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FY 2024-NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I

NOTICE OF FUNDING OPPORTUNITY No. 2024-NIST-SBIR-01

October 24, 2023

NOTICE OF FUNDING OPPORTUNITY (NOFO)

Small Business Innovation Research (SBIR) Program Phase I

EXECUTIVE SUMMARY

• Federal Agency Name: National Institute of Standards and Technology (NIST), 

United States Department of Commerce (DoC) 

• Funding Opportunity Title: Small Business Innovation Research (SBIR) Program 

Phase I

• Announcement Type: Initial

• Funding Opportunity Number: 2024-NIST-SBIR-01 

• Assistance Listing (CFDA Number): 11.620, Science, Technology, Business 

and/or Education Outreach 

• Dates: Full Applications must be received at Grants.gov no later than 11:59 p.m. 

Eastern Time, December 22, 2023. Applications received after this deadline will not 

be reviewed or considered. 

Applicants should be aware, and factor in their application submission planning, that 

the Grants.gov system closes periodically for routine maintenance. Applicants 

should visit Grants.gov for information on any scheduled closures. 

NIST expects to complete its review, selection of successful applicants, and award 

processing by February 2024. NIST expects the earliest start date for awards under 

this NOFO to be March 2024.

• Application Submission Address: Applications must be submitted using 

Grants.gov. Paper applications will not be accepted.

• Funding Opportunity Description: The Small Business Innovation Research 

(SBIR) Program Phase I is seeking applications from eligible applicants to explore 

the technical merit or feasibility of an innovative idea or technology with the aim of 

developing a viable product or service that will be introduced to the commercial 

marketplace.

• Anticipated Amounts: NIST anticipates funding approximately ten (10) awards with 

a period of performance of up to six (6) months. Individual award amounts may be
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up to $100,000 with up to an additional $6,500 for Technical and Business 

Assistance (TABA), see section 5.12 for TABA information.

• Funding Instrument: Cooperative Agreement.

• Eligibility: Applicants must qualify as a Small Business Concern for 

Research/Research and Development (R/R&D) purposes, as defined in Section 1.05 

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

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

during the conduct of the proposed research. Primary employment means that more 

than one-half of the principal investigator's time is spent working with the small 

business. Primary employment with a small business precludes full-time 

employment with another organization.

• Cost Sharing Requirements: Non-federal cost share is not required for awards 

issued pursuant to this NOFO.

Table of Contents

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION................................................................4

1.01 Introduction................................................................................................................................................4

1.02 Three-Phase Program................................................................................................................................5

1.03 SBIR Applicant Eligibility and Limitations................................................................................................7

1.04 Contact with NIST.....................................................................................................................................14

1.05 Definitions.................................................................................................................................................15

1.06 Fraud, Waste, and Abuse........................................................................................................................23

1.07 Other Information....................................................................................................................................25

2.0 CERTIFICATIONS AND RESEARCH INVOLVING HUMANS AND ANIMALS...................................................26

2.01 Due Diligence Certification.....................................................................................................................26

2.02 Cyber Security Education and Training Requirements for Phase I and Phase II 

Awardees...........................................................................................................................................................26

2.03 Funding Agreement Certification..........................................................................................................28

2.04 Research Activities Involving Human Subjects, Human Tissue, Data or Recording Involving

Human Subjects Including Software Testing................................................................................................28

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

Vertebrate Animals..........................................................................................................................................30

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

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

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS..........................................................31
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3.01 Phase I Application Requirements.........................................................................................................31

3.02 Phase I Application..................................................................................................................................33

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA.................................................................................39

4.01 Introduction..............................................................................................................................................39

4.02 Phase I Screening Criteria.......................................................................................................................40

4.03 Phase I Evaluation Criteria......................................................................................................................41

4.04 Phase I Award Selections........................................................................................................................42

5.0 CONSIDERATIONS..............................................................................................................................................44

5.01 Awards.........................................................................................................................................................44

5.02 Reporting Requirements...........................................................................................................................45

5.03 Payment Schedule.....................................................................................................................................46

5.04 Innovations, Inventions and Patents......................................................................................................46

5.05 Cost Sharing................................................................................................................................................55

5.06 Profit or Fee................................................................................................................................................55

5.07 Joint Ventures or Limited Partnerships..................................................................................................56

5.08 Research an Analytical Work...................................................................................................................56

5.09 Awardee Commitments............................................................................................................................56

5.10 Summary Statements................................................................................................................................56

5.11 Additional Information..............................................................................................................................58

5.12 Technical and Business Assistance (TABA).............................................................................................58

5.13 Technical Assistance for Application Preparation and Project Conduct............................................59

6.0 SUBMISSION OF APPLICATIONS......................................................................................................................59

6.01 Deadline of Applications...........................................................................................................................60

6.02 Standard Application Package.................................................................................................................60

6.03 Application Submission.............................................................................................................................61

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES................................................................................63

8.0 SUBMISSION FORMS AND CERTIFICATIONS..................................................................................................63

8.01 Required Forms and Document...............................................................................................................63

8.02 Attachment of Required Application Documents.................................................................................70

8.03 Verifying the Submission and Tracking the Application.......................................................................71

8.04 Unique Entity Identifier and System for Award Management (SAM)................................................72

9.0 RESEARCH AREAS..............................................................................................................................................72

Advanced Communications, Networks and Scientific Data Systems..........................................................73

Advanced Manufacturing and Material Measurements..............................................................................73

Cybersecurity and Privacy.................................................................................................................................73

Fundamental Measurement, Quantum Science and Measurement Dissemination................................74

Health and Biological Systems Measurements..............................................................................................74
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Physical Infrastructure and Resilience.............................................................................................................74

Exploratory Measurement Science..................................................................................................................74

Appendix A COVER SHEET......................................................................................................................................76

Appendix B. SBIR Certifications.............................................................................................................................78

SBIR Funding Agreement Certification (at time of award) ...............................................................................78

SBIR Funding Agreement Certification (Life-Cycle Certifications) ...................................................................82

Appendix C. Required Disclosures of Foreign Affiliations or Relationships.................................................85

1.0PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION

1.01 Introduction

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

to submit Phase I research applications under this Notice of Funding Opportunity 

(NOFO). Science and technology-based firms with strong research capabilities in 

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

Applications must sufficiently identify and clearly address a specific NIST technical 

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

(see Section 3.02.02(1)(a) and (b)) or a NIST-patented technology available for 

licensing (see Section 3.02.02(1)(c)).

Only FY 2024 Phase I applications may be submitted in response to this 

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

a Phase II NOFO approximately 30 days prior to the end of the previous year’s 

Phase I period of performance to request Phase II applications. That NOFO provides 

instructions for Phase I awardees to prepare a Phase II application and the closing 

date for submission of applications; only the previous year’s Phase I awardees are 

eligible to submit a Phase II application. 

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

in 1982 by the Small Business Innovation Development Act (P.L. 97-219), codified at 

15 U.S.C. § 638. It was then expanded and extended by the Small Business 

Research and Development (R&D) Enhancement Act of 1992 (P.L. 102-564), and 

received subsequent reauthorization and extensions, the most recent of which 

extends the SBIR program through 2025 (P.L. 117-183).

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

research and development budget each year to fund research applications from 
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small science and technology-based firms. The statutory purpose of the SBIR 

Program is to strengthen the role of innovative small business concerns (SBCs) in 

Federally-funded research or research and development (R/R&D). Specific program 

goals are to: (1) stimulate technological innovation; (2) use small business to meet 

Federal R/R&D needs; (3) foster and encourage participation by socially and 

economically disadvantaged small businesses and by women-owned small 

businesses in technological innovation; and (4) increase private sector 

commercialization of innovations derived from Federal R/R&D, thereby increasing 

competition, productivity, and economic growth.

The NIST FY 2024 SBIR Program identifies and solicits applications in topics that 

fall within NIST’s mission, as described in Section 9.0 of this NOFO, and allow 

collaboration between NIST scientists and the SBIR awardees whenever possible.

When reviewing applications, NIST gives high priority to SBC’s that participate in or 

conduct energy efficiency or renewable energy system R&D prospects, consistent 

with Executive Order (EO) 13329, “Encouraging Innovation in Manufacturing,” § 

1203(e) of the Energy Independence and Security Act of 2007 (P.L. 110-140),

codified at 15 U.S.C. § 638(z), and the Small Business Administration (SBA) Small 

Business Innovation Research (SBIR) and Small Business Technology Transfer 

(STTR) Program Policy Directive, § 9.

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

by a patent or patent application, the SBIR awardee must contact NIST’s 

Technology Partnerships Office for a license to use the NIST-owned invention. Such 

awardees will be granted a non-exclusive research license and will be given the 

opportunity to negotiate a non-exclusive or an exclusive commercialization license to

the NIST-owned invention, in accordance with the Federal patent licensing 

regulations, set forth in 37 C.F.R. Part 404, and to the extent that such NIST-owned 

invention is available for licensing and has not otherwise been exclusively licensed 

to another party. It is the goal of this program to position the SBIR awardee to use 

and build upon such licensed NIST-owned invention with the awardee’s own 

innovation to develop a commercially viable product based on the NIST-owned 

invention.

1.02 Three-Phase Program

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

establish a three-phase SBIR program by reserving a percentage of its extramural 

R&D budget to be awarded to SBCs for innovation research. SBIR policy is provided 

by the SBA through the SBIR/STTR Policy Directive.
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The funding vehicles for NIST’s SBIR program in both Phase I and Phase II are 

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

cooperative agreements is 15 U.S.C. § 272(b)(4). NIST’s programmatic authorities 

for the research areas listed in this NOFO are found at 15 U.S.C. §§ 272(b) and (c). 

The nature of NIST’s “substantial involvement” will generally be collaboration with 

the awardees in carrying out the project’s approved scope of work. Administrative 

requirements for grants and cooperative agreements, set forth at 2 C.F.R. Part 200,

will apply to NIST SBIR awards.

1.02.01 Phase I – Feasibility Research

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

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

of the awardee’s performance. The application should concentrate on describing 

research that will significantly contribute to proving the feasibility of the proposed 

Phase II research and commercialization potential, prerequisites to receiving further 

support in Phase II. Each Phase I award is for up to $100,000 and up to a six (6) 

month period of performance. Up to an additional $6,500 may be requested for 

Technical and Business Assistance (TABA); see section 5.12 for more information 

about TABA. NIST’s inclusion of TABA funds in the award will be subject to the 

availability of NIST funding. 

1.02.02 Phase II – Research and Development

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

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

application preparation and submission requirements will be published in a NOFO 

approximately 30 days prior to the end of the FY2024 Phase I performance period.

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

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

for a Phase II award, each Phase I awardee will be required to submit a 

comprehensive application outlining the proposed research and a detailed plan to 

commercialize the final product. Each NIST Phase II award is for up to $400,000 and 

up to a 24-month period of performance. Once year after completing the Phase II 

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

activities.

1.02.03 Phase III – Commercialization
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Phase III refers to work that derives from, extends, or completes an effort made 

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

Program. Phase III may be for products, production, services, R/R&D, or a 

combination thereof.

1.02.04 Commercialization Readiness Pilot Program

15 U.S.C. § 638(gg) authorizes agencies to establish a Commercial Readiness Pilot 

Program (CRPP). Under a CRPP, follow-on funding (up to an additional $100,000) 

may be provided to selected awardees after competition of Phase II. The funding 

would be used to support advancement toward Phase III and to increase the 

likelihood of commercialization. NIST is under no obligation to make any CRPP 

awards.

1.03 SBIR Applicant Eligibility and Limitation

1.03.01 Applicant Qualifications

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

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

the principal investigator must be with the small business at the time of the award 

and during the conduct of the proposed research. Primary employment means that 

more than one-half of the principal’s investigator’s time is spent working with small 

business. Primary employment with a small business precludes full-time 

employment with another organization. Occasionally, deviations from this 

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

Officer after consultation with the SBIR Program Manager. Further, a small business 

may only replace the principal investigator on an SBIR Phase I award if the NIST 

Grants Officer provides prior written approval. Personnel obtained through a 

Professional Employer Organization or other similar personnel leasing company may 

be considered employees of the awardee.

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

exemption must be submitted in writing at the time of application submission. Only 

rare and unique circumstances will be considered for an exemption. The NIST 

Grants Officer must approve each exemption and its terms in writing.

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

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

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

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

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

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

exceed one-third of the total award. For Phase II, a minimum of one-half of the 

research and/or analytical effort and usage fees, and other subcontract/subaward or 

purchase agreements may not exceed one-half of the total award.

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

well as information required by the SBIR/STTR Policy Directive (see Appendices VVI). Each SBC applying for an award is required to update the appropriate 

information in the SBA database on SBIR.gov for any of its existing and prior Phase 

II awards.

Applicants may not participate in the review of applications.

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

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

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

any potential overlap on a case-by-case basis.

