1361 version, dated April 30, 2019, is accessible at 

1362 http://www.osec.doc.gov/oam/grants_management/policy/default.htm.

1363

1364 The Department of Commerce Pre-Award Notification Requirements for Grants and 

1365 Cooperative Agreements, 79 FR 78390 (December 30, 2014), are applicable to this NOFO 

1366 and are available at http://go.usa.gov/hKkR.

1367

1368 Contingent upon availability of funds, NIST anticipates making a total number of 

1369 approximately eight (8) Phase II awards with a project budget of no more than

1370 $400,000 each. Up to $50,000 of the award may be included in each application for TABA. 

1371 The total performance period shall be no more than 24 months beginning on the 

1372 agreement start date. A period of one (1) month is allotted after the 24 month R&D 

1373 duration for the awardee to prepare and submit a final report. One year after completing 

1374 the R&D activity, the awardee shall be required to report on its commercialization 

1375 activities. 

1376

1377 The funding vehicles for NIST’s SBIR program in both Phase I and Phase II are 

1378 cooperative agreements.

1379

1380 To provide for an in-depth review of the Phase I final report and the Phase II application, 

1381 Phase II awards will be made approximately 4 months after the completion of Phase I, 

1382 contingent upon availability of funds.

1383

1384 In no event will NIST or the Department of Commerce be responsible for application 

1385 preparation costs. This NOFO does not obligate NIST or the Department of Commerce to 

1386 make any awards under either Phase I or Phase II. Furthermore, NIST will not fund any costs 

1387 incurred by the applicants before awards are made. Publication of this NOFO does not 

1388 oblige NIST or the Department of Commerce to award any specific project or to obligate any 

1389 available funds.

1390

1391 5.02 Reporting Requirements

1392

1393 Phase II awardees will be required to submit Research Performance Progress Reports

1394 (RPPR) including a final report. RPPRs are generally due 30 days after the end of the 6th, 

1395 12th, 18th, and 24th month of the period of performance.

1396

1397 The RPPR should include a response to each of the metric questions that address the

1398 technical details regarding the research conducted up to that point in the project, detailed 

1399 plans for the next stages of the project, results obtained, estimates of technical feasibility, a 
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1400 description of TABA services provided, and the benefits and results of TABA services 

1401 provided for those awardees who requested and were approved for TABA services. 

1402 Consideration will be given to changes from the solicited and proposed milestones if results 

1403 from experimentation warrant a deviation from the plan. Inclusion of proprietary 

1404 information within the RPPRs may be necessary in order to effectively communicate 

1405 progress and gain appropriate consultation from NIST experts regarding next steps. All such 

1406 proprietary information must be marked by the awardee according to instructions provided 

1407 in Section 5.04.02.(d)(1).

1408

1409 A commercialization report is due 12 months after the end of the period of performance. 

1410 The commercialization report must include an abstract appropriate for posting on the NIST 

1411 SBIR website. To help assess the effectiveness of our program in meeting programmatic 

1412 and SBIR objectives, NIST may periodically request information from small businesses about 

1413 progress taken towards commercialization of the technology after the completion of Phase 

1414 I and II awards.

1415

1416 5.03 Payment Schedule

1417

1418 Cooperative agreements will include an award term with electronic payment system 

1419 information. Pursuant to 2 C.F.R. § 200.305 awardees are to be paid in advance, provided 

1420 they maintain or demonstrate the willingness to maintain: written procedures that 

1421 minimize the time elapsing between the transfer of funds and disbursement by the 

1422 recipient, and financial management systems that meet the standards for fund control and 

1423 accountability as established in 2 C.F.R. § 200.302. Advances of funds to a recipient 

1424 organization shall be limited to the minimum amounts needed and be timed to be in 

1425 accordance with the actual, immediate cash requirements of the recipient organization in 

1426 carrying out the purpose of the approved program or project.

1427

1428 The Department of Commerce policy requires that in the usual case, non-Federal entities 

1429 time advance payment requests so that Federal funds are on hand for a maximum of three 

1430 calendar days before being disbursed by the non-Federal entity for eligible award costs. In 

1431 no case should advances exceed the amount of cash required for a 30-day period.

1432

1433 5.04 Innovations, Inventions and Patents

1434

1435 5.04.01 Proprietary Information Contained in Proposals

1436

1437 Information contained in unsuccessful applications will remain the property of the applicant. 

1438 The Federal Government may, however, retain copies of all applications. Public release of 
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1439 information in any application submitted will be subject to existing statutory and regulatory 

1440 requirements. Applicants are discouraged from submitting proprietary information unless 

1441 the information is deemed essential for proper evaluation of the application. If proprietary 

1442 information provided by an applicant in a proposal, which constitutes a trade secret, 

1443 proprietary commercial or financial information, confidential personal information, or data 

1444 affecting national security, it will be treated in confidence to the extent permitted by law, 

1445 provided that the proposal is clearly marked by the applicant as follows:

1446

1447 (A) The following legend must appear on the title page of the proposal:

1448

1449 This proposal contains information that shall not be disclosed outside the Federal 

1450 Government and shall not be duplicated, used, or disclosed in whole or in part for any 

1451 purpose other than evaluation of this proposal, unless authorized by law. The Government 

1452 shall have the right to duplicate, use, or disclose the data to the extent provided in the 

1453 resulting award if award is made as a result of the submission of this proposal. The 

1454 information subject to these restrictions are contained on all pages of the proposal except 

1455 for pages [insert page number or other identification of pages that contain no restricted 

1456 information.]

1457

1458 (End of Legend); and

1459

1460 (B) The following legend must appear on each page of the proposal that contains information 

1461 the applicant wishes to protect:

1462

1463 Use or disclosure of information contained on this sheet is subject to the restriction on the 

1464 title page of this proposal.

1465

1466 The use of any other legend is unacceptable to the Government and may constitute grounds 

1467 for removing the application from further consideration without assuming any liability for 

1468 inadvertent disclosure.

1469

1470 5.04.02 Rights in Data Developed Under SBIR Funding Agreements

1471

1472 In lieu of the Department of Commerce Financial Assistance Standard Terms and

1473 Conditions, Section C.03, Intellectual Property Rights, the following terms and conditions 

1474 will apply to and be included in all SBIR awards issued under this NOFO:

1475

1476 (a) Definitions. All definitions below are excerpted from the SBA SBIR/STTR Policy 

1477 Directive, available at https://www.sbir.gov/sites/default/files/SBIR-
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1478 STTR_Policy_Directive_2019.pdf. 

1479

1480 (1) Computer Database. A collection of data recorded in a form capable of being processed by a 

1481 computer. The term does not include Computer Software.

1482

1483 (2) Computer Programs. A set of instructions, rules, or routines recorded in a form that is capable of 

1484 causing a computer to perform a specific operation or series of operations.

1485

1486 (3) Computer Software. Computer programs, source code, source code listings, object code listings, 

1487 design details, algorithms, processes, flow charts, formulae, and related material that would enable 

1488 the software to be reproduced, recreated, or recompiled. Computer Software does not include 

1489 Computer Databases or Computer Software Documentation. 

1490

1491 (4) Computer Software Documentation. Owner's manuals, user's manuals, installation instructions, 

1492 operating instructions, and other similar items, regardless of storage medium, that explain the 

1493 capabilities of the Computer Software or provide instructions for using the software.

1494

1495 (5) Data. All recorded information, regardless of the form or method of recording or the 

1496 media on which it may be recorded. The term does not include information incidental 

1497 to contract or grant administration, such as financial, administrative, cost or pricing or 

1498 management information. 

1499

1500 (6) Form, Fit, and Function Data. Data relating to items, components, or processes that 

1501 are sufficient to enable physical and functional interchangeability, and data identifying 

1502 source, size, configuration, mating and attachment characteristics, functional 

1503 characteristics, and performance requirements. For Computer Software it means data 

1504 identifying source, functional characteristics, and performance requirements, but 

1505 specifically excludes the source code, algorithms, processes, formulas, and flow charts 

1506 of the software.

1507

1508 (7) Government Purpose. Any activity in which the United States Government is a party, 

1509 including cooperative agreements with international or multi-national defense 

1510 organizations or sales or transfers by the United States Government to foreign 

1511 governments or international organizations. Government Purposes include competitive 

1512 procurement, but do not include the rights to use, modify, reproduce, release, perform, 

1513 display, or disclose Technical Data or Computer Software for commercial purposes or 

1514 authorize others to do so. 

1515

1516 (8) Operations, Maintenance, Installation, or Training Purposes (OMIT) Data. Data that 

1517 is necessary for operation, maintenance, installation, or training purposes (but not 
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FY 2020 NIST Small Business Innovation Research Program Phase II

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1518 including detailed manufacturing or process data). 

1519

1520 (9) SBIR/STTR Computer Software Rights. The Federal Government’s rights during the 

1521 SBIR/STTR Protection Period in specific types of SBIR/STTR Data that are Computer 

1522 Software. 

1523

1524 (1) The Federal Government may use, modify, reproduce, release, perform, display, or 

1525 disclose SBIR/STTR Data that are Computer Software within the Government. The 

1526 Federal Government may exercise SBIR/STTR Computer Software Rights within the 

1527 Government for: 

1528

1529 (i) Use in Federal Government computers; 

1530

1531 (ii) Modification, adaptation, or combination with other Computer Software, 

1532 provided that the Data incorporated into any derivative software are subject to the 

1533 rights in § 3(ee) of the SBIR/STTR Policy Directive and that the derivative software is 

1534 marked as containing SBIR/STTR Data; 

1535

1536 (iii) Archive or backup; or 

1537

1538 (iv) Distribution of a computer program to another Federal agency, without further 

1539 permission of the Awardee, if the Awardee is notified of the distribution and the 

1540 identity of the recipient prior to the distribution, and a copy of the SBIR/STTR 

1541 Computer Software Rights included in the Funding Agreement is provided to the 

1542 recipient. 

1543

1544 (2) The Federal Government shall not release, disclose, or permit access to 

1545 SBIR/STTR Data that is Computer Software for commercial, manufacturing, or 

1546 procurement purposes without the written permission of the Awardee. The Federal 

1547 Government shall not release, disclose, or permit access to SBIR/STTR Data outside 

1548 the Government without the written permission of the Awardee unless: 

1549

1550 (i) The non-Governmental entity has entered into a non-disclosure agreement 

1551 with the Government that complies with the terms for such agreements 

1552 outlined in § 8 of the SBIR/STTR Policy Directive; and 

1553

1554 (ii) The release or disclosure is—

1555

1556 (A) To a Federal Government support service contractor or their subcontractor 
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1557 for purposes of supporting Government internal use or activities, including 

1558 evaluation, diagnosis and correction of deficiencies, and adaptation, 

1559 combination, or integration with other Computer Software provided that 

1560 SBIR/STTR Data incorporated into any derivative software are subject to the 

1561 rights in § 3(ee) of the SBIR/STTR Policy Directive; or 

1562

1563 (B) Necessary to support certain narrowly-tailored essential Government 

1564 activities for which law or regulation permits access of a non-Government entity 

1565 to a contractors’ data developed exclusively at private expense, non-SBIR/STTR 

1566 Data, such as for emergency repair and overhaul. 

1567

1568 (10) SBIR/STTR Data. All Data developed or generated in the performance of an SBIR 

1569 or STTR award, including Technical Data and Computer Software developed or 

1570 generated in the performance of an SBIR or STTR award. The term does not include 

1571 information incidental to contract or grant administration, such as financial, 

1572 administrative, cost or pricing or management information. 

1573

1574 (11) SBIR/STTR Data Rights. The Federal Government’s license rights in properly 

1575 marked SBIR/STTR Data during the SBIR/STTR Protection Period are as follows: 

1576 SBIR/STTR Technical Data Rights in SBIR/STTR Data that are Technical Data or any 

1577 other type of Data other than Computer Software; and SBIR/STTR Computer 

1578 Software Rights in SBIR/STTR Data that is Computer Software. Upon expiration of 

1579 the protection period for SBIR/STTR Data, the Federal Government has a royalty 

1580 free license to use, and to authorize others to use on its behalf, these data for 

1581 Government Purposes, and is relieved of all disclosure prohibitions and assumes no 

1582 liability for unauthorized use of these data by third parties, except that any such 

1583 data that is also protected under a subsequent SBIR/STTR award shall remain 

1584 protected through the protection period of that subsequent award. The Federal 

1585 Government receives Unlimited Rights in Form Fit, and Function Data, OMIT Data, 

1586 and all unmarked SBIR/STTR Data. 

1587

1588 (12) SBIR/STTR Protection Period. The period of time during which the Federal 

1589 Government is obligated to protect SBIR/STTR Data against unauthorized use and 

1590 disclosure in accordance with SBIR/STTR Data Rights. The SBIR/STTR Protection 

1591 Period begins at award of an SBIR/STTR Funding Agreement and ends not less than 

1592 twenty years from that date (See § 8(b)(4) of the SBIR/STTR Policy Directive). 

1593

1594 (13) SBIR/STTR Technical Data Rights. The Federal Government’s rights during the 

1595 SBIR/STTR Protection Period in SBIR/STTR Data that are Technical Data or any other 
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1596 type of Data other than Computer Software. 

1597

1598 (1) The Federal Government may, use, modify, reproduce, perform, display, 

1599 release, or disclose SBIR/STTR Data that are Technical Data within the 

1600 Government; however, the Government shall not use, release, or disclose the 

1601 data for procurement, manufacturing, or commercial purposes; or release or 

1602 disclose the SBIR/STTR Data outside the Government except as permitted by 

1603 paragraph (B) below or by written permission of the Awardee. 

1604

1605 (2) SBIR/STTR Data that are Technical Data may be released outside the 

1606 Federal Government without any additional written permission of the 

1607 Awardee only if the non-Governmental entity or foreign government has 

1608 entered into a non-disclosure agreement with the Federal Government that 

1609 complies with the terms for such agreements outlined in § 8 of the SBIR/STTR 

1610 Policy Directive and the release is: 

1611

1612 (i) Necessary to support certain narrowly-tailored essential Government 

1613 activities for which law or regulation permits access of a non-Government 

1614 entity to a contractors’ data developed exclusively at private expense, non1615 SBIR/STTR Data, such as for emergency repair and overhaul; 

1616

1617 (ii) To a Government support services contractor in the performance of a 

1618 Government support services contract for internal Government use or 

1619 activities, including evaluation, diagnosis or modification, provided that 

1620 SBIR/STTR Technical Data incorporated into any derivative Data are subject to 

1621 the rights in § 3(ii) of the SBIR/STTR Policy Directive, and the release is not for 

1622 commercial purposes or manufacture; 

1623

1624 (iii) To a foreign government for purposes of information and evaluation if 

1625 required to serve the interests of the U.S. Government; or 

1626

1627 (iv) To non-Government entities or individuals for purposes of evaluation. 

1628

1629 (14) Technical Data. Recorded information, regardless of the form or method of the 

1630 recording, of a scientific or technical nature (including Computer Software 

1631 Documentation and Computer Databases). The term does not include Computer 

1632 Software or financial, administrative, cost or pricing, or management information, or 

1633 other data incidental to contract or grant administration. The term includes recorded 

1634 Data of a scientific or technical nature that is included in Computer Databases. 
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1635

1636 (15) Unlimited Rights. The Government’s rights to access, use, modify, prepare 

1637 derivative works, reproduce, release, perform, display, disclose, or distribute Data in 

1638 whole or in part, in any manner and for any purpose whatsoever, and to have or 

1639 authorize others to do so. 

1640

1641 (b) Allocation of SBIR/STTR Data Rights. 

1642

1643 (1) An SBC retains ownership of all SBIR/STTR Data it develops or generates in the 

1644 performance of an SBIR/STTR award. The SBC retains all rights in SBIR/STTR Data that 

1645 are not granted to the Federal Government in accordance with the SBIR/STTR Policy 

1646 Directive. These rights of the SBC do not expire. 

1647

1648 (2) During the SBIR/STTR Protection Period, the Federal Government receives 

1649 SBIR/STTR Technical Data Rights in appropriately marked SBIR/STTR Data that is 

1650 Technical Data or any other type of Data other than Computer Software; and 

1651 SBIR/STTR Computer Software Rights in appropriately marked SBIR/STTR Data that is 

1652 Computer Software.

1653

1654 (3) After the protection period, the Federal Government may use, and authorize 

1655 others to use on its behalf, for Government Purposes, SBIR/STTR Data that was 

1656 protected during the SBIR/STTR Protection Period. Awards issued by the U.S. 

1657 Department of Energy are subject to Unlimited Rights after the expiration of the 

1658 SBIR/STTR Protection Period. 

1659

1660 (4) The Federal Government receives Unlimited Rights in Form Fit, and Function Data, 

1661 OMIT Data, and all unmarked SBIR/STTR Data.

1662

1663 (c) Identification and Delivery of SBIR/STTR Data. Any SBIR/STTR Data delivered by the 

1664 Awardee, and in which the Awardee intends to limit the Federal Government’s rights to 

1665 SBIR/STTR Data Rights, must be delivered with restrictive markings. The Federal 

1666 Government assumes no liability for the access, use, modification, reproduction, release, 

1667 performance, display, disclosure, or distribution of SBIR/STTR Data without markings. 

1668 The Awardee or its subcontractors or suppliers shall conspicuously and legibly mark all 

1669 such SBIR/STTR Data with the appropriate legend. 

1670

1671 (1) The authorized legend shall be placed on each page of the SBIR/STTR Data. If only 

1672 portions of a page are subject to the asserted restrictions, the SBIR/STTR Awardee 

1673 shall identify the restricted portions (e.g., by circling or underscoring with a note or 
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FY 2020 NIST Small Business Innovation Research Program Phase II

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1674 other appropriate identifier). With respect to SBIR/STTR Data embodied in Computer 

1675 Software, the legend shall be placed on: (1) the printed material or media containing 

1676 the Computer Software; or (2) the transmittal document or storage container. The 

1677 legend shall read as follows: 

1678

1679 “SBIR/STTR DATA RIGHTS

Funding Agreement No.

Award Date

SBIR/STTR Protection Period

SBIR/STTR Awardee

SBIR/STTR Awardee Address

1680

1681 This is SBIR/STTR Data (or is Computer Software or a Prototype that embodies or 

1682 includes SBIR/STTR Data) to which the SBIR/STTR Awardee has SBIR/STTR Data Rights 

1683 and to which the Federal Government has received SBIR/STTR Technical Data Rights 

1684 (or SBIR/STTR Computer Software Rights) during the SBIR/STTR Protection Period and 

1685 rights of use for Government Purposes after the SBIR/STTR Protection Period, as 

1686 those terms are defined in the SBIR/STTR Funding Agreement. Awards issued by the 

1687 U.S. Department of Energy are subject to Unlimited Rights after the SBIR/STTR 

1688 Protection Period, as that term is defined in the SBIR/STTR Funding Agreement. Any 

1689 reproduction of SBIR/STTR Data or portions of such data marked with this legend 

1690 must also reproduce the markings.” 

1691 (End of Legend)

1692

1693 (2) Data submitted without correct or appropriate markings may be corrected within 

1694 6 months from the date the data is delivered. 

1695

1696 (d) Relation to patents. Nothing regarding SBIR/STTR Data Rights in this clause shall imply 

1697 a license to or imply a requirement to license to the Federal Government any patent to a 

1698 Subject Invention (as defined under the Bayh-Dole Act implemented at 37 CFR 401) made 

1699 under an SBIR/STTR award.

1700

1701 (e) Copyright.

1702

1703 (1) Data first produced in the performance of this award.

1704 (i) Except as otherwise specifically provided in this award, the Awardee may assert 

1705 copyright subsisting in any data first produced in the performance of this award.
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1706 (ii) When asserting copyright, the Awardee shall affix the applicable copyright notice 

1707 of 17 U.S.C. § 401 or § 402 and an acknowledgment of Government sponsorship 

1708 (including award number).