1.03.02 Company Registry Requirements

SBA maintains a Company Registry to track ownership and affiliation requirements 

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

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

applicant must save its information from the registration in a .pdf document 

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

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

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

submission or if any information changes prior to an award.

1.03.03 Performance Benchmark Ratings Requirements

Performance Benchmark Requirements

Companies with multiple SBIR/STTR awards must meet minimum performance 

benchmark requirements to be eligible to apply for a new Phase I or Direct-to-Phase 

II award. The performance benchmark requirements address the extent to which an 

awardee progresses a project from Phase I to Phase II (i.e., Phase I to Phase II 

Transition Rate Benchmark) and the extent to which an awardee progresses a 

project from Phase II towards commercialization (i.e., Commercialization Rate 
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Benchmark). The purpose of these benchmarks is to ensure that Phase I applicants 

that have won multiple prior SBIR/STTR awards are progressing towards 

commercialization. The benchmarks were published in the Federal Register for 

public comment and agreed upon by all 11 SBIR agencies. The Phase I to Phase II 

Transition Rate Benchmark was published at 78 FR 30951 in May 2013, and the 

Commercialization Rate Benchmark was published at 78 FR 59410 in September 

2013. The SBIR and STTR Extension Act of 2022 (Public Law 117-183) amended 

the application of these benchmarks for more experienced firms. This NOFO reflects 

those statutory changes.

Phase I to Phase II Transition Rate Benchmark

The Phase I to Phase II Transition Rate Benchmark only applies when a company 

has received 21 or more Phase I awards during the past five fiscal years, excluding 

the most recently completed fiscal year. It requires the company to average a ratio of 

Phase II to Phase I awards of at least 0.25, meaning the company must average one 

Phase II for every four Phase I awards received during the measurement period. 

To calculate the Phase I to Phase II Transition Rate, SBA divides the total number of 

SBIR and STTR Phase II awards a company received from all agencies during the 

past five fiscal years by the total number of SBIR and STTR Phase I awards the 

company received from all agencies during the past five fiscal years, excluding the 

most recently completed year. The Phase II period begins one year later because 

Phase II awards rarely occur during the same year as the Phase I.

Below is an example of the Phase I to Phase II Transition Rate Benchmark 

assessment for three hypothetical companies conducted in Fiscal Year 2023.

Company Phase I Awards 

(2017-2021)

Phase II Awards 

(2018-2022)

Transition Rate 

Calculation (Phase II 

Awards / Phase I Awards)

Assessment Outcome

Company A 21 7 0.33 Pass, ratio is equal or 

greater than 0.25

Company B 21 3 0.14 Fail, ratio is less than 

0.25.

Company C 20 3 N/A N/A –benchmark 

does not apply, firm 

has less than 21 

Phase I Awards.

Commercialization Rate Benchmark
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The Commercialization Rate Benchmark only applies when a company has received 

16 or more Phase II awards during the past ten fiscal years, excluding the two most 

recently completed fiscal years. It requires the company to average at least 

$100,000 of sales and/or investments per Phase II award received during the period; 

or have received a number of patents equal to or greater than 15% of the number of 

Phase II awards received during the period. The Commercialization Rate 

Benchmark calculation is based on data submitted through the SBIR.gov Company 

Commercialization Report. SBA utilizes reported total sales or revenues—including 

government designated Phase III awards, total dollars invested, or the number of 

patents, that resulted at least in part, from work performed under Phase II awards 

received during the 10-year period to calculate the Commercialization Rate 

Benchmark. A complete guide with additional details on what should and should not 

be reported is available 

here: Guide_for_completing_commercialization_Report_SBIR_Gov_09_15_20.pdf.

To calculate the Commercialization Rate Benchmark, SBA sums the countable 

commercialization resulting from the specific Phase II awards received during the 

10-year period and divides that number by the total number of Phase II awards 

received during the 10-year period. For determining the Commercialization Rate 

Benchmark based on patents, SBA divides the number of patents reported from the 

specific Phase II awards received during the 10-year period by the total number of 

Phase II awards received during the period.

Below is an example of a Commercialization Rate Benchmark assessment for four 

hypothetical companies conducted in Fiscal Year 2023.

Company Phase II 

Awards 

(2011-

2020)

Commercialization 

($) Resulting from 

Phase II Awards 

received between 

2011-2020

Patents 

Resulting 

from 

Phase II 

Awards 

received 

between 

2011-2020

Commercialization 

Rate 

(Commercialization

$ / # of Phase II 

Awards)

Patent 

Rate (# of 

Patents / 

# of 

Phase II 

Awards)

Assessment 

Outcome

Company A 16 $3,200,000 1 $200,000 .06 Pass. 

Commercialization 

rate meets or 

exceeds a 

$100,000 average. 

It does not matter 

that the patent 

rate is below the 

threshold.
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Company B 20 $1,900,000 3 $95,000 .15 Pass. Patent rate is 

at least 15%. It 

does not matter 

that the 

commercialization 

rate is below the 

threshold.

Company C 30 $2,500,000 3 $83,333 .10 Fail. Both the 

commercialization 

and patent rates 

are below the 

minimums.

Company D 15 $3,000,000 0 $200,000 .0 N/A –benchmark 

does not apply, 

firm has less than 

16 Phase II Awards.

Commercialization Reporting

SBIR and STTR awardees are required to update and maintain their organization’s 

Company Commercialization Report via SBIR.gov. The reporting is accessible when an 

authorized user (user is SAM.gov verified) accesses its SBIR.gov profile under the “My 

Dashboard” section. SBIR and STTR Phase II awardees are required to update its 

commercialization record when applying for new Phase II awards, at the conclusion of a 

Phase II award, and then voluntarily update the information in the database annually 

thereafter for a minimum period of 5 years (15 U.S.C. § 638 (k)).

Increased Performance Standards for More Experienced Firms

The SBIR and STTR Extension Act of 2022 (Pub. Law 117-183) established increased 

performance standards for more experienced firms. Effective as of April 1, 2023, the 

statute modifies the Phase I to Phase II Transition Rate Benchmark and the 

Commercialization Rate Benchmark based on a higher threshold of received awards.

Increased Performance Standard for the Phase I to Phase II Transition Rate 

Benchmark

The Increased Performance Standard for the Phase I to Phase II Transition Rate 

Benchmark only applies when a company has received or receives 51 or more Phase I 

awards during the past five fiscal years, excluding the most recently completed fiscal 

year. It requires the company to average a ratio of Phase II to Phase I awards of at least 
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0.50, meaning they must average one Phase II for every two Phase I awards received 

during the measurement period.

Increased Performance Standard for the Commercialization Rate Benchmark

The Increased Performance Standard for the Commercialization Rate 

Benchmark establishes two additional tiers, with each tier requiring an elevated 

performance requirement.

Tier 1 applies when a company has received or receives 51 or more Phase II awards 

during the past ten fiscal years, excluding the two most recently completed fiscal years. 

It requires the company to average at least $250,000 in aggregate sales and 

investments per Phase II award received during the period.

Tier 2 applies when a company has received or receives 101 or more Phase II awards 

during the past ten fiscal years, excluding the two most recently completed fiscal years. 

It requires the company to average at least $450,000 in aggregate sales and 

investments per Phase II award received during the period.

Please note, patents cannot be used to pass the Increased Performance 

Standards for the Commercialization Rate Benchmark.

Increased Performance Standards Documentation Requirement

The SBIR and STTR Extension Act of 2022 requires companies subject to the 

increased performance standard for the Commercialization Rate Benchmark to submit 

to SBA supporting documentation to support reported covered sales. The act defines 

covered sales as follows (15 U.S.C. § 638 (qq)(3)(B)(iii)(II)):

In this clause, the term "covered sale" means a sale by a small business concern-

• that the small business concern claims to be attributable to an SBIR or STTR 

award;

• for which no amount of the payment was or is made using Federal funds;

• which the small business concern uses to meet an applicable increased minimum 

performance standard under clause (i) [i.e., Increased Performance Standard for 

the Commercialization Rate Benchmark]; and

• that was or is received during the 5 fiscal years immediately preceding the fiscal 

year in which the small business concern uses the sale to meet the increased 

minimum performance standard.

Please note that government awards received as a prime or subcontractor that 

satisfy the definition of Phase III and result, at least in-part, from Phase II award(s) 
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received during the measurement period are not considered covered sales 

because the payment was or is made using Federal funds.

Note: For the Fiscal Year 2023 assessment, SBA will provide guidance directly to 

firms triggering the increased performance standards with instructions for 

providing the covered sales documentation. SBA anticipates company 

commercialization reporting system modifications to allow for uploading required 

documentation will be complete prior to the Fiscal Year 2024 assessment.

Consequences of Failure to Meet the Benchmarks

SBA will identify, on June 1 of each year, the companies that fail to meet the Phase I to 

Phase II Transition Benchmark, the Commercialization Rate Benchmark, or the 

Increased Performance Benchmarks for More Experienced Firms.

Companies that fail to meet either the Phase I to Phase II Transition Benchmark or the 

Commercialization Rate Benchmark will not be eligible to submit a proposal for a Phase 

I (or Direct-to-Phase II) award for a period of one year, beginning from the determination 

date (June 1).

Companies that fail to meet either of the benchmarks under the Increased Performance 

Standards for more Experienced Firms may not receive more than 20 total Phase I 

awards and Direct-to-Phase II awards from each Federal agency during the 1-year 

period beginning on the date of determination (June 1).

Section 3 of the SBIR/STTR Policy Directive defines a Federal Agency as follows:

(o) Federal Agency. An executive agency as defined in 5 U.S.C. 105, and a 

military department as defined in 5 U.S.C. 102 (Department of the Army, 

Department of the Navy, Department of the Air Force), except that it does not 

include any agency within the Intelligence Community as defined in Executive 

Order 12333, § 3.4(f), or its successor orders.

Notification

SBA will notify companies failing either of the benchmarks and the relevant officials at 

the participating agencies. The information on the companies will not be available to 

the public, but a confidential list of companies failing the benchmarks are required to be 

submitted to Congress.

To provide companies with advance warning, SBA notifies companies on April 1 if they 

are failing any of the benchmark(s). This notification also instructs companies to review 

the information available on SBIR.gov and to create or update its company 

commercialization report to ensure SBA utilizes the most complete and accurate data 

prior to the official assessment date. Companies identifying inaccuracies may provide 
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feedback through the SBIR.gov helpdesk https://www.sbir.gov/feedback. Companies 

should review and provide any feedback early, to ensure modifications are able to be 

addressed well in advance of the May 31 deadline.

Because the performance benchmark requirements only affect a company’s eligibility 

for new Phase I (or Direct-to-Phase II) awards, a company that fails to meet any of the 

required benchmarks may continue working on its current or ongoing SBIR/STTR 

awards and may apply for and receive new Phase II and Phase III awards.

Performance Benchmarks: General information on the Performance Benchmark 

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

1.04 Contact with NIST

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

the appropriate individual:

Subject Area Point of Contact

Programmatic Questions Jacqueline Gray

Phone: (240) 306-5564

E-mail: jacqueline.gray@nist.gov

or

Nicole Berry

Phone: (202) 235-3675

E-mail: nicole.berry@nist.gov

Electronic Application

Submission through Grants.gov

Grants.gov

(800) 518-4726

E-mail: support@grants.gov

Grant Rules and Regulations Dean Iwasaki

Phone: (301) 975-8449

E-mail: dean.iwasaki@nist.gov

Applicants may also contact the NIST Hollings Manufacturing Extension Partnership 

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

obtaining technical assistance from MEP Centers for application preparation can be 

found in Section 5.13 of this NOFO.
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1.05 Definitions

(a) General Definitions

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

excerpted from the SBA SBIR/STTR Policy Directive.

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

and that submits a contract proposal or a grant application for a funding agreement

under the SBIR/STTR Programs.

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

II, or Phase III award. An “SBIR/STTR Awardee.”

Commercialization – The process of developing products, processes, technologies, 

or services and the production and delivery (whether by the originating party or

others) of the products, processes, technologies, or services for sale to or use by 

the Federal government or commercial markets.

Contract, see 2 C.F.R. § 200.1 – For the purpose of Federal financial assistance, a 

legal instrument by which a recipient or subrecipient purchases property or services 

needed to carry out the project or program under a Federal award. For additional 

information on subrecipient and contractor determinations, see 2 C.F.R. § 200.331.

Cooperative Agreement, see 31 CFR §§ 6302 and 6305 – A legal instrument of 

financial assistance between a Federal awarding agency and a recipient or a passthrough entity and a subrecipient that is consistent with 31 U.S.C. §§ 6302, 6305:

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

anything of value to carry out a public purpose of support or stimulation 

authorized by a law of the United States (see 31 U.S.C. § 6101(3)); and not to 

acquire property or services for the Federal Government or pass- through 

entity's direct benefit or use;

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

Federal awarding agency in carrying out the activity contemplated by the 

Federal award.