1709 (iii) For data other than computer software, the Awardee grants to the Government, 

1710 and others acting on its behalf, a paid-up nonexclusive, irrevocable, worldwide 

1711 license to reproduce, prepare derivative works, distribute copies to the public, and 

1712 perform publicly and display publicly, by or on behalf of the Government. For 

1713 computer software, the Awardee grants to the Government, and others acting on its 

1714 behalf, a paid-up, nonexclusive, irrevocable, worldwide license in such copyrighted 

1715 computer software to reproduce, prepare derivative works, and perform publicly 

1716 and display publicly, by or on behalf of the Government.

1717

1718 (2) Data not first produced in the performance of this award. The Awardee shall not, without 

1719 prior written permission of the Grants Officer, incorporate in data delivered under this award 

1720 any data that are not first produced in the performance of this award unless the Awardee: (i) 

1721 identifies such data; and (ii) grants to the Government, or acquires on its behalf, a license of 

1722 the same scope as set forth in subparagraph (c)(1) of this clause.

1723

1724 (3) Removal of copyright notices. The Government will not remove any copyright notices 

1725 placed on data pursuant to this paragraph (c)) and will include such notices on all 

1726 reproductions of the data.

1727

1728 (End of Clause)

1729

1730

1731 5.04.03 NIST-Owned Inventions

1732 Awardees will not have any automatic rights to make, use or sell products or services 

1733 incorporating NIST-owned inventions. For any SBIR award that requires a license to use a 

1734 NIST-owned invention covered by a patent or patent application, the SBIR awardee will be 

1735 required to contact NIST’s Technology Partnerships Office for a patent license for research 

1736 or for commercial use.

1737

1738 To the extent that such NIST-owned invention is available for licensing and has not 

1739 otherwise been exclusively licensed to another party, the SBIR awardee will be granted a 

1740 non-exclusive research license and will be given the opportunity to negotiate a non1741 exclusive or an exclusive commercialization license to the NIST-owned invention, in 

1742 accordance with the Federal patent licensing regulations, set forth in 37 C.F.R. Part 404.

1743

1744 5.04.04 Patent Rights
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1745

1746 Normally, SBCs may retain worldwide patent rights to any invention developed with 

1747 Federal support. The specific requirements governing the development, reporting, and 

1748 disposition of rights to inventions and patents resulting from Federal awards are described 

1749 in more detail in 37 C.F.R. Part 401, which implements 35 U.S.C. § 202 through 204 and 

1750 includes standard patent rights clauses in 37 C.F.R. § 401.14, which are incorporated by 

1751 reference into all awards.

1752

1753 5.04.05 Invention Reporting

1754

1755 SBIR awardees must report inventions to the NIST SBIR Program Office within 2 months of 

1756 the inventor’s report to the awardee. Inventions must also be reported through the iEdison 

1757 Invention Reporting System at www.iedison.gov.

1758

1759 5.05 Cost Sharing

1760

1761 Cost sharing is permitted for applications under this program NOFO; however, cost sharing 

1762 is not required and will not be considered in evaluation of applications.

1763

1764 5.06 Profit or Fee

1765

1766 A reasonable profit or fee not to exceed 7% of the sum of the direct and indirect costs is 

1767 allowed.

1768

1769 5.07 Joint Ventures or Limited Partnerships

1770

1771 Joint ventures and limited partnerships are eligible provided the entity created qualifies as an

1772 SBC as defined in this NOFO. 

1773

1774 5.08 Research and Analytical Work

1775

1776 For Phase II, a minimum of one-half of the research and/or analytical effort, per Section 

1777 1.03, must be performed by the applicant. The total cost for all consultant fees, facility 

1778 leases, usage fees, and other subcontract/subaward or purchase agreements, excluding 

1779 funds requested for TABA – see Section 5.11, may not exceed one-half of the total award.

1780

1781 5.09 Awardee Commitments

1782

1783 Upon award of a funding agreement, the awardee will be required to make certain legal 
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1784 commitments through acceptance of numerous Specific Award Conditions (SAC) in the 

1785 funding agreement. Awards also will be governed by the Department of Commerce 

1786 Financial Assistance Standard Terms and Conditions (April 30, 2019 or successor version);

1787 the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for 

1788 Federal Awards at 2 C.F.R. Part 200, adopted by the Commerce Department through 2 

1789 C.F.R. § 1327.101; when applicable, 48 C.F.R. Subpart 31.2, Contracts with Commercial 

1790 Organizations; and the Department of Commerce Pre-Award Notification Requirements for 

1791 Grants and Cooperative Agreements, 79 FR 78390 (December 30, 2014).

1792

1793 Section 5.10 describes the types of terms and conditions to which the awardee would 

1794 commit. This list is not a complete list of terms and conditions to be included in Phase I and 

1795 Phase II funding agreements and is not the specific wording of such terms and conditions.

1796

1797 5.10 Summary Statements

1798

1799 The following statements apply to Phase I and Phase II awards and are examples of some of 

1800 the topic areas that will be addressed in the award terms and conditions.

1801

1802 (1) Access to Records. Government officials have the right of timely and unrestrictedaccess 

1803 to records of awardees, including access to personnel for discussion related to the records. 

1804 See 2 C.F.R. § 200.336, available at www.gpo.gov/fdsys/pkg/CFR-2017-title2-vol1/pdf/CFR1805 2017-title2-vol1-sec200-336.pdf.

1806

1807 (2) Termination. Awards may be terminated (a) by the NIST Grants Officer, if an awardee 

1808 materially fails to comply with the terms and conditions of an award, or for cause; (b) by the

1809

1810 NIST Grants Officer with the consent of the awardee, in which case the two parties shall 

1811 agree upon the termination conditions, including the effective date and, in the case of 

1812 partial termination, the portion to be terminated; (c) by the awardee upon sending to the 

1813 NIST Grants Officer written notification setting forth the reasons for such termination, the 

1814 effective date, and, in the case of partial termination, the portion to be terminated. See 2

1815 C.F.R. §§ 200.338-342 available at www.gpo.gov/fdsys/granule/CFR-2014-title2-vol1/CFR1816 2014-title2-vol1-sec200-338.

1817

1818 (3) Non-Discrimination. The awardee will be required to comply with statutory and other 

1819 non-discrimination requirements. No person in the United States shall, on the ground of 

1820 race, color, national origin, handicap, age, religion, or sex, be excluded from participation 

1821 in, be denied the benefits of, or be subject to discrimination under any program or activity 

1822 receiving Federal financial assistance. See Section G.02 of the Department of Commerce 
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1823 Financial Assistance Standard Terms and Conditions (April 30, 2019).

1824

1825 (4) Audit Requirements. Government officials may conduct an audit of an award at any 

1826 time. Unless otherwise specified in the award, for-profit organizations that expend

1827 $750,000 or more in Department of Commerce funds during their fiscal year must have an 

1828 audit conducted for that year in accordance with Section D.01.c of the Department of 

1829 Commerce Financial Assistance Standard Terms and Conditions (April 30, 2019).

1830

1831 (5) Codes of Conduct. Codes of Conduct. Pursuant to the certification in Form SF-424B, 

1832 paragraph 3, the awardee must maintain written standards of conduct to establish 

1833 safeguards to prohibit employees from using their positions for a purpose that constitutes 

1834 or presents the appearance of personal or organizational conflict of interest, or personal 

1835 gain in the administration of the award. See Section F.01 of the Department of Commerce 

1836 Financial Assistance Standard Terms and Conditions (April 30, 2019).

1837

1838 (6) Officials Not To Benefit. No Federal Government official may benefit personally, to 

1839 include financial and/or profession gain, from the SBIR/STTR Funding Agreement.

1840

1841 (7) Duplication of Effort. The funding agreement shall not support the duplication of other 

1842 federally-funded research.

1843

1844 (8) Scheduling and Use of Federal Agency Facilities and Equipment. The Awardee must 

1845 schedule, reserve, and complete usage within the period of performance of the Funding 

1846 Agreement.

1847

1848 5.11 Additional Information

1849

1850 This NOFO reflects current planning. If there is any inconsistency between the information 

1851 contained herein and the terms of any resulting SBIR funding agreement, the terms of the 

1852 funding agreement are controlling. 

1853

1854 Before award of a SBIR funding agreement, the Government may request the applicant to 

1855 submit certain organizational, management, personnel, and financial information to assure 

1856 responsibility of the applicant.

1857

1858 The Government is not responsible for any funds expended by the applicant before award 

1859 of any funding agreement.

1860

1861 This program NOFO is not an offer by the Government and does not obligate the
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1862 Government to make any specific number of awards. Also, awards under the SBIR Program 

1863 are contingent upon the availability of funds.

1864

1865 The SBIR Program is not a substitute for existing unsolicited application mechanisms. 

1866 Unsolicited applications will not be accepted under the SBIR Program in either Phase I or 

1867 Phase II.

1868

1869 If an award is made pursuant to an application submitted under this SBIR Program NOFO, a 

1870 representative of the awardee will be required to certify that the concern has not previously 

1871 been, nor is currently being, paid for essentially equivalent work by any Federal agency.

1872

1873 The responsibility for the performance of the principal investigator, and other 

1874 employees or consultants who carry out the proposed work, including those of 

1875 subrecipients or contractors, lies with the management of the organization receiving an 

1876 award.

1877

1878 NIST is committed to the goal of commercialization of the results of SBIR projects and will 

1879 provide funding for TABA to Phase I and Phase II awardees as authorized by 15 U.S.C. § 

1880 638(q). The NIST TABA program assists in the successful commercialization of products, 

1881 services, or technologies developed in association with the NIST SBIR Program. The NIST 

1882 TABA program provides funding for vendors to guide and mentor awardees in topics such 

1883 as assessing small business commercialization needs; planning, developing, and assisting in 

1884 the preparation of a commercialization plan; and identifying markets and developing entry 

1885 strategies. Allowable services include assistance with product sales, intellectual property 

1886 protections, market research, market validation, and development of regulatory plans and 

1887 manufacturing plans, or access to technical and business literature available through on1888 line databases.

1889

1890 Applicants may propose to use up to $50,000 of Phase II funding for TABA services. 

1891 Funding for TABA counts toward the maximum $400,000 award limit. To include TABA 

1892 services as part of a Phase II award, provide amount and vendor information in the budget 

1893 justification that demonstrates the provider can provide the services needed and include a 

1894 letter of commitment from the provider (see Section 8.01 for additional information). NIST 

1895 may disapprove a proposed TABA provider. TABA requests must be part of the application

1896 submission and may not be requested subsequent to award. Reimbursement is limited to 

1897 services received that comply with 15 U.S.C. § 638(q).

1898

1899 5.12 Technical Assistance for Application Preparation and Project Conduct

1900
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1901 Applicants may wish to contact the NIST Hollings Manufacturing Extension Partnership 

1902 (MEP), a nationwide network of locally managed extension centers whose sole purpose is to 

1903 provide small- and medium-sized manufacturers with the help they need to succeed. The 

1904 centers provide guidance to high-technology companies seeking resources and teaming 

1905 relationships. To be referred to an MEP center for technical assistance, call 1-800-MEP-4-

1906 MFG (1-800-637-4634) or visit MEP‘s website at http://www.nist.gov/mep.

1907

1908 MEP Centers are also prepared to provide referrals to state and local organizations offering 

1909 resources and technical assistance to all NIST SBIR applicants after awards have been 

1910 announced. If you would like your local MEP Center to contact you, please respond

1911 affirmatively to the statement (#11) about MEP on the Cover Sheet.

1912

1913 6.0 SUBMISSION OF APPLICATIONS

1914

1915 6.01 Deadline for Applications

1916

1917 Phase II applications must be received no later than 11:59 p.m. Eastern Time, Tuesday, 

1918 May 26, 2020. Only electronic applications submitted via Grants.gov will be accepted.

1919

1920 Applicants should be aware, and factor in their application submission planning, that 

1921 the Grants.gov system is expected to be closed for routine maintenance at these times:

1922

From 12:01 A.M. Eastern Time

Saturday

To 6:00 A.M. Eastern Time

Monday

April 18, 2020 April 20, 2020

May 16, 2020 May 18, 2020

1923

1924 Applicants are cautioned to be careful of unforeseen delays that can cause late arrival of 

1925 applications, with the result that they will not be forwarded for evaluation.

1926

1927 Applications not received by the specified due date and time, as recorded by Grants.gov, or 

1928 that do not adhere to the other requirements of this NOFO (see Section 4.02 Screening 

1929 Criteria and Section 8.01 Required Forms and Documents) will not be considered.

1930

1931 NIST strongly recommends that applicants do not wait until the last minute to submit an 

1932 application. NIST will not make allowance for any late submissions. To avoid any potential 

1933 processing backlogs due to last minute Grants.gov registrations, applicants are highly 
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1934 encouraged to begin their Grants.gov registration process early. No extensions will be 

1935 granted.

1936

1937 When developing your submission timeline, please keep in mind that (1) all applicants are 

1938 required to have current registrations in the System for Award Management (SAM.gov) and 

1939 Grants.gov; (2) the free annual registration process in the electronic System for Award 

1940 Management (SAM.gov) (see Section 6.03.1.b) of this NOFO) generally takes between three 

1941 and five business days but can take more than two weeks; and (3) applicants will receive a 

1942 series of e-mail messages from Grants.gov over a period of up to two business days before 

1943 learning whether a Federal agency’s electronic system has received its application. Please 

1944 note that a federal assistance award cannot be issued if the designated recipient’s 

1945 registration in the System for Award Management (SAM.gov) is not current at the time of 

1946 the award.

1947

1948 Applicants will find instructions on registering with SAM.gov as part of the Grants.gov 

1949 process at: http://www.grants.gov/web/grants/applicants/organization1950 registration.html.

1951

1952 6.02 Standard Application Package

1953 The standard application package, consisting of the standard forms, i.e., SF-424 (R&R), 

1954 Research & Related Budget, SF- 424B (if applicable), CD-511, Research and Related Other 

1955 Project Information, SF-LLL (if applicable), and Research & Related Subaward Budget is 

1956 available at www.grants.gov. 

1957

1958 Please see Section 8.01 for a complete list of required forms and documents.

1959

1960 6.03 Application Submission

1961

1962 Applications must be submitted electronically through Grants.gov at www.grants.gov. Paper 

1963 applications or applications submitted by other electronic means will not be accepted.

1964 Supplementary material, revisions, substitutions, audio or video tapes, or computer storage 

1965 media or devices will not be accepted. While applicants may not submit replacement pages 

1966 or missing documents once an application has been submitted, an applicant may submit a 

1967 complete, new application including such information by the required deadline. 

1968 Applications are limited to one proposal per SBC. The last application received in 

1969 Grants.gov will be used for evaluation.

1970

1971 (1) Applications must be submitted via Grants.gov at www.grants.gov, under 

1972 announcement 2020-NIST-SBIR-02.
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1973

1974 a) Applicants should carefully follow specific Grants.gov instructions to ensure the 

1975 attachments will be accepted by the Grants.gov system. A receipt from Grants.gov 

1976 indicating an application is received does not provide information about whether 

1977 attachments have been received. For further information or questions regarding the 

1978 electronic application process for the 2020-NIST-SBIR-02 announcement, e-mail at

1979 grants@nist.gov.

1980

1981 b) Applicants are strongly encouraged to start early and not wait until the approaching due

1982 date before logging on and reviewing the instructions for submitting an application through 

1983 Grants.gov. The Grants.gov registration process must be completed before a new registrant 

1984 can apply. If all goes well, the registration process takes three (3) to five (5) business days. If 

1985 problems are encountered, the registration process can take three (3) weeks or more. 

1986 Applicants must have a valid unique entity identifier number and must maintain a current 

1987 registration in the Federal government’s primary registrant database, the System for Award 

1988 Management (https://www.sam.gov/SAM/), as explained on the Grants.gov website. See 

1989 also Section 8.03 of this NOFO. After registering, it may take several days or longer from the 

1990 initial log-on before a new Grants.gov system user can submit an application. Only 

1991 authorized individuals(s) will be able to submit an application, and the system may need 

1992 time to process a submitted application. Applicants should save and print the proof of 

1993 submission they receive from Grants.gov. If problems occur while using Grants.gov, the 

1994 applicant is advised to (a) print any error message received and (b) call Grants.gov directly 

1995 for immediate assistance. If calling from within the United States or from a U.S. territory, 

1996 please call 800-518-4726. If calling from a place other than the United States or a U.S. 

1997 territory, please call 606-545-5035. Assistance from the Grants.gov Help Desk will be 

1998 available around the clock every day, with the exception of Federal holidays. Help Desk 

1999 assistance will resume at 7:00 a.m. Eastern Time the day after Federal holidays. For 

2000 assistance using Grants.gov, you may also contact support@grants.gov.

2001

2002 c) To find instructions on submitting an application on Grants.gov, Applicants should refer 

2003 to the “Applicants” tab in the banner just below the top of the http://www.grants.gov home 

2004 page. Clicking on the “Applicants” tab produces two exceptionally useful sources of 

2005 information, Applicant Actions and Applicant Resources, which applicants are advised to 

2006 review.

2007

2008 Applicants will receive a series of e-mail messages over a period of up to two business days 

2009 before learning whether a Federal agency’s electronic system has received its application. 

2010 Closely following the detailed information in these subcategories will increase the likelihood 

2011 of acceptance of the application by the Federal agency’s electronic system.
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2012

2013 Applicants should pay close attention to the guidance under “Applicant FAQs,” as it contains 

2014 information important to successful submission on Grants.gov, including essential details on 

2015 the naming conventions for attachments to Grants.gov applications.

2016

2017 The Grants.gov Online Help site provides vital information on checking the status of 

2018 applications. See especially the “Check Application Status” option, found by clicking first on 

2019 Applicants, and then by clicking on Grant Applications.

2020

2021 The application must be both received and validated by Grants.gov. The application is 

2022 “received” when Grants.gov provides the applicant a confirmation of receipt and an

2023 application tracking number. If an applicant does not see this confirmation and tracking 

2024 number, the application has not been received. After the application has been received, it 

2025 must still be validated. During this process, it may be “validated” or “rejected with errors.” 

2026 To know whether the application was rejected with errors and the reasons why, the 

2027 applicant must log in to Grants.gov, select “Applicants” from the top navigation, and select 

2028 “Track my application” from the drop-down list. If the status is “rejected with errors,” the 

2029 applicant may still seek to correct the errors and resubmit your application before the 

2030 deadline. If the applicant does not correct the errors, the application will not be forwarded 

2031 to NIST by Grants.gov.

2032

2033 NIST uses the Tracking Numbers assigned by Grants.gov and does not issue Agency Tracking 

2034 Numbers.

2035

2036 Applicants should be aware that adequate time must be factored into applicants’ 

2037 schedules for delivery of their application. Submitters are advised that volume on 

2038 Grants.gov may be extremely heavy leading up to the deadline date.

2039

2040 Refer to important information in Section 6.01 Deadline for Applications, to help ensure 

2041 your application is received on time.

2042

2043 Any amendments to this NOFO will be announced through Grants.gov. Applicants can sign 

2044 up for Grants.gov NOFO amendments or may request copies from J’aime Maynard by 

2045 telephone at 301- 975-8408, or by e-mail to jmaynard@nist.gov.

2046

2047 7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

2048

2049 Background information related to the NIST research programs referenced within the 
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2050 research areas may be found within the NIST website at: www.nist.gov. The NIST Research 

2051 Library, https://www.nist.gov/nist-research-library, may also provide valuable scientific and 

2052 technical information resources. A listing of NIST developed technologies is available on the 

2053 Federal Laboratory Consortium’s (FLC) website (https://www.federallabs.org/labs/national2054 institute-of-standards-and-technology-nist-0).