Covered Individual, see 15 U.S.C. § 638(e)(15) – An individual who—
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(1) contributes in a substantive, meaningful way to the scientific development or 

execution of a research and development project proposed to be carried out 

with a research and development award from a Federal research agency; 

and

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

concerned.

Essentially Equivalent Work – Work that is substantially the same research, which is 

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

submitted to the same Federal agency, or submitted to two or more different 

Federal agencies for review and funding consideration; or work where a specific 

research objective and the research design for accomplishing the objective are the 

same or closely related to another proposal or award, regardless of the funding 

source.

Federally Funded Award – A Phase I, Phase II (including a Phase II award under 

subsection (cc)), or Phase III SBIR or STTR award made using a funding 

agreement.

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

professional, or institutional appointment or position with a foreign government or 

government-owned entity, whether full-time, part-time, or voluntary (including 

adjunct, visiting, or honorary).

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

China, the Democratic People’s Republic of Korea, the Russian Federation, the 

Islamic Republic of Iran, or any other country determined to be a country of concern 

by the Secretary of State.

Funding Agreement – Any contract, grant, or cooperative agreement entered into 

between any Federal agency and any SBC for the performance of experimental, 

developmental, or research work, including products or services, funded in whole or 

in part by the Federal Government.

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

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

U.S.C. § 19237 – Is –

(1) Any program, position, or activity that includes compensation in the form of 
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cash, in-kind compensation, including research funding, promised future 

compensation, complimentary foreign travel, things of non de minimis value, 

honorific titles, career advancement opportunities, or other types of 

remuneration or consideration directly provided by a foreign country at any level 

(national, provincial, or local) or their designee, or an entity based in, funded by, 

or affiliated with a foreign country, whether or not directly sponsored by the 

foreign country, to the targeted individual, whether directly or indirectly stated in 

the arrangement, contract, or other documentation at issue, in exchange for the 

individual—

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

data products, or other nonpublic information owned by a United States 

entity or developed with a Federal research and development award to 

the government of a foreign country or an entity based in, funded by, or 

affiliated with a foreign country regardless of whether that government or 

entity provided support for the development of the intellectual property, 

materials, or data products;

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

program, position, or activity;

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

undertaking any other employment or appointment in a foreign country or 

with an entity based in, funded by, or affiliated with a foreign country if

such activities are in violation of the standard terms and conditions of a 

Federal research and development award;

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

or agreement except in extraordinary circumstances;

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

being limited in the capacity to carry out a research and development 

award or required to engage in work that would result in substantial 

overlap or duplication with a Federal research and development award;

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

sponsoring foreign government’s funding agencies with the sponsoring 

foreign organization as the recipient;

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

with which the individual is affiliated, or the Federal research agency 

sponsoring the research and development award, contrary to the

institutional policies or standard terms and conditions of the Federal 

research and development award;

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

employing institution the participation of such individual in such 

program, position, or activity; or
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(ix) having a conflict of interest or conflict of commitment contrary to the

standard terms and conditions of the Federal research and 

development award; and

(2) a program that is sponsored by—

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

of concern, whether or not directly sponsored by the foreign country 

of concern;

(ii) an academic institution on the list developed under section 1286(c)(8)

of the John S. McCain National Defense Authorization Act for Fiscal 

Year 2019 (10 U.S.C. 2358 note; Public Law 115-232); or

(iii) a foreign talent recruitment program on the list developed under

section 1286(c)(9) of the John S. McCain National Defense 

Authorization Act for Fiscal Year 2019 (10 U.S.C. § 2358 note; Public 

Law 115-232).

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

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

subject studied;

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

innovation to meet a recognized but unmet need; or

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

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

development,

and improvement of prototypes and new processes to meet specific

requirements.

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

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

standards are applicable to the SBIR and STTR programs?” (available at 

https://www.ecfr.gov/cgi-bin/textidx?SID=3ccaf429aac93292cdf7afdc1689514e&mc=true&node=se13.1.121_1702&rgn=d

iv8.

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

Subpart B.

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

124.104.

Subaward, 2 CFR § 200.1 – An award provided by a pass-through entity to a 
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subrecipient for the subrecipient to carry out part of a Federal award received by the 

pass-through entity. It does not include payments to a contractor or payments to an 

individual that is a beneficiary of a Federal program. A subaward may be provided 

through any form of legal agreement, including an agreement that the pass-through 

entity considers a contract.

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

or more women, or in the case of any publicly owned business, at least 51% of the 

stock is owned by women, and women control the management and daily business 

operations.

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

definitions are also included in Section 5.04.02 of this NOFO.

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

Computer Database – A collection of data recorded in a form capable of being

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

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

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

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

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

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

Computer Software does not include Computer Databases or Computer Software 

Documentation.

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

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

medium, that explain the capabilities of the Computer Software or provide instructions for 

using the software.

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

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

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

management information.

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

sufficient to enable physical and functional interchangeability, and data identifying source, 
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size, configuration, mating and attachment characteristics, functional characteristics, and 

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

functional characteristics, and performance requirements, but specifically excludes the 

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

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

including cooperative agreements with international or multi-national defense 

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

governments or international organizations. Government Purposes include competitive 

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

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

authorize others to do so.

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

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

including detailed manufacturing or process data).

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

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

Software.

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

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

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

Government for:

(i) Use in Federal Government computers;

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

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

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

software is marked as containing SBIR/STTR Data;

(iii) Archive or backup; or

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

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

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

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

recipient.

(2) The Federal Government shall not release, disclose, or permit access to 
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SBIR/STTR Data that is Computer Software for commercial, manufacturing, or 

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

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

outside the Government without the written permission of the Awardee unless:

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

agreement with the Government that complies with the terms for such 

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

(ii) The release or disclosure is—

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

subcontractor for purposes of supporting Government internal use or 

activities, including evaluation, diagnosis and correction of deficiencies, 

and adaptation, combination, or integration with other Computer 

Software provided that SBIR/STTR Data incorporated into any 

derivative software are subject to the rights in § 3(ee) of the 

SBIR/STTR Policy Directive; or

(B) Necessary to support certain narrowly-tailored essential 

Government activities for which law or regulation permits access of a 

non-Government entity to a contractors’ data developed exclusively at 

private expense, non-SBIR/STTR Data, such as for emergency repair 

and overhaul.

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

STTR award, including Technical Data and Computer Software developed or 

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

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

administrative, cost or pricing or management information.

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

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

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

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

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

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

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

relieved of all disclosure prohibitions and assumes no liability for unauthorized use of 
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these data by third parties. The Federal Government receives Unlimited Rights in 

Form Fit, and Function Data, OMIT Data, and all unmarked SBIR/STTR Data.

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

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

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

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

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

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

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

type of Data other than Computer Software.

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

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

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

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

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

paragraph (2) below or by written permission of the Awardee.

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

Federal Government without any additional written permission of the Awardee 

only if the non-Governmental entity or foreign government has entered into a 

non-disclosure agreement with the Federal Government that complies with the 

terms for such agreements outlined in § 8 of the SBIR/STTR Policy Directive 

and the release is:

(i) Necessary to support certain narrowly tailored essential Government 

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

entity to a

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

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

Government support services contract for internal Government use or 

activities, including evaluation, diagnosis or modification, provided that 

SBIR/STTR Technical Data incorporated into any derivative Data are 

subject to the rights in § 3(ii) of the SBIR/STTR Policy Directive, and the 

release is not for commercial purposes or manufacture;

(iii) To a foreign government for purposes of information and evaluation if 
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required to serve the interests of the U.S. Government; or

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

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

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

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

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

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

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

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

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

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

authorize others to do so.

1.06 Fraud, Waste and Abuse

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

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

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

a benefit, privilege, allowance, or consideration to which an individual or business is 

not entitled. Waste includes extravagant, careless, or needless expenditure of 

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

deficient practices, systems, controls, or decisions. Abuse includes any intentional or 

improper use of Government resources, such as misuse of rank, position, or authority 

or resources.

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

are not limited to:

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

funding under, an SBIR/STTR award;

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

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

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

funds while not in full compliance with SBIR/STTR Program requirements, or 

failure to pay taxes due on misused or converted SBIR/STTR award funds;
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(iv) fabrication, falsification, or plagiarism in applying for, carrying out, or reporting 

results from an SBIR/STTR award;

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

(vi) extravagant, careless, or needless spending;

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

Investigator (PI) has a financial interest;

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

contract awards or other conflicts of interest that prevents the Government from 

getting the best value; and

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

that awardee meets all required eligibility requirements, provides all required 

certifications, performs in accordance with the terms and conditions of the 

award, and performs all work proposed in the application.

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

Commerce Office of the Inspector General Online Complaint Form. Contact information 

for the Office of Inspector General is available at: 

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

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

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

other personally identifying information that could adversely affect an individual. Should 

you desire to provide this information, it is strongly recommended that you contact the 

Hotline by telephone at the number listed below.

Phone:

Toll Free 800-424-5197

Mail:

Office of Inspector General Hotline 

HCHB 7709

1401 Constitution Avenue, N.W. 

Washington, DC 20230

1.07 Other Information

1.07.01 Personal and Business Information
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The applicant acknowledges and understands that information and data contained in 

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

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

Department of Commerce in conducting reviews and evaluations of its financial 

assistance programs. For this purpose, applicant information and data may be 

accessed, reviewed and evaluated by Department of Commerce employees, other 

Federal employees, and also by Federal agents and contractors, and/or by non-Federal 

personnel, all of whom enter into appropriate conflict of interest and confidentiality 

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

conditions of a specific financial assistance ward, applicants are expected to support 

program reviews and evaluations by submitting required financial and performance 

information and data in an accurate and timely manner and by cooperating with 

Department of Commerce and external program evaluators. In accordance with 2 

C.F.R. 200.303(e), applicants are reminded that they must take reasonable measures to 

safeguard protected personally identifiable information and other confidential or 

sensitive personal or business information crated or obtained in connection with a 

Department of Commerce financial assistance award.

In addition, Department of Commerce regulations implementing the Freedom of 

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

Information. These regulations set forth rules for the Department regarding making 

requested materials, information, and records publicly available under the FOIA.

Applications submitted in response to this Notice of Funding Opportunity may be subject 

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

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

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

bracketed, and marked as Privileged, Confidential, Commercial or Financial Information.

In accordance with 15 CFR § 4.9, the Department of Commerce will protect from 

disclosure confidential business information contained in financial assistance 

applications and other documentation provided by applicants to the extent permitted by

law.

2.0 CERTIFICATIONS AND RESEARCH INVOLVING HUMANS OR ANIMALS

2.01 Due Diligence Certification

The SBIR and STTR Extension Act of 2022 (the Act), Pub. L. 117-183, requires that all 

agencies funding SBIR awards, including NIST, establish a due diligence program to 

assess security risks presented by small business concerns seeking a federally funded 

SBIR award. Specifically, NIST must assess the “cybersecurity practices, patent 

analysis, employee analysis, and foreign ownership of a small business concern 
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seeking an award, including any financial ties and obligations (which shall include 

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

. . . to a foreign country, foreign person, or foreign entity. . . ”. 15 U.S.C. § 638(vv)(2). 

NIST is prohibited from funding awards to businesses with specified relationships and 

commitments described in 15 U.S.C. § 638(g)(15)(A) to foreign countries of concern 

that are determined to fall into one of the categories listed in 15 U.S.C. § 638(g)(15)(B).

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

that discloses the ownership, financial ties, technology licensing or intellectual sales, 

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

China, the Democratic People’s Republic of Korea, the Russian Federation, the Islamic 

Republic of Iran, and/or any other country determined to be a country of concern by the 

Secretary of State of concern prior to award, and as required during the life of the 

funding agreement. The Required Disclosures of Foreign Affiliations or Relationships to 

Foreign Countries is available in Appendix C of this NOFO.

2.02 Cyber Security Education and Training Requirements for Phase I and Phase II 

Awardees.

As is stated above in Section 2.01 of this NOFO, the Act requires that each due 

diligence program assess security risks presented by small business concerns seeking 

a federally funded award, as follows:

(A) assess, using a risk-based approach as appropriate, the cybersecurity 

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

business concern seeking an award, including the financial ties and obligations 

(which shall include surety, equity, and debt obligations) of the small business 

concern and employees of the small business concern to a foreign country, 

foreign person, or foreign entity; and

(B) assess awards and proposals or applications, as applicable, using a riskbased approach as appropriate, including through the use of open-source 

analysis and analytical tools, for the nondisclosures of information required under 

(g)(13).

To meet the requirements of Sections (A) and (B) of the Act, Phase I and Phase II 

awardees receiving SBIR awards from NIST will be required to complete the following 

due diligence education and training activities.

2.02.01 Phase I Cybersecurity Activities
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a. Training Videos on Mitigation Techniques. The NIST SBIR Program 

Office will require Phase I awardees to watch the Department of 

Defense’s Cyber Attacks, the Insider Threat and the Defense 

Counterintelligence and Security Agency’s Cybersecurity Awareness. 