2055

2056

2057 8.0 SUBMISSION FORMS AND CERTIFICATIONS

2058

2059 8.01 Required Forms and Documents

2060

2061 Applicants should review the following list carefully to ensure the proposal includes all 

2062 required forms and documents. Failure to include any of the applicable listed forms and/or

2063 documents will result in rejection of the proposal without consideration. All required 

2064 forms and documents must be complete. Please also review Section 4.02 Phase II

2065 Screening Criteria. Guidelines provided below are based on frequently asked questions and 

2066 are not intended to be comprehensive – all forms must be fully completed.

2067 A complete application contains the following forms and documents:

2068

2069 1. SF-424 (R&R), Application for Federal Assistance. 2020The SF-424 (R&R) must be 

2070 signed by an authorized representative of the applicant organization.

2071 For SF-424 (R&R), items 5, 14, and 19, use the Zip Code +4 format (##### - ####) when 

2072 addresses are called for.

2073 For SF-424 (R&R), item 16, the NIST SBIR Program is not covered by that Executive 

2074 Order.

2075 For SF-424 (R&R), item 17, the list of certifications and assurances is contained in the 

2076 SF-424B (item 2. below).

2077 For SF-424 (R&R), item 18, if the SF-LLL, Disclosure of Lobbying Activities form (item 4. 

2078 below) is acceptable, attach it to field 18.

2079 Instructions for filling in the SF-424 (R&R) can be found in the 2020-NIST-SBIR-02 

2080 Application Instructions document found on Grants.gov, as well as

2081 Instructions SF424 (R&R) Application for Federal Assistance.

2082

2083 2. Research & Related Budget (Total Fed + Non-Fed). The budget 

2084 should reflect anticipated expenses for the full term of the project, considering all 

2085 potential cost increases, including cost of living adjustments. 

2086

2087 The budget should be detailed in these categories:
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FY 2020 NIST Small Business Innovation Research Program Phase II

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2088 A. Senior/Key Person;

2089 B. Other Personnel;

2090 C. Equipment Description;

2091 D. Travel;

2092 E. Participant/Trainee Support Costs (not relevant to this competition);

2093 F. Other Direct Costs;

2094 G. Direct Costs (automatically generated);

2095 H. Indirect Costs;

2096 I. Total Direct and Indirect Costs (automatically generated);

2097 J. Fee;

2098 K. Total Costs and Fee (automatically generated);

2099 L. Budget Narrative and Justification document (item 8. below) should be 

2100 attached to field L.

2101 Instructions for completing the Research & Related Budget (Total Fed + Non-Fed) form 

2102 can be found in the 2020-NIST-SBIR-02 Application Instructions document on 

2103 Grants.gov, as well as at Instructions R&R Budget (Total Fed + Non-Fed) Budget. 

2104 3. SF-424B, Assurances - Non-Construction Programs (if applicable). The SF-424B is 

2105 required for all applicants that have not updated their System for Award Management 

2106 (SAM.gov) entity registration since February 2, 2019 to include the Federal financial 

2107 assistance certifications and representations (certs and reps). If an applicant has 

2108 updated their SAM.gov entity registration since February 2, 2019 to include the 

2109 certifications and representations, then the SF-424B is not required. 

2110 4. CD-511, Certification Regarding Lobbying. Enter “2020-NIST-SBIR-02” in theAward 

2111 Number Field. Enter the title of the application used in field 11 of the SF-424 (R&R), 

2112 or an abbreviation of that title, in the Project Name field.

2113 5.Research and Related Other Project Information. Answer the highlighted 

2114 questions and use this form to attach the Cover Sheet and Technical Proposal (item 

2115 (7) below), the Indirect Cost Rate Agreement (item (9) below), the SBA Company 

2116 Registry Form (item 10 below), the Data Management Plan (item (11) below), the 

2117 Research & Related Personal Data Form (item 13 below), the Current and Pending 

2118 Support Form (item 14 below), the Compliance with SBIR Certificate of Training 

2119 Completion (item 15 below), and Letters of Commitment (item 16 below). 

2120 Instructions for completing the Research and Related Other Project Information can 

2121 be found in the 2020-NIST-SBIR-02 Application Instructions document on Grants.gov, 

2122 as well as at
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FY 2020 NIST Small Business Innovation Research Program Phase II

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2123 Instructions R&R Other Project Information. Please note that the Project 

2124 Summary/Abstract is not relevant to this competition. However, Grants.gov requires 

2125 an attachment to field 7 of the Research and Related Other Project Information form 

2126 to successfully pass through Grants.gov. Please attach a document to field 7 stating, 

2127 “A Project Summary/Abstract is not relevant to this competition”.

2128

2129 6. Disclosure of Lobbying Activities (if applicable).

2130

2131 7. Cover Sheet and Technical Proposal. Read Section 3.02 of this NOFO very carefully, 

2132 and in its entirety, for directions on completing this section of the application. The 

2133 Cover Sheet and Technical Content portion of the Technical Proposal is limited to 15 

2134 pages – see Section 3.02. The Commercialization Plan and Phase I Final Report 

2135 portions of the Technical Proposal do not count against the page limit – see 

2136 Sections 3.02.03 and 3.02.04.

2137

2138 8. Budget Narrative and Justification. There is no set format for the Budget Narrative 

2139 and Justification; however, further explanation must be provided for the specific 

2140 cost categories and line items identified in the Instructions Research & Related 

2141 Budget (Total Fed + Non-Fed) – Budget, as well as any other information you deem 

2142 necessary for NIST’s consideration. The Budget Narrative and Justification must be 

2143 attached to the Research & Related Budget (Total Fed + Non-Fed). If requested, 

2144 include TABA funds (see Section 5.11) in the Budget Narrative and Justification.

2145

2146 The written justification should include the necessity and the basis for the cost. 

2147 Proposed funding levels must be consistent with the project scope, and only allowable 

2148 costs should be included in the budget. Information on cost allowability is available in 

2149 the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for 

2150 Federal Awards at 2 C.F.R. Part 200 (http://go.usa.gov/SBYh), which apply to awards in 

2151 this program.

2152

2153 The Budget Narrative and Justification does not count against the 15-page limit of the 

2154 Technical Proposal.

2155

2156 Information needed for each category is as follows:

2157

2158 (a) Senior/Key Person – At a minimum, the budget justification should include the 

2159 following: name, job title, commitment of effort on the proposed project in 

2160 terms of average number of hours per week or percentage of time, salary rate, 

2161 total direct charges on the proposed project, description of the role of the 
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FY 2020 NIST Small Business Innovation Research Program Phase II

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2162 individual on the proposed project, and the work to be performed.

2163

2164 Fringe benefits should be identified separately from salaries and wages and based 

2165 on rates determined by organizational policy. The items included in the fringe 

2166 benefit rate (e.g., insurance, parking, etc.) should not be charged under another 

2167 cost category.

2168

2169 (b) Other Personnel – Data is requested at the project role level, and not at the 

2170 individual level for Other Personnel. The budget justification should include the 

2171 following: job title, commitment of effort on the proposed project in terms of 

2172 average number of hours per week or percentage of time, salary rate, total direct 

2173 charges on the proposed project, description of the role of the position on the 

2174 proposed project and the work to be performed.

2175

2176 Fringe benefits should be identified separately from salaries and wages and based 

2177 on rates determined by organizational policy. The items included in the fringe 

2178 benefit rate (e.g., health insurance, parking, etc.) should not be charged under 

2179 another cost category.

2180

2181 (c)Equipment Description – Equipment is defined as an item of property that has an 

2182 acquisition cost of $5,000 or more (unless the organization has established lower 

2183 levels) and an expected service life of more than one year. The budget justification 

2184 should list each piece of equipment, the cost, and a description of how it will be 

2185 used and why it is necessary to the successful completion of the proposed

2186 project. Please note that any general use equipment (computers, etc.) charged 

2187 directly to the award should be allocated to the award according to expected 

2188 usage on the project (i.e. prorated cost). Applicants should provide at least two 

2189 (2) quotes, if available, for equipment costing $25,000 or more. If two (2) quotes 

2190 are not available, please provide a statement as to why two (2) quotes are not 

2191 available.

2192

2193 Any items that do not meet the threshold for equipment can be included under 

2194 the Materials and Supplies line item in Section F, Other Direct Costs.

2195

2196 (d) Travel –– For all travel costs, required by the recipient to complete the project, 

2197 including attendance at any relevant conferences, the budget justification for 

2198 travel should include the following: destination; names or number of people 

2199 traveling; dates and/or duration; mode of transportation, lodging and 
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FY 2020 NIST Small Business Innovation Research Program Phase II

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2200 subsistence rates; and description of how the travel is directly related to the 

2201 proposed project. For travel that is yet to be determined, please provide best 

2202 estimates based on prior experience. If a destination is not known, an 

2203 approximate amount may be used with the assumptions given for the location 

2204 of the meeting.

2205

2206 (f) Other Direct Costs – For costs that do not easily fit into the other cost categories, 

2207 please list the cost, and the breakdown of the total costs by quantity or unit of 

2208 cost. Include the necessity of the cost for the completion of the proposed project. 

2209 Only allowable costs can be charged to the award. 

2210

2211 Each subaward or contractual cost should be treated as a separate item in the 

2212 Other Direct Costs category. Describe the services to be provided and the necessity 

2213 of the subaward or contract to the successful performance of the proposed 

2214 project. Contracts are for obtaining goods and services. Subawardees perform part 

2215 of the project scope of work. For each subaward, applicants must provide budget 

2216 detail justifying the cost of the work performed on the project.

2217

2218 (h) Indirect Costs – Commonly referred to as Facilities & Administrative Costs, Indirect 

2219 Costs are defined as costs incurred by the applicant organization that cannot 

2220 otherwise be directly assigned or attributed to a specific project. For more details, 

2221 see Section 8.01.9 of this NOFO.