Both videos outline mitigation techniques for cyber-attacks and guidelines 

to help ensure that employees and the workplace are following proper 

cyber security mitigation practices. Individual(s) who manage the IT 

system(s) of the small business should watch these videos. The NIST 

SBIR homepage will be updated to include these links.

b. Cybersecurity Awareness Training. NIST also will require Phase I 

awardees to attend Cybersecurity Awareness Training hosted by the 

Defense Counterintelligence and Security Agency’s Center for 

Development of Security Excellence. This informative training is part of 

the Office of the Director of National Intelligence’s (ODNI’s) Safeguarding 

Science Toolkit and has a printable guide. The certificate generated at 

the completion of the training shall be submitted to the NIST SBIR 

Program Office no later than 30 days after receipt of award.

2.02.02 Phase II Cybersecurity Activities

a. NIST Phase II awards are focused on the implementation of the proof-ofconcept and development of a prototype. Phase II work must be 

completed within twenty-four months and is typically funded up to 

$400,000. Due to the increased complexity of this work, Phase II awards 

are considered higher risk than Phase I, and, therefore, Phase II 

awardees will be required to complete the cybersecurity training listed 

below.

b. Phase II awardees shall complete the three part Cyber Training Series

within 90 days of receiving the notification of recommendation of award 

for Phase II. This series is part of the Safeguarding Science initiative, 

which also is sponsored by the ODNI and recommended by the Federal 

Bureau of Investigation (FBI). The series has three interactive modules 

presenting cyber information, with each module followed by a brief quiz 

pertaining to the content presented. Following each quiz, the participant 

attending the training shall take a screenshot of the quiz results and send 

to the NIST SBIR Program Office for confirmation of completion.

2.03 Funding Agreement Certification
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Awardees will be required to certify size, ownership and other SBIR Program 

requirements at the time of award and during the funding agreement life cycle, using the 

SBIR Funding Agreement Certification and SBIR Funding Agreement Certification –

Life-Cycle Certification, which are provided in Appendix B of this NOFO.

2.04 Research Activities Involving Human Subjects and Human Tissue, and/or Data or 

Recordings Including Software Testing

This section summarizes the requirements for applications that potentially involve 

research involving human subjects. Additional information that describes the NIST 

review process for such applications and provides details regarding the documentation 

required is available here: https://www.nist.gov/oaam/nist-notice-funding-opportunityrequirements-human-subjects- and-live- vertebrate-animal. Both this summary and the 

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

under this NOFO.

Any application that includes research activities involving human subjects, human 

tissue/cells, or data or recordings from or about human subjects, including software 

testing, must satisfy the requirements of the Common Rule for the Protection of Human 

Subjects (Common Rule), codified for the Department of Commerce at 15 C.F.R. Part 

27.

1 Research activities involving human subjects that fall within one or more of the 

classes of vulnerable subjects found in 45 C.F.R. Part 46, Subparts B, C and D must 

satisfy the requirements of the applicable subpart(s). In addition, any such application 

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

statutory requirements imposed upon the Department of Health and Human Services 

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

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

topics, and all Executive Orders and Presidential statements of policy on applicable 

topics. The website of the Office of Human Research Protection (OHRP) in the DHHS 

contains the applicable regulatory, policy and guidance and (includes links to FDA, but 

may not include all applicable FDA regulations and policies.

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

Institutional Review Board (IRB) are required to follow the procedures of their 

organization for approval of exempt and non-exempt research activities that involve 

human subjects. The IRB must be currently registered with OHRP that is linked to the 

engaged organization. Organizations that do not have an IRB must demonstrate the 

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

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

1 NIST uses the Common Rule definitions for research and human subjects research contained in 15 

C.F.R. § 27.102.
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Federalwide Assurance (FWA) on file from OHRP. The NIST IRB is unable to serve as 

the IRB for financial assistance recipients.

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

administrative review of all applications that potentially include research involving 

human subjects and were approved by an authorized non-NIST institutional entity (an 

IRB or entity analogous to the NIST RPO) under 15 C.F.R. § 27.112 (Review by 

Institution). Conducting an “administrative review” means that the NIST RPO will 

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

Rule and all documentation that support such determinations.

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

task, all research activities believed to be exempt or non-exempt research involving 

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

human subjects may be conducted, and the institution(s) expected to be engaged in 

the research activities. Some documents may be requested for a pre-review during the 

proposal review process; however, the Grants Officer may allow final versions of 

certain required documents to be produced at an appropriate designated time postaward. If an award is issued, no research activities involving live vertebrate animals 

shall be initiated or costs incurred for those activities under the award until the NIST 

Grants Officer issues written approval. In addition, all re-approvals, amendments, 

modifications, changes, annual reports and closure will be reviewed by NIST.

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

the existing NIST policy and requirements for Research Involving Human Subjects. 

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

of award may be incorporated into the award. If the policy is revised after award, a 

clause reflecting the updated policy may be incorporated into the award.

For more information regarding research projects involving human subjects, contact 

Anne Andrews, Director, NIST Research Protections Office (e-mail: 

anne.andrews@nist.gov; phone: (301) 975-5445).

2.05 Research Activities Involving Life Vertebrate Animals or Pre-Existing Cell 

Lines/Tissues From Vertebrate Animals

This section summarizes the requirements for applications that potentially involve 

research involving live vertebrate animals or pre-existing cell lines or tissues from 

vertebrate animals. Additional information that describes the NIST review process for 

such applications and provides details regarding the documentation required is 
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available here: https://www.nist.gov/oaam/nist-notice- funding-opportunityrequirements-human-subjects- and-live-vertebrate-animal. Both this summary and the 

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

under this NOFO.

Any application that proposes research activities involving live vertebrate animals that 

are to be cared for, euthanized, or used by award recipients to accomplish research 

goals, teaching, or testing must meet the requirements of the Animal Welfare Act 

(AWA) (7 U.S.C. § 2131 et seq.), and the AWA final rules (9 C.F.R. Parts 1, 2, and 3), 

and if appropriate, the Good Laboratory Practice for Nonclinical Laboratory Studies (21 

C.F.R. Part 58). In addition, such research activities should be in compliance with the 

“U.S. Government Principles for Utilization and Care of Vertebrate Animals Used in 

Testing, Research, and Training” (Principles).

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

potentially include research activities that involve live vertebrate animals, or custom 

samples from, or field studies with live vertebrate animals. Conducting an 

“administrative review” means that the NIST RPO will review and verify the performing 

institution’s determinations made under the applicable legal and policy requirements 

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

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

Officer may allow final versions of certain required documents to be produced at an 

appropriate designated time post-award. If an award is issued, no research activities 

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

under the award until the NIST Grants Officer issues written approval. In addition, all reapprovals, amendments, modifications, changes, annual reports, and closure will be 

reviewed by NIST.

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

activities believed to include research involving live vertebrate animals and the 

institution(s) where the research activities involving live vertebrate animals may be 

conducted. In addition, the applicant should indicate any activity/task that involves an 

excluded or custom collection from vertebrate animals, or a field study with animals.

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

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

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

award may be incorporated into the award. If the policy is revised after award, a clause 

reflecting the updated policy may be incorporated into the award.
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For more information regarding research projects involving live vertebrate animals, 

contact Anne Andrews, Director, NIST Research Protections Office (e-mail: 

anne.andrews@nist.gov; phone: 301- 975-5445).

2.06 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, 

Unpaid Federal Tax Assessments and Delinquent Federal Tax Returns

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

selected applicant(s) may be required to provide certain pre-award certifications 

regarding federal felony and federal criminal tax convictions, unpaid federal tax 

assessments, and delinquent federal tax returns.

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.01 Phase I Application Requirements

Only FY 2024 Phase I applications may be submitted in response to this NOFO. 

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

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

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

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

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

submit a Phase II application.

The application must provide sufficient information to demonstrate that the proposed 

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

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

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

areas described in Section 9.0 or a NIST-patented technology available for licensing (a

search for NIST-patented technologies may be conducted at the NIST Patent Website). 

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

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

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

indicate a thorough knowledge of the current status of research area addressed by the 

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

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

and 8.01).

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

commercial product, process, or service that benefits the public.
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NIST reserves the right to not submit an application for merit review if NIST determines 

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

applicable Screening Criteria in Section 4.02 or is missing any of the required forms and 

documents listed in Section 8.01.

3.01.01 SBA Data Collection Requirement

All applicants are required to provide certain information for inclusion into SBA’s 

SBIR.gov database by completing the Company Commercialization Report (CCR). The 

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

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

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

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

the database upon completion of the last program objective under the funding 

agreement and is requested to voluntarily update the information in the database 

annually thereafter for a minimum period of 5 years.

Applicants shall complete the CCR by logging into their company’s existing account or 

register for a new account at www.SBIR.gov. Instructions for applicants to complete and 

include the CCR with its application are listed below.

1. Log into www.SBIR.gov.

2. Use the Login/Register prompt at the top of the home page to login to 

your existing account or to register and create a new account.

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

information currently contained in the Company Registry 

Commercialization Report.

4. Create or update the commercialization record from the company 

dashboard by scrolling to the “My Commercialization” section and 

clicking the create/update Commercialization tab under “Current Report 

Version.” Please refer to the “Instructions” and “Guide” documents 

contained in this section of the Dashboard for details on completing and 

updating the CCR. Ensure the report is certified and submitted.

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

Documents section of the dashboard to download a PDF of the CCR.

6. Submit your CCR along with the proposal documents listed in Section 

8.01 Required Fast- Track Forms and Documents, of this NOFO.

3.02 Phase I Application

A complete application must include a Technical Proposal (described below) and all 
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other forms and documents listed in Section 8.01. An applicant may not submit multiple 

applications – applications are limited to one proposal per SBC.

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

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

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

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

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

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

page limit will not be considered in the evaluation process. Pages should be of standard 

size (8 1/2” x 11”; 21.6 cm x 27.9 cm) with margins of 2.5 cm and type at least 10-point 

font. All units of measurement should be presented in metric units.

The Technical Proposal portion of the application requires the following:

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

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

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

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

Section 8.01 are not included in the 15-page count.

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

NOFO.

3.02.01 Cover Sheet

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

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

Proposal.

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

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

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

initiatives to help identify potential opportunities to accelerate and strengthen growth 

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

manufacturers, including business-related support services that could potentially benefit 

the applicant’s proposed project.

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

(limited to 200 words) and summary of potential commercial application of the research 
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results (limited to 100 words). Each applicant’s abstract and summary of potential 

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

information. Each awardee’s abstract and summary of potential commercial applications 

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

3.02.02 Technical Content

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

headings as shown:

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

first paragraph of the proposal must describe a research project that addresses a 

current NIST technical program area falling within one of the research areas 

identified in Section 9.0 or a research project that utilizes a NIST-patented 

technology available for licensing. 

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

NIST technical program area must identify the NIST program area and the 

specific NIST Laboratory performing the research. Simply providing a

research area from Section 9.0 Research Areas, is not sufficient. Applicants

may not cite programs describing NIST extramural activities such as those 

from the Manufacturing Extension Program; the Baldridge Performance 

Excellence Program; the Office of Advanced Manufacturing, AMTech, or 

Manufacturing USA.

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

opportunity related to a current NIST technical program area are as follows:

1. Go to the NIST website.

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

being performed at NIST.

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

topic.

4. Select the specific project or program you wish to address in

your technical proposal along with the name of the specific 

laboratory performing the research.

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

While the proposals must align with a NIST program area, the end product 
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does not need to mimic closely any particular NIST project found within a 

NIST program area. For example, the NIST Material Measurement 

Laboratory has an active technical program area for creating methods for 

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

that program area could be developing methods for determining the effect of

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

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

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

projects listed within that program area.

(c) Proposals addressing a commercialization opportunity related to a NISTpatented technology that is available for licensing must cite the appropriate 

invention page from the NIST Patent Website, or cite a U.S. patent number, 

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

If information is needed regarding the availability of a particular NIST-owned 

patent for licensing, please contact Jacqueline Gray 

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

communication, before submitting an application.

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

statement of the specific research problem or opportunity addressed, its 

innovativeness, commercial potential, and why the research is important.

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

including the technical question it will try to answer, including plans for 

commercialization, to determine the feasibility of the proposed approach.

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

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

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

task should be discussed in detail.

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

application, including any conducted by the principal investigator or by the proposing 

SBC. Describe how it relates to the proposed effort and describe any planned 

coordination with outside sources. The applicant must persuade evaluators of his or 

her awareness of key, recent R/R&D conducted by others in the specific topic area.

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

involved in Phase I, including their related education, experience, and publications. 

Where vitae are extensive, summaries that focus on the most relevant experience 

and publications are desired and may be necessary to meet application size 
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limitations.

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

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

commercial results of the proposed approach.

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

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

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

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

and that arrangements for such assistance are in place at the time of the application 

submission.

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

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

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

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

analytical effort in Phase I. The total cost for all consultant fees, facility leases, usage 

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

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

have been the recipient of any NIST information related to the research area that is

not generally available to the public.

The applicant must also include Letters of Commitment from any participating 

consultants, subrecipients, or subcontractors. The Letters of Commitment are

separate from the Technical Proposal and do not count against the page limit. See 

Section 8.01.15.

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

opportunities for small businesses to convert research into technological innovation 

in the private sector. All proposed research should have a commercial outcome. 

Describe in detail the commercial potential of the proposed research, how 

commercialization would be pursued and potentially used by the private sector 

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

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

publications. Provide any indicators of commercial potential and address the 

following:

(a) Market opportunity – Describe the current and anticipated target market, the 
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size of the market, and include a brief profile of the potential customer(s).

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

proposition and competitive advantage of the product or service enabled by 

the proposed innovation. Also include the critical milestones and pathway for 

commercial deployment of the proposed product or service.

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

SBIR award. Describe the existence of any outside, non-SBIR funding or 

partnering commitments including any Phase II funding commitments from 

private sector or non-SBIR funding sources and/or the existence of Phase III 

follow-on commitments for the subject research.

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

product or service.

(e) Experience - Describe your record of commercializing SBIR or another 

research. Include any additional indicators of the commercial potential of the 

idea.

(11) Cooperative Research and Development Agreements (CRADAs). State if the 

applicant is a former or current CRADA partner with NIST, or with any other Federal 

agency, naming the agency, title of the CRADA, and any relationship with the 

proposed work. The statement of work of an SBIR award awarded under this NOFO 

cannot overlap with the statement of work of an existing CRADA with any federal 

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

overlap on a case-by-case basis.

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

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

foreign guest researcher at NIST (see 

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

NIST laboratory.

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

evaluation process for Phase I applications.

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

identical applications or applications containing a significant amount of essentially 

equivalent work for consideration under numerous Federal program funding 

announcements, it is unlawful to enter into a funding agreement requiring 

essentially equivalent work to an SBIR award (see 15 U.S.C. § 638(bb)(3)). If 
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there is any question concerning this, it must be disclosed to the soliciting agency or 

agencies before award.

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

same as another application that has been funded, is now being funded, 

or is pending with another Federal Agency, the applicant must provide 

the following information:

(a) Name and addresses of agencies to which and application was 

submitted or from which an award was received.

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

(c) Title, number, and date of NOFO(s) under which an application 

was submitted or award received.

(d) Specific applicable research topic(s) for each application 

submitted or award received.

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

received.

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

each application submitted or award received.

If no equivalent application is under consideration or award for equivalent work 

received, a statement to that effect must be included in this section of the technical 

content area of the application.

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

awards in the prior 5 fiscal years, the SBC must submit the following information in 

its Phase I application: name of the awarding agency; date of award; funding 

agreement number; amount of award; topic, subtopic, or research area title; followon agreement amount; source and date of commitment; and current 

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

be counted toward the 15-page Technical Proposal limitation.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

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

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

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

evaluated in accordance with the evaluation criteria (see Section 4.03). Each application 

will be judged on its own merit.

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

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

for the same research area. If an application is submitted that requires a license to use 

a NIST-owned invention covered by a patent or patent application and such NISTowned invention has become unavailable for licensing prior to the close of this NOFO in 

the field of use relevant to the application, NIST has the sole discretion to deem the 

application ineligible.

4.02 Phase I Screening Criteria

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

Criteria to assure that your application meets NIST requirements. Phase I applications 

that do not clearly satisfy all eight (8) of the screening criteria will be eliminated from the 

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

its sole discretion, may continue the review process for an application that is missing 

minor non- substantive information, the absence of which may easily be rectified.

The screening criteria are:

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

Section 6.01.

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

Section 1.03.

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

Section 8.01:

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

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

iii) CD-511, Certification Regarding Lobbying

iv) Research and Related Other Project Information
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v) SF-LLL – Disclosure of Lobbying Activities (if applicable)

vi) Technical Content – see Section 3.02

a. Cover Sheet – see Section 3.02.01

b. Technical Proposal – see Section 3.02.02

vii) Budget Narrative and Justification – see Section 8.01.7

viii) Indirect Cost Rate Agreement – see Section 8.01.8

ix) SBA Company Registry Form – see Section 8.01.9

x) Data Management Plan -see Section 8.01.10

xi) Subaward Budget Form - see Section 8.01.11

xii) Research and Related Personal Data – see Section 8.01.12

xiii) Current and Pending Support Form – see Section 8.01.13

xiv) Compliance with SBIR Program Requirements, Applicant Fraud 

Awareness Training – Certificate of Training Completion – see Section 

8.01.14

xv) Letters of Commitment – see Section 8.01.15

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

xvii) Appendix C. Required Disclosures or Relationships to Foreign Countries

– see Section 8.01.17

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

support.

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

areas listed in Section 9 of this NOFO, or, submitted under a NIST-patented 

technology that is available for licensing (see NIST Patent Website). Applicants’ 

proposals must clearly address either option selected.

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

additional $6,500 may be requested for TABA. NIST’s inclusion of TABA funds in 

the award will be subject to the availability of NIST funding. For Phase I, a 

minimum of two-thirds of the research and/or analytical effort must be performed 

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

and other subcontract/subaward or purchase agreements may not exceed onethird of the total award (Section 1.03).

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

months. If an application is submitted that requires a license to use a NISTowned invention covered by a patent or patent application, the relevant NIST-
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owned invention must be available for licensing prior to the close of this NOFO in 

the field of use relevant to the application.

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

commercialization within the 15-page technical proposal (Sections 3.02.02(3) 

and 3.02.02.(10)); a separate commercialization plan is not required.

4.03 Phase I Evaluation Criteria

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

scored merit review process.

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

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

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

with each other, but scores will be determined on an individual basis, not as a 

consensus. The reviewers will evaluate:

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

feasible, and demonstrates a clear understanding of the research area. (20 

points)

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

proposed principal/key investigators, supporting staff, and consultants as they 

relate to accomplishing the proposed research effort. In addition, reviewers will 

evaluate, as applicable, the extent to which the applicant has access to the 

facilities and equipment necessary to complete the proposed research. (5 

points)

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

product or service with a viable pathway for commercial deployment as 

described in the applicant’s commercialization discussion. (30 points)

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

service. (25 points)
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(5) The extent to which the proposed commercial product or service relates to the 

goals of a NIST technical program and the NIST mission available at 

www.nist.gov/about-nist. (20 points)

4.04 Phase I Award Selections

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

Technology Partnerships Office, or designee.

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

order is justified based upon any of the following factors:

(1)Diversity across NIST program areas;

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

and energy efficiency research;

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

economically disadvantaged SBCs, and SBCs from HUBZones or 

underserved-states;

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

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

(6)Availability of funding.

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

application. Prior to issuing an award, NIST may ask for supplemental information and may 

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

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

Officer are final.

4.04.01 Federal Awarding Agency Review of Risk Posed by Applicants

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

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

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

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

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

requirements imposed on non-Federal entities.
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Review of applications, selection of successful applicants, and award processing is 

expected to be completed by February. The earliest start date for awards under this 

NOFO is expected to be March.

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

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

and consider the publicly available information about that applicant in the System for

Award Management (SAM.gov). An applicant may, at its discretion, review and 

comment on information about itself previously entered into SAM.gov by a Federal 

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

consider any comments made by the applicant in SAM.gov in making its determination 

about the applicant’s integrity, business ethics, and record of performance under 

Federal awards. Upon completion of the pre-award risk assessment, the Grants Officer 

will make a responsibility determination concerning whether the applicant is qualified to 

receive the subject award and, if so, whether appropriate specific conditions that 

correspond to the degree of risk posed by the applicant should be applied to an award.

4.04.02 Release of Proposal Review Information

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

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

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

disclosed.

5.0 CONSIDERATIONS

5.01 Awards

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

Administrative Requirements, Cost Principles, and Audit Requirements for 

Federal Awards at 2 C.F.R. Part 200, which apply to awards in this program.

The Department of Commerce will apply to all awards made under this NOFO the 

Financial Assistance Standard Terms and Conditions in effect on the date of award. The 

current version is dated November 12, 2020.
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The Department of Commerce Pre-Award Notification Requirements for Grants 

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

this NOFO.

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

approximately ten (10) Phase I awards with a project budget of no more than$100,000 

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

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

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

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

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

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

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

performance in Phase II will depend upon the scope of the research but should not 

exceed 24 months. One year after completing the R&D activity, the awardee shall be 

required to report on its commercialization activities. The total period of performance for 

Phase II is 36 months.

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

awards, depending upon the availability of funds. To provide for an in-depth review of 

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

approximately 4 months after the completion of Phase I, contingent upon availability of 

funds.

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

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

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

any costs incurred by the applicants before awards are made. Publication of this NOFO 

does not oblige NIST or the Department of Commerce to award any specific project or 

to obligate any available funds. NIST issues this notice subject to the appropriations 

made available under the current continuing resolution funding the Department of 

Commerce: the Continuing Appropriations Act, 2024 and Other Extensions Ac, Pub. L. 

118-15 (September 30, 2023). NIST anticipates making awards for the program listed in 

this notice provided that funding for Fiscal Year 2024 is continued beyond November 

17, 2023, the expiration of the current continuing resolution.

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

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

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

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

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

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

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

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

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

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

services.

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

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

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

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

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

provided in Section 5.04.01.

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

objectives, NIST may periodically request information from small businesses about 

progress taken towards commercialization of the technology after the completion of 

Phase I and II awards.

5.03 Payment Schedule

Cooperative agreements will include an award term with electronic payment system 

information. Pursuant to 2 C.F.R. § 200.305 awardees are to be paid in advance, 

provided they maintain or demonstrate the willingness to maintain: written procedures

that minimize the time elapsing between the transfer of funds and disbursement by the 

recipient, and financial management systems that meet the standards for fund control 

and accountability as established in 2 C.F.R. § 200.302. Advances of funds to a 

recipient organization shall be limited to the minimum amounts needed and be timed to 

be in accordance with the actual, immediate cash requirements of the recipient 

organization in carrying out the purpose of the approved program or project.
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The Department of Commerce policy requires that in the usual case, non-Federal 

entities time advance payment requests so that Federal funds are on hand for a 

maximum of 30 calendar days before being disbursed by the non-Federal entity for 

eligible award costs.

5.04 Innovations, Inventions and Patents

5.04.01 Proprietary Information Contained in Proposals

Information contained in unsuccessful applications will remain the property of the 

applicant. Unsuccessful applications will be retained in accordance with the General 

Record Schedule 1.2/021. The Federal Government may, however, retain copies of all 

applications. Public release of information in any application submitted will be subject to 

existing statutory and regulatory requirements. Applicants are discouraged from 

submitting proprietary information unless the information is deemed essential for proper 

evaluation of the application. If proprietary information is provided by an applicant in a 

proposal, which constitutes a trade secret, proprietary commercial or financial 

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

be treated in confidence to the extent permitted by law, provided that the proposal is 

clearly marked by the applicant as follows:

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

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

Federal Government and shall not be duplicated, used, or disclosed in whole 

or in part for any 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:
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“Use or disclosure of information contained on this sheet is subject to the 

restriction on the title page of this proposal.”

(End of Legend)

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

constitute grounds for removing the application from further consideration without 

assuming any liability for inadvertent disclosure.

5.04.02 Rights in Data Developed Under SBIR Funding Agreements

In lieu of the Department of Commerce Financial Assistance Standard Terms 

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

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

NOFO:

(a) Definitions. All definitions below are excerpted from the 

SBA SBIR/STTR Policy Directive. 

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

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

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

that is capable of causing a computer to perform a specific operation or series 

of operations.

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

object code listings, design details, algorithms, processes, flow charts, 

formulae, and related material that would enable the software to be reproduced,

recreated, or recompiled. Computer Software does not include Computer 

Databases or Computer Software Documentation.

(4) Computer Software Documentation. Owner's manuals, user's manuals, 

installation instructions, operating instructions, and other similar items, 

regardless of storage medium, that explain the capabilities of the Computer

Software or provide instructions for using the software.

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

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

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

cost or pricing or management information.
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(6)Form, Fit, and Function Data. Data relating to items, components, or processes 

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

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

functional characteristics, and performance requirements. For Computer 

Software it means data identifying source, functional characteristics, and 

performance requirements, but specifically excludes the source code, 

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

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

party, including cooperative agreements with international or multi-national 

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

foreign governments or international organizations. Government Purposes 

include competitive procurement, but do not include the rights to use, modify, 

reproduce, release, perform, display, or disclose Technical Data or Computer 

Software for commercial purposes or authorize others to do so.

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

that is necessary for operation, maintenance, installation, or training purposes 

(but not including detailed manufacturing or process data).

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

during the SBIR/STTR Protection Period in specific types of SBIR/STTR Data 

that are Computer Software.