2222

2223 (j) Fee – Profit or fee not to exceed 7% of the sum of the direct and indirect costs must 

2224 be listed in this cost category if included in the proposed budget.

2225

2226 9. Indirect Cost Rate Agreement. If indirect costs are included in the proposed budget, 

2227 include the cost computation in the budget narrative, and provide a copy of the 

2228 current, approved negotiated agreement if this rate was negotiated with a cognizant 

2229 Federal audit agency. Attach this document to the Research and Related Other 

2230 Project Information form as described in Section 8.01.5. 

2231

2232 If a rate has not been established, provide a statement to this effect and a 

2233 computation for the cost in the budget narrative. Applicants without an established 

2234 rate may propose estimated indirect costs at a rate not to exceed 40 percent of the 

2235 total direct costs and will not be required to provide further justification if selected 

2236 for an award. Applicants without an established rate who propose a rate exceeding 

2237 40% may request negotiation of an indirect cost rate agreement. Any profit or fee 

2238 requested is not considered a direct cost for the purpose of the indirect cost base 
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FY 2020 NIST Small Business Innovation Research Program Phase II

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2239 calculation.

2240

2241 10. SBA Company Registry Form. SBA maintains and manages a Company Registry at

2242 http://www.sbir.gov/registration to track ownership and affiliation requirements for all 

2243 companies applying to the SBIR Program. The SBIR/STTR Policy Directive requires each 

2244 Phase II applicant to register in the Company Registry prior to submitting an application.

2245 The applicant must save its information from the registration in a .pdf document. Attach 

2246 this document to the Research and Related Other Project Information form as described 

2247 in Section 8.01.5.

2248

11. Data Management Plan. In accordance with NIST Policy 5700.0032249 , Managing Public 

Access to Results of Federally Funded Research, and NIST Order 5701.0042250 , Managing 

2251 Public Access to Results of Federally Funded Research”, applicants must include a Data 

2252 Management Plan (DMP).

2253

2254 The DMP is a supplementary document of not more than two pages that must include, 

2255 at a minimum, a summary of proposed activities that are expected to generate data, a 

2256 summary of the types of data expected to be generated by the identified activities, a 

2257 plan for storage and maintenance of the data expected to be generated by the 

2258 identified activities, and a plan describing whether and how data generated by the 

2259 identified activities will be reviewed and made available to the public. As long as the 

2260 DMP meets these NIST requirements, it may take the form specified by the applicant’s 

institution or some other entity (e.g., the National Science Foundation52261 or the National 

Institutes of Health62262 ).

2263

2264 All applications for activities that will generate scientific data using NIST funding are 

2265 required to adhere to a DMP or explain why data sharing and/or preservation are not 

2266 within the scope of the project.

2267

2268 For the purposes of the DMP, NIST adopted the definition of “research data” at 2 C.F.R.

2269 § 200.315(e)(3) (available at http://go.usa.gov/3sZvQ).

2270

2271 Reasonable costs for data preservation and access may be included in the application.

2272

3

https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf

4

https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf

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

6 https://grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm
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2273 The sufficiency of the DMP will be considered as part of the administrative review (see 

2274 Section 4.02. of this NOFO); however, the DMP will not be evaluated against any 

2275 evaluation criteria. Attach this document to the Research and Related Other Project 

2276 Information form as described in Section 8.01.55.

2277

2278 12. Subaward Budget Form. The Research & Related Subaward Budget Attachment 

2279 Form is required if sub-recipients and contractors are included in the application 

2280 budget. 

2281

2282 Instructions for completing subaward budget forms are available by visiting the R & R 

2283 Family section of the Grants.gov Forms Repository and scrolling down to the R & R 

2284 Subaward Budget Attachment(s) Form and selecting “Instructions.”

2285

2286 13. Research & Related Personal Data. Complete and print the form available at

2287 https://www.grants.gov/web/grants/forms/r-r-family.html#sortby=1. Attach this 

2288 document to the Research and Related Other Project Information form as 

2289 described in Section 8.05.

2290

2291 14. Current and Pending Support Form. Any application that includes 

2292 investigators, researchers, and key personnel must identify all sources of current 

2293 and potential funding, including this proposal. Any current project support (e.g., 

2294 Federal, state, local, public or private foundations, etc.) must be listed on this 

2295 form. The proposed project and all other projects or activities requiring a portion 

2296 of time of the Principal Investigator (PI), co-PI, and key personnel must be 

2297 included, even if no salary support is received. The total award amount for the 

2298 entire award period covered, including indirect costs, must be shown as well as 

2299 the number of person-months per year to be devoted to the project, regardless

2300 of the source of support. Similar information must be provided for all proposals 

2301 already submitted or that are being submitted concurrently to other potential 

2302 funders. 

2303

2304 Applicants must complete the Current and Pending Support Form, using multiple 

2305 forms as necessary to account for all activity for each individual identified in the 

2306 PI, co-PI and key personnel roles. A separate form should be used for each 

2307 identified individual. 

2308

2309 Applicants must download the Current and Pending Support Form from the NIST website 

2310 at https://www.nist.gov/oaam/grants-management-division/current-and-pending-support

2311 and reference the guidance provided as it contains information to assist with accurately 
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FY 2020 NIST Small Business Innovation Research Program Phase II

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2312 completing the form.

2313

2314 15. Compliance with SBIR Program Requirements, Applicant Fraud Awareness Training

2315 - Certificate of Training Completion. Complete the training at:

2316 https://www.nist.gov/file/384881). After completion, print and fill out the last page of 

2317 the training presentation. Attach this document to the Research and Related Other 

2318 Project Information form as described in Section 8.05.

2319

2320 16. Letters of Commitment. Letters must be submitted by all funded and unfunded 

2321 entities that will have an active role in executing the activities outlined in the Project 

2322 Narrative. Letters of Commitment must address the level of participation, qualifications of 

2323 the personnel who will be actively involved, and how successful completion of this project 

2324 would positively impact their profession or community. Letters of Commitment must also 

2325 specify any voluntary committed cost-share, including the specific services and/or products 

2326 to be used in the project. Letters of Commitment must be signed by an individual with 

2327 authority to legally bind the organization to its commitment. Letters of commitment do not 

2328 count against the specified page limits.

2329

2330 8.02 Attachment of Required Application Documents

2331

2332 Items 8.01.1 through 8.01.5 above are part of the standard application package in Grants.gov 

2333 and can be completed through the download application process. 

2334

2335 Item 8.01.6, the SF-LLL, Disclosure of Lobbying Activities form, is an optional application form 

2336 which is part of the standard application package in Grants.gov. If item 8.01.5, the SF-LLL, 

2337 Disclosure of Lobbying Activities form is applicable to this proposal, attach it to field 18 of the 

2338 SF-424 (R&R), Application for Federal Assistance.

2339

2340 Item 8.01.7, the Cover Sheet and Technical Proposal, should be attached to field 8 (Project 

2341 Narrative) of the Research and Related Other Project Information form by clicking on “Add 

2342 Attachment”.

2343

2344 Item 8.01.8, the Budget Narrative and Justification, should be attached to field L (Budget 

2345 Justification) of the Research and Related Budget (Total Fed + Total Non-Fed) form by clicking 

2346 on “Add Attachment”.

2347

2348 Items 8.01.9, the Indirect Cost Rate Agreement; 8.01.10, the SBA Company Registry Form;

2349 8.01.11, the Data Management Plan; 8.01.13, the Research & Related Personal Data; 8.01.14, 

2350 the Current and Pending Support Form; 8.01.15, the SBIR Applicant Fraud Awareness Training 
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2351 Certificate of Training Completion; and 8.01.16 Letters of Commitment, must be attached by 

2352 clicking on “Add Attachments” found in item 12 (Other Attachments) of the Research and 

2353 Related Other Project Information form. 

2354

2355 Item 8.01.12, the Subaward Budget Form(s), if applicable to the submission, should be 

2356 attached to the Research & Related Subaward Budget (Total Fed + Non-Fed) Attachment(s) 

2357 Form in the application package.

2358

2359 Following these directions will create zip files which permit transmittal of the documents 

2360 electronically via Grants.gov. 

2361

2362 8.03 Verifying the Submission and Tracking the Application

2363

2364 Applicants should carefully follow specific Grants.gov instructions at www.Grants.gov to 

2365 ensure the attachments will be accepted by the Grants.gov system. A receipt from 

2366 Grants.gov indicates only that an application was transferred to a system. It does not 

2367 provide details concerning whether all attachments (or how many attachments) 

2368 transferred successfully. Applicants will receive a series of e-mail messages over a period 

2369 of up to two business days before learning whether a Federal agency’s electronic system 

2370 has received its application.

2371

2372 Applicants are strongly advised to use Grants.gov’s “Download Submitted Forms and 

2373 Applications” option to check that their application’s required attachments were 

2374 contained in their submission.

2375

2376 After submitting the application, check the status of your application here: CHECK 

2377 APPLICATION STATUS. If any, or all, of the required attachments are absent from the 

2378 submission, follow the attachment directions found above, resubmit the application, and 

2379 check again for the presence of the required attachments.

2380

2381 If the directions found at 

2382 https://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm are 

2383 not effective, please contact the Grants.gov Help Desk immediately. If calling from within 

2384 the United States or from a U.S. territory, please call 800-518-4726. If calling from a place 

2385 outside the United States or a U.S. territory, please call 606-545-5035. E-mails should be 

2386 addressed to support@grants.gov. Assistance from the Grants.gov Help Desk will be 

2387 available around the clock every day, with the exception of Federal holidays. Help Desk 

2388 service will resume at 7:00 a.m. Eastern Time the day after Federal holidays.

2389
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2390 Applicants can track their submission in the Grants.gov system by following the 

2391 procedures at the Grants.gov site (http://go.usa.gov/cjamz). It can take up to two 

2392 business days for an application to fully move through the Grants.gov system to NIST.

2393 NIST uses the Tracking Numbers assigned by Grants.gov, and does not issue Agency 

2394 Tracking Numbers.

2395

2396 8.04 Unique Entity Identifier and System for Award Management (SAM)

2397 Pursuant to 2 C.F.R. Part 25, applicants and recipients (as the case may be) are required to:

2398 (i) be registered in SAM before submitting its application; (ii) provide a valid unique entity 

2399 identifier in its application; and (iii) continue to maintain an active SAM registration with 

2400 current information at all times during which it has an active Federal award or an 

2401 application or plan under consideration by a Federal awarding agency, unless otherwise 

2402 excepted from these requirements pursuant to 2 C.F.R. § 25.110. NIST will not make a 

2403 Federal award to an applicant until the applicant has complied with all applicable unique 

2404 entity identifier and SAM requirements and, if an applicant has not fully complied with the 

2405 requirements by the time that NIST is ready to make a Federal award pursuant to this 

2406 NOFO, NIST may determine that the applicant is not qualified to receive a Federal award 

2407 and use that determination as a basis for making a Federal award to another applicant.

2408

2409 9.0 RESEARCH AREAS

2410

2411 The NIST research programs work at the frontiers of measurement science to ensure that 

2412 the U.S. system of measurements is firmly grounded in sound scientific and technical 

2413 principles. Today, the NIST laboratories address increasingly complex measurement 

2414 challenges, ranging from the very small (nanoscale devices for advanced computing) to the 

2415 very large (vehicles and buildings), and from the physical (resilient infrastructure) to the 

2416 virtual (cybersecurity and data science). As new technologies develop and evolve, NIST’s 

2417 measurement research and services remain central to national defense, homeland security, 

2418 trade and innovation.

2419

2420 NIST’s research activities provide industry, academia and other federal agencies with world2421 class research capabilities in measurement science that form the foundation of the global 

2422 system of weights and measures and enable innovation. NIST provides measurement tools 

2423 and standards to strengthen U.S. competitiveness and security in the following areas:

2424

2425 Advanced Communications, Networks and Scientific Data Systems

2426

2427 NIST’s Advanced Communications, Networks and Scientific Data Systems activities enable 

2428 secure, reliable, high-speed wireless and wireline communications critical to U.S. economic 
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2429 competitiveness, safety and security. NIST measurement science research and support for 

2430 the development of standards accelerates the deployment of next-generation 

2431 communication technologies needed for commercial- scale use of connected vehicles, 

2432 “internet of things” (IoT) applications, drones and future artificial intelligence/machine 

2433 learning-based systems. NIST is committed to helping solve the measurement and 

2434 validation challenges of these fast-moving fields to help the U.S. achieve and maintain 

2435 global leadership in these areas.

2436

2437 Advanced Manufacturing and Material Measurements

2438

2439 NIST has partnered with the U.S. manufacturing sector for more than a century and has a 

2440 proven track record of delivering useful tools and technical assistance existing 

2441 manufacturers and aspiring start-ups need. NIST's Advanced Manufacturing and Material 

2442 Measurements activities provide industry with precision measurement technologies, tests, 

2443 protocols and world-class scientific and engineering knowledge through targeted research 

2444 across a broad portfolio, including advanced materials development, advanced sensing, 

2445 biomanufacturing and smart manufacturing systems. NIST’s efforts in advanced 

2446 manufacturing and material measurements rely on three major mechanisms: partnerships 

2447 with manufacturers, development of physical and information standards, and development 

2448 of new measurement capabilities.

2449

2450 Cybersecurity and Privacy

2451

2452 NIST’s Cybersecurity and Privacy activities strengthen the security of the digital 

2453 environment through a portfolio bridging foundational and applied cybersecurity research, 

2454 and through the development of publicly available standards and technical guidance. NIST’s 

2455 sustained outreach efforts support the effective application of standards and best practices 

2456 enabling the adoption of practical cybersecurity and privacy. Through internal research and 

2457 collaboration with the private sector, academia, standards development organizations, 

2458 other government agencies and national and international stakeholders, NIST addresses the 

2459 nation’s current and future measurement science needs and is responsive to Congressional 

2460 mandates and Executive Orders.

2461

2462 Fundamental Measurement, Quantum Science and Measurement Dissemination

2463

2464 At the heart of NIST’s mission is the dissemination of the fundamental units of 

2465 measurement (the International System of Units, or SI). NIST determines the definitive 

2466 methods for nearly every kind of measurement employed in commerce and research, 

2467 provides NIST-traceable calibrations, and disseminates standards and best practices 
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2468 throughout the nation. Staying ahead of the increasingly challenging demands of U.S. 

2469 industry requires that NIST push the frontiers of measurement science by devising new 

2470 tools and techniques—especially at the quantum scale where the rules of classical physics 

2471 do not apply. Through balanced and coordinated programs, NIST leads the world in 

2472 disseminating the fundamental units of measurement. This leadership in metrology 

2473 advancement directly impacts NIST’s relevance and leadership in measurement services.

2474

2475 Health and Biological Systems Measurements

2476

2477 NIST provides a solid foundation of measurement assurance enabling reproducibility of 

2478 biomedical research results and confidence in clinical decision-making and ensuring the 

2479 efficacy and safety of treatments. As a nonregulatory agency, NIST’s research plays an 

2480 essential role in health and bioscience innovations, including in precision medicine, 

2481 engineering biology, medical imaging, regenerative medicine and our understanding of the 

2482 microbiome and how it affects health. New and improved measurement capabilities 

2483 advance our understanding of biology and provide the basis for industries to harness this 

2484 information for future medical technologies.

2485

2486 Physical Infrastructure and Resilience

2487

2488 NIST’s Physical Infrastructure and Resilience activities support the safety, interoperability 

2489 and resilience of the nation’s infrastructure at the component, structure and system levels. 

2490 NIST’s research supports the development of building codes making the built environment 

2491 healthier for occupants, more resilient against hazards, and safer for both residents and first

2492 responders. In collaboration with policymakers, building officials and planning groups, NIST 

2493 produces guides to help communities integrate resilience into their economic development, 

2494 zoning, mitigation and other local planning activities impacting buildings, public utilities and 

2495 infrastructure systems.

2496

2497 Exploratory Measurement Science

2498

2499 NIST’s mission requires deep expertise in a broad range of disciplines. To best position NIST 

2500 to support U.S. technological interests well into the future, it is essential that NIST maintain 

2501 a portfolio of exploratory measurement science research programs. NIST invests in higher2502 risk and potentially transformative measurement science research to stay on the cutting 

2503 edge of technology trends.

2504

2505

2506
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2507 Appendix A. COVER SHEET

2508

2509 (A fillable version of the Cover Sheet is available at http://www.nist.gov/sbir)

Application to National Institute of Standards and Technology (NIST) 

Small Business Innovation Research (SBIR) Program Phase II

2020-NIST-SBIR-02 (May 26, 2020)

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.

2510 This collection of information contains Paperwork Reduction Act (PRA) requirements approved by the Office of Management and Budget 

2511 (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 

2512 failure to comply with, a collection of information subject to the requirements of the PRA unless that collection of information displays a 

2513 currently valid OMB control number. Public reporting burden for this collection is estimated to be 30 minutes per response, including the time 

2514 for reviewing instructions, searching existing data sources, gathering and maintaining the data needed and completing and reviewing the 

2515 collection of information. Send comments regarding this burden estimate or any aspect of this collection of information, including suggestions

2516 for reducing this burden, to the National Institute of Standards and Technology, Attn: Mary Clague, 100 Bureau Dr., MS 2200, Gaithersburg, MD 

2517 20899.

2518

2519 OMB Control No. 0693-0072 

2520 Expiration Date: 12/31/2020

2521
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2522 Appendix B. CERTIFICATIONS

2523

2524 SBIR Funding Agreement Certification (at time of award)

2525 All small businesses that are selected for award of an SBIR funding agreement must complete 

2526 this certification at the time of award and any other time set forth in the funding agreement 

2527 that is prior to performance of work under this award. This includes checking all of the boxes 

2528 and having an authorized officer of the awardee sign and date the certification each time it is 

2529 requested.

2530

2531 Please read carefully the following certification statements. The Federal government relies on 

2532 the information to determine whether the business is eligible for a Small Business Innovation 

2533 Research (SBIR) Program award. A similar certification will be used to ensure continued 

2534 compliance with specific program requirements during the life of the funding agreement. The 

2535 definitions for the terms used in this certification are set forth in the Small Business Act, SBA 

2536 regulations (13 C.F.R. Part 121), the SBIR/STTR Policy Directive and also any statutory and 

2537 regulatory provisions referenced in those authorities.

2538

2539 If the funding agreement officer believes that the business may not meet certain eligibility 

2540 requirements at the time of award, they are required to file a size protest with the U.S. Small 

2541 Business Administration (SBA), who will determine eligibility. At that time, SBA will request 

2542 further clarification and supporting documentation in order to assist in the verification of any of 

2543 the information provided as part of a protest. If the funding agreement officer believes, after 

2544 award, that the business is not meeting certain funding agreement requirements, the agency 

2545 may request further clarification and supporting documentation in order to assist in the 

2546 verification of any of the information provided.

2547

2548 Even if correct information has been included in other materials submitted to the Federal 

2549 government, any action taken with respect to this certification does not affect the 

2550 Government’s right to pursue criminal, civil or administrative remedies for incorrect or 

2551 incomplete information given in the certification. Each person signing this certification may be 

2552 prosecuted if they have provided false information.

2553

2554 The undersigned has reviewed, verified and certifies that (all questions must be responded to 

2555 by checking the appropriate box):

2556

2557 The Awardee business concern meets the ownership and control requirements set forth in 13 

2558 C.F.R. § 121.702.

2559 ☐Yes☐No

2560
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2561 (2) If a corporation, all corporate documents (namely: articles of incorporation and any 

2562 amendments, articles of conversion, by-laws and amendments, shareholder meeting minutes 

2563 showingofficer elections, organizational meeting minutes, all issued stock certificates, stock 

2564 ledger, buy-sell agreements, stock transfer agreements, voting agreements, and documents 

2565 relating to stock options, including the right to convert non-voting stock or debentures into 

2566 voting stock) must include evidence that the corporation meets the ownership and control 

2567 requirements set forth in 13 C.F.R. § 121.702.