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

display, or disclose SBIR/STTR Data that are Computer Software within the 

Government. The Federal Government may exercise SBIR/STTR Computer 

Software Rights within the Government for: 

(i) Use in Federal Government computers;

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

provided that the Data incorporated into any derivative software are 

subject to the rights in § 3(ee) of the SBIR/STTR Policy Directive and that 

the derivative software is marked as containing SBIR/STTR Data;

(iii) Archive or backup; or

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

further permission of the Awardee, if the Awardee is notified of the 
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distribution and the identity of the recipient prior to the distribution, and a 

copy of the SBIR/STTR Computer Software Rights included in the 

Funding Agreement is provided to the recipient.

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

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

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

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

the Government without the written permission of the Awardee unless:

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

agreement with the Government that complies with the terms for such 

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

(ii) The release or disclosure is—

(I) To a Federal Government support service contractor or their 

subcontractor for purposes of supporting Government internal use 

or activities, including evaluation, diagnosis and correction of 

deficiencies, and adaptation, combination, or integration with other 

Computer Software provided that SBIR/STTR Data incorporated 

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

the SBIR/STTR Policy Directive; or

(II) Necessary to support certain narrowly tailored essential 

Government activities for which law or regulation permits access of 

a non-Government entity to a contractors’ data developed 

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

emergency repair and overhaul. 

(10) SBIR/STTR Data. All Data developed or generated in the performance of an 

SBIR or STTR award, including Technical Data and Computer Software 

developed or generated in the performance of an SBIR or STTR award. The 

term does not include information incidental to contract or grant 

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

management information.

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

properly marked SBIR/STTR Data during the SBIR/STTR Protection Period

are as follows: SBIR/STTR Technical Data Rights in SBIR/STTR Data that 
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are Technical Data or any other type of Data other than Computer Software; 

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

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

Data, the Federal Government has a royalty free license to use, and to 

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

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

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

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

all unmarked SBIR/STTR Data.

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

Government is obligated to protect SBIR/STTR Data against unauthorized 

use and disclosure in accordance with SBIR/STTR Data Rights. The 

SBIR/STTR Protection Period begins at award of an SBIR/STTR Funding 

Agreement and ends not less than twenty years from that date (See § 

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

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

the SBIR/STTR Protection Period in SBIR/STTR Data that are Technical 

Data or any other type of Data other than Computer Software.

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

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

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

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

release or disclose the SBIR/STTR Data outside the Government except 

as permitted by paragraph (B) below or by written permission of the 

Awardee.

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

Federal Government without any additional written permission of the 

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

entered into a non-disclosure agreement with the Federal Government 

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

SBIR/STTR Policy Directive and the release is:

(i) Necessary to support certain narrowly tailored essential Government 

activities for which law or regulation permits access of a nonGovernment entity to a contractors’ data developed exclusively at 

private expense, non- SBIR/STTR Data, such as for emergency repair 

and overhaul;
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(ii) To a government support services contractor in the performance of a 

government support services contract for internal Government use or 

activities, including evaluation, diagnosis or modification, provided that 

SBIR/STTR Technical Data incorporated into any derivative Data are 

subject to the rights in § 3(ii) of the SBIR/STTR Policy Directive, and the 

release is not for commercial purposes or manufacture;

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

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

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

(14) Technical Data. Recorded information, regardless of the form or method of the 

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

Documentation and Computer Databases). The term does not include 

Computer Software or financial, administrative, cost or pricing, or 

management information, or other data incidental to contract or grant 

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

nature that is included in Computer Databases.

(15) Unlimited Rights. The Government’s rights to access, use, modify, prepare 

derivative works, reproduce, release, perform, display, disclose, or distribute 

Data in whole or in part, in any manner and for any purpose whatsoever, and 

to have or authorize others to do so.

(b) Allocation of SBIR/STTR rights.

(1)An SBC retains ownership of all SBIR/STTR Data it develops or generates in 

the performance of an SBIR/STTR award. The SBC retains all rights in 

SBIR/STTR Data that are not granted to the Federal Government in 

accordance with the SBIR/STTR Policy Directive. These rights of the SBC do 

not expire. 

(2)During the SBIR/STTR Protection Period, the Federal Government receives 

SBIR/STTR Technical Data Rights in appropriately marked SBIR/STTR Data 

that is Technical Data or any other type of Data other than Computer Software; 

and SBIR/STTR Computer Software Rights in appropriately marked 

SBIR/STTR Data that is Computer Software.

(3)After the protection period, the Federal Government may use, and authorize 

others to use on its behalf, for Government Purposes, SBIR/STTR Data that 

was protected during the SBIR/STTR Protection Period. Awards issued by the 
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U.S. Department of Energy are subject to Unlimited Rights after the expiration 

of the SBIR/STTR Protection Period.

(4)The Federal Government receives Unlimited Rights in Form Fit, and Function 

Data, OMIT Data, and all unmarked SBIR/STTR Data.

(c) Identification and Delivery of SBIR/STTR Data. Any SBIR/STTR Data delivered by 

the Awardee, and in which the Awardee intends to limit the Federal Government’s 

rights to SBIR/STTR Data Rights, must be delivered with restrictive markings. The 

Federal Government assumes no liability for the access, use, modification, 

reproduction, release, performance, display, disclosure, or distribution of SBIR/STTR 

Data without markings. The Awardee or its subcontractors or suppliers shall 

conspicuously and legibly mark all such SBIR/STTR Data with the appropriate 

legend.

(1) The authorized legend shall be placed on each page of the SBIR/STTR Data. 

If only portions of a page are subject to the asserted restrictions, the 

SBIR/STTR Awardee shall identify the restricted portions (e.g., by circling or 

underscoring with a note or other appropriate identifier). With respect to 

SBIR/STTR Data embodied in Computer Software, the legend shall be placed 

on: (1) the printed material or media containing the Computer Software; or (2) 

the transmittal document or storage container. The legend shall read as 

follows:

“SBIR/STTR DATA RIGHTS

Funding Agreement No.

Award Date

SBIR/STTR Protection Period

SBIR/STTR Awardee

SBIR/STTR Awardee Address

This is SBIR/STTR Data (or is Computer Software or a Prototype that 

embodies or includes SBIR/STTR Data) to which the SBIR/STTR Awardee 

has SBIR/STTR Data Rights and to which the Federal Government has 

received SBIR/STTR Technical Data Rights (or SBIR/STTR Computer 

Software Rights) during the SBIR/STTR Protection Period and rights of use for 
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Government Purposes after the SBIR/STTR Protection Period, as those terms 

are defined in the SBIR/STTR Funding Agreement. Awards issued by the U.S. 

Department of Energy are subject to Unlimited Rights after the SBIR/STTR 

Protection Period, as that term is defined in the SBIR/STTR Funding 

Agreement. Any reproduction of SBIR/STTR Data or portions of such data 

marked with this legend must also reproduce the markings.”

(End of Legend)

(2) Data submitted without the correct or appropriate markings may be corrected 

within 6 months from the date that the data is delivered.

(d) Relation to patents. Nothing regarding SBIR/STTR Data Rights in this clause shall 

imply a license to or imply a requirement to license to the Federal Government any 

patent to a Subject Invention (as defined under the Bayh-Dole Act implemented at 

37 CFR 401) made under an SBIR/STTR award.

(End of Clause)

(e) Copyright. 

(1) Data first produced in the performance of this award.

(i) Except as otherwise specifically provided in this award, the Awardee may 

assert copyright subsisting in any data first produced in the performance 

of this award.

(ii) When asserting copyright, the Awardee shall affix the applicable copyright 

notice of 17 U.S.C. § 401 or § 402 and an acknowledgment of 

Government sponsorship (including award number).

For data other than computer software, the Awardee grants to the 

Government, and others acting on its behalf, a paid-up nonexclusive, 

irrevocable, worldwide license to reproduce, prepare derivative works, 

distribute copies to the public, and perform publicly and display publicly, 

by or on behalf of the Government. For computer software, the Awardee 

grants to the Government, and others acting on its behalf, a paid-up, 

nonexclusive, irrevocable, worldwide license in such copyrighted computer 

software to reproduce, prepare derivative works, and perform publicly and 

display publicly, by or on behalf of the Government.
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(2) Data not first produced in the performance of this award. The Awardee shall not, 

without prior written permission of the Grants Officer, incorporate in data 

delivered under this award any data that are not first produced in the 

performance of this award unless the Awardee: (i) identifies such data; and (ii) 

grants to the Government, or acquires on its behalf, a license of the same scope 

as set forth in subparagraph (c)(1) of this clause.

(3) Removal of copyright notices. The Government will not remove any copyright 

notices placed on data pursuant to this paragraph (c) and will include such 

notices on all reproductions of the data.

(End of Clause)

5.04.03 NIST-Owned Inventions

Awardees will not have any automatic rights to make, use or sell products or services 

incorporating NIST-owned inventions. For any SBIR award that requires a license to 

use a NIST- owned invention covered by a patent or patent application, the SBIR 

awardee will be required to contact NIST’s Technology Partnerships Office for a patent 

license for research or for commercial use.

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

otherwise been exclusively licensed to another party, the SBIR awardee will be granted 

a non-exclusive research license and will be given the opportunity to negotiate a nonexclusive or an exclusive commercialization license to the NIST-owned invention, in 

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

404.

5.04.04 Patent Rights

Normally, SBCs may retain worldwide patent rights to any invention developed with 

Federal support. The specific requirements governing the development, reporting, and 

disposition of rights to inventions and patents resulting from Federal awards are 

described in more detail in 37 C.F.R. Part 401, which implements 35 U.S.C. § 202 

through 204 and includes standard patent rights clauses in 37 C.F.R. § 401.14, which 

are incorporated by reference into all awards.

5.04.05 Invention Reporting

SBIR awardees must report inventions to the NIST SBIR Program Office within 2 

months of the inventor’s report to the awardee. Inventions must also be reported 

through the iEdison Invention Reporting System at www.iedison.gov.
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5.05 Cost Sharing

Cost sharing is permitted for applications under this program NOFO; however, cost 

sharing is not required and will not be considered in evaluation of applications.

5.06 Profit or Fee

A reasonable profit or fee not to exceed 7% of the sum of the direct and indirect costs is 

allowed.

5.07 Joint Ventures or Limited Partnerships

Joint ventures and limited partnerships are eligible provided the entity created qualifies 

as an SBC as defined in this NOFO.

5.08 Research and Analytical Work

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

Section 1.03, must be performed by the proposing SBC. The total cost for all consultant 

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

agreements may not exceed one-third of the total award. For Phase II, a minimum of 

one-half of the research and/or analytical effort, per Section 1.03, must be performed by 

the applicant. The total cost for all consultant fees, facility leases, usage fees, and other 

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

award.

5.09 Awardee Commitments

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

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

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

Financial Assistance Standard Terms and Conditions (November 12, 2020 or successor 

version); the Uniform Administrative Requirements, Cost Principles, and Audit 

Requirements for Federal Awards at 2 C.F.R. Part 200, adopted by the Commerce 

Department through 2 C.F.R. § 1327.101; when applicable, 48 C.F.R. Subpart 31.2, 

Contracts with Commercial Organizations; and the Department of Commerce PreAward Notification Requirements for Grants and Cooperative Agreements, 79 FR 78390 

(December 30, 2014).

Section 5.10 describes the types of terms and conditions to which the awardee would 

commit. This list is not a complete list of terms and conditions to be included in Phase I 

and Phase II funding agreements and is not the specific wording of such terms and 

conditions.
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5.10 Summary Statements

The following statements apply to Phase I and Phase II awards and are examples of 

some of the topic areas that will be addressed in the award terms and conditions.

(1) Access to Records. Government officials have the right of timely and 

unrestricted access to records of awardees, including access to personnel for 

discussion related to the records. See 2 C.F.R. 200.337.

(2) Termination. Awards may be terminated (a) by the NIST Grants Officer, if an 

awardee materially fails to comply with the terms and conditions of an award; (b) 

by the Federal awarding agency or pass-through entity, to the greatest extent 

authorized by law, if an award no longer effectuates the program goals or 

agency priorities; (c) by the NIST Grants Officer with the consent of the 

awardee, in which case the two parties shall agree upon the termination 

conditions, including the effective date and, in the case of partial termination, the 

portion to be terminated; (d) by the awardee upon sending to the NIST Grants 

Officer written notification setting forth the reasons for such termination, the 

effective date, and, in the case of partial termination, the portion to be 

terminated. See 2 C.F.R. §§ 200.339-343.

(3) Non-Discrimination. The awardee will be required to comply with statutory and 

other non- discrimination requirements. No person in the United States shall, on 

the ground of race, color, national origin, handicap, age, religion, or sex, be 

excluded from participation in, be denied the benefits of, or be subject to 

discrimination under any program or activity receiving Federal financial 

assistance. See Section G.02 of the Department of Commerce Financial 

Assistance Standard Terms and Conditions (November 12, 2020).