2568 ☐Yes☐No ☐N/A Explain why N/A:

2569

2570 (3) If a partnership, the partnership agreement evidences that it meets the ownership and 

2571 control requirements set forth in 13 C.F.R. § 121.702.

2572 ☐Yes ☐No ☐N/A Explain why N/A:

2573

2574 (4) If a limited liability company, the articles of organization and any amendments, and 

2575 operating agreement and amendments, evidence that it meets the ownership and 

2576 control requirements set forth in 13 C.F.R. § 121.702.

2577 ☐Yes ☐No ☐N/A Explain why N/A:

2578

2579

2580 (5) The birth certificates, naturalization papers, or passports show that any individuals it relies 

2581 upon to meet the eligibility requirements are U.S. citizens or permanent resident aliens in the 

2582 United States.

2583 Yes ☐No ☐N/A Explain why N/A:

2584

2585

2586 (6) The Awardee business concern has no more than 500 employees, including the employees of 

2587 its affiliates.

2588 ☐Yes ☐No

2589

2590 (7) SBA has not issued a size determination currently in effect finding that this business 

2591 concern exceeds the 500 employee size standard.

2592 ☐Yes ☐No

2593

2594 (8) During the performance of the award, the principal investigator will spend more than 

2595 one half of his/her time (based on a 40 hour workweek) as an employee of the awardee or 

2596 has requested and received a written deviation from this requirement from the funding 

2597 agreement officer.
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2598 ☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

2599

2600 (9) All, essentially equivalent work, or a portion of the work proposed under this project 

2601 (check the applicable line):

2602 ☐ Has not been submitted for funding to this agency or another Federal agency.

2603 ☐ Has been submitted for funding to this agency or another Federal agency but has not been 

2604 funded under

2605 any other grant, contract, subcontract or other transaction.

2606 ☐ A portion has been funded by another grant, contract, or subcontract as described in detail

2607 in the application and approved in writing by the funding agreement officer.

2608

2609 (10) During the performance of award, the Awardee will perform the applicable percentage of 

2610 work unless a deviation from this requirement is approved in writing by the funding 

2611 agreement officer (check the applicable line and fill in if needed):

2612 ☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

2613 ☐SBIR Phase II: at least half (50%) of the research.

2614 ☐Deviation approved in writing by the funding agreement officer: %

2615

2616 (11) During performance of award, the research/research and development will be performed 

2617 in the United States unless a deviation is approved in writing by the funding agreement

2618 officer.

2619 ☐Yes ☐No ☐Waiver has been granted

2620

2621 (12) During performance of award, the research/research and development will be

2622 performed at the Awardee’s facilities with the Awardee’s employees, except as otherwise 

2623 indicated in the SBIR application and approved in the funding agreement.

2624 ☐Yes ☐No

2625

2626 (13) The SBIR Awardee has registered itself on SBA’s database as majority-owned by venture 

2627 capital operating companies, hedge funds or private equity firms.

2628 ☐Yes ☐No ☐N/A Explain why N/A:

2629

2630

2631 (14) The SBIR Awardee is a Covered Small Business Concern (a small business concern that:(a) 

2632 was not majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, or 

2633 private equity firms on the date on which it submitted an application in response to an SBIR solicitation; 

2634 and (b) on the date of the SBIR award, which is made more than 9 months after the closing date of the 

2635 solicitation, is majority-owned by multiple venture capital operating companies, hedge funds, or private 
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2636 equity firms).

2637 ☐Yes ☐No

2638

2639 (15) The SBIR Awardee will notify this agency immediately if all or a portion of the work 

2640 authorized and funded under this award is subsequently funded by another Federal agency.

2641 ☐Yes ☐No

2642

2643

2644 (16) I understand that the information submitted may be given to Federal, State and 

2645 local agencies for determining violations of law and other purposes.

2646 ☐Yes ☐No

2647

2648 (17) I am an officer of the business concern authorized to represent it and sign this 

2649 certification on its behalf. By signing this certification, I am representing on my own behalf, 

2650 and on behalfof the business concern that the information provided in this certification, the 

2651 application, and all other information submitted in connection with this application, is true 

2652 and correct as of the date of submission. I acknowledge that any intentional or negligent 

2653 misrepresentation of the information contained in this certification may result in criminal, civil 

2654 or administrative sanctions, including but not limited to: (1) fines, restitution and/or 

2655 imprisonment under 18

2656 U.S.C. § 1001; (2) treble damages and civil penalties under the False Claims Act (31 U.S.C.§ 

2657 3729 et seq.); (3) double damages and civil penalties under the Program Fraud Civil Remedies 

2658 Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds, (5) suspension and/or 

2659 debarment from all Federal procurement and nonprocurement transactions (FAR Subpart 9.4 

2660 or 2 C.F.R. Part 180); and (6) other administrative penalties including termination of SBIR/STTR 

2661 awards.

2662

2663

2664 Signature Date / /

2665

2666 Print Name (First, Middle, Last)

2667

2668

2669 Title

2670

2671

2672 Business Name

2673

2674
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2675 SBIR Funding Agreement Certification (Life-Cycle Certification)

2676

2677 All SBIR Phase I and Phase II awardees must complete this certification at all times set forth in 

2678 the funding agreement (see §8(j) of the SBIR/STTR Policy Directive). This includes checking all of 

2679 the boxes (unless otherwise directed) and having an authorized officer of the awardee sign and 

2680 date the certification each time it is requested.

2681

2682 Please read carefully the following certification statements. The Federal government relies on 

2683 the information to ensure compliance with specific program requirements during the life of the 

2684 funding agreement. The definitions for the terms used in this certification are set forth in the 

2685 Small Business Act, the SBIR/STTR Policy Directive, and also any statutory and regulatory 

2686 provisions referenced in those authorities.

2687

2688 If the funding agreement officer believes that the business is not meeting certain funding 

2689 agreement requirements, the agency may request further clarification and supporting 

2690 documentation in order to assist in the verification of any of the information provided.

2691

2692 Even if correct information has been included in other materials submitted to the Federal 

2693 government, any action taken with respect to this certification does not affect the 

2694 Government’s right to pursue criminal, civil, or administrative remedies for incorrect or 

2695 incomplete information given in the certification. Each person signing this certification may be 

2696 prosecuted if they have provided false information.

2697

2698 The undersigned has reviewed, verified and certifies that (all questions must be responded to by 

2699 checking the appropriate box):

2700

2701 (1) The principal investigator spent more than one half of his/her time (based on a 40 hour 

2702 workweek) as an employee of the awardee or the awardee has requested and received a 

2703 written deviation from this requirement from the funding officer.

2704 ☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

2705

2706 (2) All, essentially equivalent work, or a portion of the work performed under this project 

2707 (check applicable line):

2708 ☐Has not been submitted for funding to this agency or another Federal agency.

2709 ☐Has been submitted for funding to this agency or another Federal agency but has not

2710 been funded under any other grant, contract, subcontract or other transaction.

2711 ☐A portion has been funded by another grant, contract, or subcontract as described in detail in 

2712 the proposal and approved in writing by the funding agreement officer.

2713
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2714 (3) Upon completion of the award the awardee will have performed the applicable 

2715 percentage or work, unless a deviation from this requirement is approved in writing by the 

2716 funding agreement officer (check the applicable line and fill in if needed):

2717 ☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

2718 ☐SBIR Phase II: at least half (50%) of the research.

2719 ☐Deviation approved in writing by the funding agreement officer: %

2720

2721 (4) The work is completed and the small business awardee has performed the applicable 

2722 percentage of work, unless a deviation from this requirement is approved in writing by the 

2723 funding agreement officer (check the applicable line and fill in if needed):

2724 ☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

2725 ☐SBIR Phase II: at least half (50%) of the research.

2726 ☐Deviation approved in writing by the funding agreement officer: %

2727 ☐N/A because work is not completed.

2728

2729 (5) The research/research and development is performed in the United States unless a 

2730 deviation is approved in writing by the funding agreement officer.

2731 ☐Yes ☐No ☐Waiver has been granted

2732 (6) The research/research and development is performed at the awardee’s facilities by the 

2733 awardee’s employees, except as otherwise indicated in the SBIR application and approved in 

2734 the funding agreement.

2735 ☐Yes ☐No

2736

2737 (7) I will notify the Federal agency immediately if all or a portion of the work authorized and 

2738 funded under this award is subsequently funded by another Federal agency.

2739 ☐Yes ☐No

2740

2741 (8) I understand that the information submitted may be given to Federal, State and local 

2742 agencies for determining violations of law and other purposes.

2743 ☐Yes ☐No

2744

2745 (9) I am an officer of the awardee business concern authorized to represent it and sign this 

2746 certification on its behalf. By signing this certification, I am representing on my own behalf, 

2747 and on behalf of the business concern, that the information provided in this certification, the 

2748 application, and all other information submitted in connection with the award, is true and 

2749 correct as the date of submission. I acknowledge that any intentional or negligent 

2750 misrepresentation of the information contained in this certification may result in criminal, civil 

2751 or administrative sanctions, including but not limited to: (1) fines, restitution and/or 
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2752 imprisonment under 18 U.S.C. § 1001; (2) treble damages and civil penalties under the False Claims 

2753 Act (31 U.S.C. § 3729 et seq.); (3) double damages and civil penalties under the Program Fraud Civil 

2754 Remedies Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds, (5) suspension and/or 

2755 debarment from all Federal procurement and nonprocurement transactions (FAR Subpart 9.4 or 2 

2756 C.F.R. Part 180); and (6) other administrative penalties including termination of SBIR/STTR awards.

2757

2758 ☐ Yes ☐No

2759

2760 Signature Date / /

2761

2762 Print Name (First, Middle, Last)

2763

2764

2765 Title

2766

2767

2768 Business Name

2769