(4) Audit Requirements. Government officials may conduct an audit of an award at 

any time. Unless otherwise specified in the award, for-profit organizations that 

expend $750,000 or more in Department of Commerce funds during their fiscal 

year must have an audit conducted for that year in accordance with Section 

D.01.c of the Department of Commerce Financial Assistance Standard Terms 

and Conditions (November 12, 2020).

(5) Codes of Conduct. The awardee must maintain written standards of conduct to 

establish safeguards to prohibit employees from using their positions for a 

purpose that constitutes or presents the appearance of personal or 

organizational conflict of interest, or personal gain in the administration of the 
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award. See Section F.01 of the Department of Commerce Financial Assistance 

Standard Terms and Conditions (November 12, 2020).

(6) Officials Not to Benefit. No Federal Government official may benefit personally, 

to include financial and/or profession gain, from the SBIR/STTR Funding 

Agreement.

(7) Duplication of Effort. The funding agreement shall not support the duplication of 

other federally-funded research.

(8) Scheduling and Use of Federal Agency Facilities and Equipment. The Awardee 

must schedule, reserve, and complete usage within the period of performance of 

the Funding Agreement.

5.11 Additional Information

This NOFO reflects current planning. If there is any inconsistency between the 

information contained herein and the terms of any resulting SBIR funding agreement, 

the terms of the funding agreement are controlling.

Before award of a SBIR funding agreement, the Government may request the applicant 

to submit certain organizational, management, personnel, and financial information to 

assure responsibility of the applicant.

The Government is not responsible for any funds expended by the applicant before 

award of any funding agreement.

This program NOFO is not an offer by the Government and does not obligate the 

Government to make any specific number of awards. Also, awards under the SBIR 

Program are contingent upon the availability of funds.

The SBIR Program is not a substitute for existing unsolicited application mechanisms. 

Unsolicited applications will not be accepted under the SBIR Program in either Phase I 

or Phase II.

If an award is made pursuant to an application submitted under this SBIR Program 

NOFO, a representative of the awardee will be required to certify that the concern has 

not previously been, nor is currently being, paid for essentially equivalent work by any 

Federal agency.

The responsibility for the performance of the principal investigator, and other employees 

or consultants who carry out the proposed work, including those of subrecipients or 

contractors, lies with the management of the organization receiving an award.
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Safety is a top priority at NIST. Employees and affiliates of award recipients who 

conduct project work at NIST will be expected to be safety-conscious, to attend NIST 

safety training, and to comply with all NIST safety policies and procedures, and with all 

applicable terms of their guest research agreement.

5.12 Technical and Business Assistance

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

will provide funding for Technical and Business Assistance (TABA) to Phase I and 

Phase II awardees as authorized by 15 U.S.C. § 638(q). The NIST TABA program 

assists in providing additional funding for the successful commercialization of products, 

services, or technologies developed in association with the NIST SBIR Program. The 

NIST TABA program provides funding for guidance and mentoring in topics such as 

assessing small business commercialization needs; planning, developing, and assisting 

in the preparation of a commercialization plan; and identifying markets and developing 

entry strategies. Allowable services include assistance with product sales, intellectual 

property protections, market research, market validation, and development of regulatory 

plans and manufacturing plans, or access to technical and business literature available 

through on-line databases.

If requested, NIST may provide up to an additional $6,500 for TABA services during 

Phase I. NIST’s inclusion of TABA funds in the award will be subject to the availability of 

NIST funding. To request TABA funding, include up to an additional $6,500 in the 

budget, provide vendor information in the budget justification that demonstrates the 

provider can provide the services needed and include a letter of commitment from the 

provider (see Section 8.01 for additional information). NIST may disapprove a proposed 

TABA provider. TABA requests must be part of the application submission and may not 

be requested subsequent to award.

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

Requested TABA funds should be clearly labeled in the Budget Narrative (see Section 

8.01.8).

5.13 Technical Assistance for Application Preparation and Project Conduct

Applicants may wish to contact the NIST Hollings Manufacturing Extension Partnership 

(MEP), a nationwide network of locally managed extension centers whose sole purpose 

is to provide small- and medium-sized manufacturers with the help they need to 

succeed. The centers provide guidance to high-technology companies seeking 

resources and teaming relationships. To be referred to an MEP center for technical 

assistance, call 1-800-MEP-4- MFG (1-800-637-4634) or visit MEP‘s website.
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MEP Centers are also prepared to provide referrals to state and local organizations 

offering resources and technical assistance to all NIST SBIR applicants after awards 

have been announced. If you would like your local MEP Center to contact you, please 

respond affirmatively to the statement (#11) about MEP on the Cover Sheet.

6.0 SUBMISSION OF APPLICATIONS

6.01 Deadline for Applications

Phase I applications must be received no later than 11:59 p.m. Eastern Time, 

December 22, 2023. Only electronic applications submitted via Grants.gov will be 

accepted.

Applicants should be aware, and factor in their application submission planning, that the 

Grants.gov system closes periodically for routine maintenance. Applicants should visit 

Grants.gov for information on any scheduled closures. Applications cannot be submitted 

when Grants.gov is closed.

Applicants are cautioned to be careful of unforeseen delays that can cause late arrival 

of applications, with the result that they will not be forwarded for evaluation.

Applications not received by the specified due date and time, as recorded by 

Grants.gov, or that do not adhere to the other requirements of this NOFO (see Section 

4.02 Screening Criteria and Section 8.01 Required Forms and Documents) will not be 

considered.

NIST strongly recommends that applicants do not wait until the last minute to submit an 

application. NIST will not make allowance for any late submissions. To avoid any 

potential processing backlogs due to last minute Grants.gov registrations, applicants are 

highly encouraged to begin their Grants.gov registration process early. No extensions 

will be granted.

When developing your submission timeline, please keep in mind that (1) all applicants 

are required to have current registrations in the System for Award Management 

(SAM.gov) and Grants.gov; (2) the free annual registration process in the electronic 

System for Award Management (SAM.gov) (see Section 6.03.1.b) of this NOFO) 

generally takes between three and five business days but can take more than three 

weeks; and (3) applicants will receive a series of e-mail messages from Grants.gov over 

a period of up to two business days before learning whether a Federal agency’s 

electronic system has received its application. Please note that a federal assistance 

award cannot be issued if the designated recipient’s registration in the System 

for Award Management (SAM.gov) is not current at the time of the award.
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Applicants will find instructions on registering with SAM.gov as part of the 

Grants.gov process at: 

http://www.grants.gov/web/grants/applicants/organization-registration.html.

6.02 Standard Application Package

The standard application package, consisting of the standard forms, i.e., SF-424 (R&R), 

Research & Related Budget, CD-511, Research and Related Other Project Information, 

SF-LLL (if applicable), and Research & Related Subaward Budget is available at 

www.grants.gov.

Please see Section 8.01 for a complete list of required forms and documents.

6.03 Application Submission

Applications must be submitted electronically through Grants.gov. Paper applications or 

applications submitted by other electronic means will not be accepted.

Supplementary material, revisions, substitutions, audio or video tapes, or computer 

storage media or devices will not be accepted. While applicants may not submit 

replacement pages or missing documents once an application has been submitted, an 

applicant may submit a complete, new application including such information by the 

required deadline. Applications are limited to one proposal per SBC. The last application 

received in Grants.gov will be used for evaluation.

(1)Applications must be submitted via Grants.gov, under announcement 2024-

NIST-SBIR-01.

a)Applicants should carefully follow specific Grants.gov instructions to ensure the 

attachments will be accepted by the Grants.gov system. A receipt from 

Grants.gov indicating an application is received does not provide information 

about whether attachments have been received. Attachment files names should 

be kept as short as possible due to potential file corruption after the addition of 

extensions by Grants.gov. For further information or questions regarding the 

electronic application process for the 2024-NIST-SBIR-01 announcement, send 

inquiries via e-mail to grants@nist.gov.

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

approaching due date before logging on and reviewing the instructions for 

submitting an application through Grants.gov. The Grants.gov registration 

process must be completed before a new registrant can apply. If all goes well, 

the registration process takes three (3) to five (5) business days. If problems are

encountered, the registration process can take three (3) weeks or more. 
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Applicants must have a valid unique entity identifier number and must maintain 

a current registration in the Federal government’s primary registrant database, 

the System for Award Management, as explained on the Grants.gov website. 

See also Section 8.04 of this NOFO. After registering, it may take several days 

or longer from the initial log-on before a new Grants.gov system user can submit 

an application. Only authorized individuals(s) will be able to submit an 

application, and the system may need time to process a submitted application. 

Applicants should save and print the proof of submission they receive from 

Grants.gov. If problems occur while using Grants.gov, the applicant is advised to 

(a) print any error message received and (b) call Grants.gov directly for 

immediate assistance. If calling from within the United States or from a U.S. 

territory, please call 800-518- 4726. If calling from a place other than the United 

States or a U.S. territory, please call 606-545- 5035. Assistance from the 

Grants.gov Help Desk will be available around the clock every day, with the 

exception of Federal holidays. Help Desk assistance will resume at 7:00 a.m. 

Eastern Time the day after Federal holidays. For assistance using Grants.gov, 

you may also contact support@grants.gov.

c) To find instructions on submitting an application on Grants.gov, Applicants 

should refer to the “Applicants” tab in the banner just below the top of the 

Grants.gov homepage. Clicking on the “Applicants” tab produces two 

exceptionally useful sources of information, Grant Applications and Applicant 

resources, which applicants are advised to review.

Applicants will receive a series of e-mail messages over a period of up to two 

business days before learning whether a federal agency’s electronic system has 

received its application. Closely following the detailed information in these 

subcategories will increase the likelihood of acceptance of the application by the 

Federal agency’s electronic system.

Applicants should pay close attention to the guidance under “Applicant FAQs,” 

as it contains information important to successful submission on Grants.gov, 

including essential details on the naming conventions for attachments to 

Grants.gov applications.

The Grants.gov Online Help page provides vital information on checking the 

status of applications. See especially the “Check Application Status” option, 

found by clicking first on Applicants, and then by clicking on Grant Applications.

The application must be both received and validated by Grants.gov. The 

application is “received” when Grants.gov provides the applicant a confirmation 
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of receipt and an application tracking number. If an applicant does not see this 

confirmation and tracking number, the application has not been received. After 

the application has been received, it must still be validated. During this process, 

it may be “validated” or “rejected with errors.” To know whether the application 

was rejected with errors and the reasons why, the applicant must log in to 

Grants.gov, select “Applicants” from the top navigation, and select “Track my 

application” from the drop-down list. If the status is “rejected with errors,” the 

applicant may still seek to correct the errors and resubmit your application 

before the deadline. If the applicant does not correct the errors, the application 

will not be forwarded to NIST by Grants.gov.

NIST uses the Tracking Numbers assigned by Grants.gov and does not 

issue Agency Tracking Numbers.

Applicants should be aware that adequate time must be factored into 

applicants’ schedules for delivery of their application. Submitters are 

advised that volume on Grants.gov may be extremely heavy leading up to 

the deadline date.

Refer to important information in Section 6.01 Deadline for Applications, to 

help ensure your application is received on time.

Any amendments to this NOFO will be announced through Grants.gov. 

Applicants can sign up for Grants.gov NOFO amendments or may request 

copies from Nicole Berry by e-mail to nicole.berry@nist.gov.

7.0 SCIENTIFIC AND TECHNICAL INFORMATION RESOURCES

Background information related to the NIST research programs referenced within the 

research areas may be found within the NIST website. The NIST Research Library, may 

also provide valuable scientific and technical information resources. A search for NISTpatented technologies may be conducted at the NIST Patent Website.

8.0 SUBMISSION OF FORMS AND CERTIFICATIONS

8.01 Required Forms and Documents.

Applicants should review the following list carefully to ensure the proposal includes all 

required forms and documents. Failure to include any of the applicable listed forms 

and/or documents will result in rejection of the proposal without consideration.

All required forms and documents must be complete. Please also review Section 4.02 

Phase I Screening Criteria. Guidelines provided below are based on frequently asked 
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questions and are not intended to be comprehensive – all forms must be fully 

completed.

A complete application contains the following forms and documents:

1. SF-424 (R&R), Application for Federal Assistance. The SF-424(R&R) must be 

signed by an authorized representative of the applicant’s organization.

For SF-424 (R&R), items 5, 14, and 19, use the Zip Code +4 format (##### - ####) 

when addresses are called for.

For SF-424 (R&R), item 16, the NIST SBIR Program is not covered by that 

Executive Order. For SF-424 (R&R), item 17, the list of certifications and assurances 

is contained in the Federal Financial Assistance Certifications and Representations 

(Certs and Reps) as part of the SAM.gov entity registration.

For SF-424 (R&R), item 18, if the SF-LLL, Disclosure of Lobbying Activities form 

(item 6. below) is applicable, attach it to field 18.

Instructions for filling in the SF-424 (R&R) can be found on Grants.gov, as well as in 

the NIST Grants Management Division SF-424 Research and Related (R&R) 

Application Package Guidance.

2. Research and Related Budget (Total Fed + Non-Fed). The budget should reflect 

anticipated expenses for the full term of the project, considering all potential cost 

increases, including cost of living adjustments.

The budget should be detailed in these categories:

A. Senior/Key Person;

B. Other Personnel;

C. Equipment Description;

D. Travel;

E. Participant/Trainee Support Costs (not relevant to this 

competition);

F. Other Direct Costs;

G. Direct Costs (automatically generated);

H. Indirect Costs;

I. Total Direct and Indirect Costs (automatically generated);

J. Fee;

K. Total Costs and Fee (automatically generated);

L. Budget Narrative and Justification document (item 8. below) 

should be attached to field L.
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Instructions for completing the Research & Related Budget (Total Fed + Non-Fed) 

form can be found on Grants.gov, as well as in the NIST Grants Management 

Division SF-424 Research and Related (R&R) Application Package Guidance.

3. CD-511, Certification Regarding Lobbying. Enter “2024-NIST-SBIR-01” in the 

Award Number Field. Enter the title of the application used in field 11 of the SF-424 

(R&R), or an abbreviation of that title, in the Project Name field.

4. Research and Related Other Project Information. Answer the highlighted 

questions and use this form to attach the Cover Sheet and Technical Proposal (item 

(6) below), the Indirect Cost Rate Agreement (item (8) below), the SBA Company 

Registry Form (item (9) below), the Data Management Plan (item (10) below), the 

Research & Related Personal Data form(s) (item 12 below), the Current and 

Pending Support Form (item (13) below), the Compliance with SBIR Program 

Requirements, Applicant Fraud Awareness Training (item (14) below), Letters of 

Commitment (item (15) below), and Company Commercialization Report (item (16) 

below). Instructions for completing the Research and Related Other Project 

Information can be found on Grants.gov, as well as in the NIST Grants Management 

Division SF-424 Research and Related (R&R) Application Package Guidance.

Please note that the Project Summary/Abstract is not relevant to this competition. 

However, Grants.gov requires an attachment to field 7 of the Research and Related 

Other Project Information form to successfully pass through Grants.gov. Please 

attach a document to field 7 stating, “A Project Summary/Abstract is not relevant to 

this competition”.

There are no separate documents required for field 9, “Bibliography & References 

Cited’; or for field 10, “Facilities & Other Resources;” or for field 11, “Equipment”. 

Any details relating to these topics should be included in other documents and 

forms, if and as specified in this NOFO.

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

6. Cover Sheet (Appendix A) and Technical Proposal. Read Section 3.02 of this 

NOFO very carefully, and in its entirety, for directions on completing this section of 

the application. The Technical Content is limited to 15 pages including optional 

letters of support – see Section 3.02.02 (4). The Technical Proposal must include an 

appropriate URL – see Section 3.02.02 (1).
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7. Budget Narrative and Justification. There is no set format for the Budget Narrative 

and Justification; however, the written justification should include the necessity and 

the basis for the cost, as described below. Proposed funding levels must be 

consistent with the project scope, and only allowable costs should be included in the 

budget. Information on cost allowability is available in the Uniform Administrative 

Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 

C.F.R. Part 200, which apply to awards in this program. TABA funds, if requested by 

the applicant (see Section 5.12), should be included in the Budget Narrative and 

Justification.

The Budget Narrative and Justification must be attached to the Research & Related 

Budget (Total Fed + Non-Fed) and it does not count against the 15-page limit of the 

Technical Proposal.

Information needed for each budget category is as follows (categories not listed are 

automatically generated by the form or are not relevant to this competition):

(a) Senior/Key Person - At a minimum, the budget justification should include the 

following: name, job title, commitment of effort on the proposed project in terms 

of average number of hours per week or percentage of time, salary rate, total 

direct charges on the proposed project, description of the role of the individual on 

the proposed project, and the work to be performed.

Fringe benefits should be identified separately from salaries and wages and 

based on rates determined by organizational policy. The items included in the 

fringe benefit rate (e.g., insurance, parking, etc.) should not be charged under 

another cost category.

(b) Other Personnel - Data is requested at the project role level, and not at the 

individual level for Other Personnel. The budget justification should include the 

following: job title, commitment of effort on the proposed project in terms of 

average number of hours per week or percentage of time, salary rate, total direct 

charges on the proposed project, description of the role of the position on the 

proposed project and the work to be performed.

Fringe benefits should be identified separately from salaries and wages and 

based on rates determined by organizational policy. The items included in the 

fringe benefit rate (e.g., health insurance, parking, etc.) should not be charged 

under another cost category.
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(c) Equipment Description - Equipment is defined as an item of property that has 

an acquisition cost of $5,000 or more (unless the organization has established 

lower levels) and an expected service life of more than one year. The budget 

justification should list each piece of equipment, the cost, and a description of 

how it will be used and why it is necessary to the successful completion of the 

proposed project. Please note that any general use equipment (computers, etc.) 

charged directly to the award should be allocated to the award according to 

expected usage on the project (i.e. prorated cost). Any items that do not meet the 

threshold for equipment can be included under the Materials and Supplies line 

item in Section F, Other Direct Costs.

(d) Travel - For all travel costs, required by the recipient to complete the project, 

including attendance at any relevant conferences, the budget justification for 

travel should include the following: destination; names or number of people 

traveling; dates and/or duration; mode of transportation, lodging and subsistence 

rates; and description of how the travel is directly related to the proposed project. 

For travel that is yet to be determined, please provide best estimates based on 

prior experience. If a destination is not known, an approximate amount may be 

used with the assumptions given for the location of the meeting.

(f) Other Direct Costs - For costs that do not easily fit into the other cost 

categories, please list the cost, and the breakdown of the total costs by quantity 

or unit of cost. Include the necessity of the cost for the completion of the 

proposed project. Only allowable costs can be charged to the award.

Each subaward or contractual cost should be treated as a separate item in the 

Other Direct Costs category. Describe the services to be provided and the 

necessity of the subaward or contract to the successful performance of the 

proposed project. Contracts are for obtaining goods and services. Subawardees 

perform part of the project scope of work. For each subaward, applicants must 

provide budget detail justifying the cost of the work performed on the project.

(h) Indirect Costs - Commonly referred to as Facilities & Administrative Costs, 

Indirect Costs are defined as costs incurred by the applicant organization that 

cannot otherwise be directly assigned or attributed to a specific project. For more 

details, see Section 8.01(8) of this NOFO.

(j) Fee – Profit or fee not to exceed 7% of the sum of the direct and indirect costs 

must be listed in this cost category if included in the proposed budget.
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8. Indirect Cost Rate Agreement. NIST will not negotiate indirect cost rates for Phase I

awards. If indirect costs are included in the proposed budget, provide a copy of the 

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

audit agency. If a rate has not been established, provide a statement to this effect 

and a computation for the cost in the budget narrative. Applicants without an 

established rate may propose estimated indirect costs at a rate not to exceed 40 

percent of the total direct costs and will not be required to provide further justification 

if selected for an award. Any profit or fee requested is not considered a direct cost for 

the purpose of the indirect cost base calculation.

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

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

Program. The SBIR/STTR Policy Directive requires each Phase I applicant to register 

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

its information from the registration in a .pdf document. Attach this document to the 

Research and Related Other Project Information form as described in Section 8.02.

10. Data Management Plan. Consistent with NIST Policy 5700.00, Managing Public 

Access to Results of Federally Funded Research, and NIST Order 5701.00, 

Managing Public Access to Results of Federally Funded Research, applicants 

proposing projects that include the conduct of research must include a Data 

Management Plan (DMP).

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

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

within the scope of the project. For the purposes of the DMP, NIST adopted the

definition of “research data” at 2 C.F.R. § 200.315(e)(3).

The DMP must include, at a minimum, a summary of proposed activities that are 

expected to generate data; a summary of the types of data expected to be generated 

by the identified activities; a plan for storage and maintenance of the data expected to 

be generated by the identified activities, including after the end of the award’s period 

of performance; and a plan describing whether and how data generated by the 

identified activities will be reviewed and made available to the public.

A template for the DMP, an example DMP, and the rubric against which the DMP will 

be evaluated for sufficiency is available on NIST’s Public Access to NIST Research 

Information for Awardees webpage. Please pay particular attention to the 20 

Performance Criteria (PC) that appear in the rubric section (see pages 5 to 12 in the 

DMP template) and ensure all 20 PCs are addressed.
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If an application stands a reasonable chance of being funded and the DMP is 

determined during the review process to be insufficient, the program office may 

contact the applicant to resolve the deficiencies in the DMP. If an award is issued 

prior to the deficiencies being fully rectified, the award will include a Specific Award 

Condition (SAC) stating that no research activities shall be initiated, or costs incurred 

for those activities under the award until the NIST Grants Officer amends the award 

to indicate the SAC has been satisfied.

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

application.

11. Subaward Budget Form. The Research & Related Subaward Budget Attachment 

Form is required if sub-recipients and contractors are included in the application 

budget.

Instructions for completing and attaching subaward budget forms are available by 

visiting the R & R Family section of the Grants.gov Forms Repository and scrolling 

down to the R & R Subaward Budget Attachment(s) Form and selecting 

“Instructions.”

12. Research & Related Personal Data. Answer the highlighted questions. Complete 

and print the form available in the R&R Family section of the Grants.gov Forms 

Repository and scrolling down to the Research & Related Personal Data form. Attach 

this document to the Research and Related Other Project Information form as 

described in Section 8.02.

13. Current and Pending Support Form. Any application that includes investigators, 

researchers, and key personnel must identify all sources of current and potential 

funding, including this proposal. Any current project support (e.g., Federal, state, 

local, public or private foundations, etc.) must be listed on this form. The proposed 

project and all other projects or activities requiring a portion of time of the Principal 

Investigator (PI), co-PI, and key personnel must be included, even if no salary 

support is received. The total award amount for the entire award period covered, 

including indirect costs, must be shown as well as the number of person-months per 

year to be devoted to the project, regardless of the source of support. Similar 

information must be provided for all proposals already submitted or that are being 

submitted concurrently to other potential funders.

Applicants must complete the Current and Pending Support Form, using multiple 

forms as necessary to account for all activity for each individual identified in the PI, 

co-PI and key personnel roles. A separate form should be used for each identified 
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individual.

Applicants must download the Current and Pending Support Form from the NIST 

Grants Management Division Current and Pending Support webpage and reference 

the guidance provided as it contains information to assist with accurately completing 

the form.

14. Compliance with SBIR Program Requirements, Applicant Fraud Awareness 

Training – Certification of Training Completion. Complete the training at: 

https://www.nist.gov/file/384881. After completion, print and fill out the last page of 

the training presentation. Attach this document to the Research and Related Other 

Project Information form as described in Section 8.02.

15. Letters of Commitment. Letters must be submitted by all funded and unfunded 

entities that will have an active role in executing the activities outlined in the Project 

Narrative. Letters of Commitment must address the level of participation, 

qualifications of the personnel who will be actively involved, and how successful 

completion of this project would positively impact their profession or community. 

Letters of Commitment must also specify any voluntary committed cost-share, 

including the specific services and/or products to be used in the project. Letters of 

Commitment must be signed by an individual with authority to legally bind the 

organization to its commitment. Letters of commitment do not count against the 

specified page limits.

16. Company Commercialization Report (CCR). Attach a PDF copy of the CCR which 

was completed in your account at Sbir.gov and submit along with your proposal (refer 

to Section 3.01.01 SBA Data Collection Requirement).

17. Appendix C. Required Disclosures or Relationships to Foreign Countries. 

Attach a PDF copy of the completed signed and dated Appendix C disclosure form

and submit along with your proposal.

8.02 Attachment of Required Application Documents

Items 8.01.1 through 8.01.4 above are part of the standard application package in 

Grants.gov and can be completed through the download application process.

Item 8.01.5, the SF-LLL, Disclosure of Lobbying Activities form, is an optional 

application form which is part of the standard application package in Grants.gov. If item 

8.01.5, the SF-LLL, Disclosure of Lobbying Activities form is applicable to this proposal, 

attach it to field 18 of the SF-424 (R&R), Application for Federal Assistance.
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Item 8.01.6, the Cover Sheet and Technical Proposal, should be attached to field 8 

(Project Narrative) of the Research and Related Other Project Information form by 

clicking on “Add Attachment”.

Item 8.01.7, the Budget Narrative and Justification, should be attached to field L 

(Budget Justification) of the Research and Related Budget (Total Fed + Non-Fed) form 

by clicking on “Add Attachment”.

Items 8.01.8, the Indirect Cost Rate Agreement; 8.01.9, the SBA Company Registry 

Form; 8.01.10, the Data Management Plan; 8.01.12, the Research & Related Personal 

Data; 8.01.13, the Current and Pending Support Form; 8.01.14, the SBIR Applicant 

Fraud Awareness Training Certificate of Training Completion; 8.01.15, Letters of 

Commitment; 8.01.16, Company Commercialization Report (CCR), and 8.01.17, 

Appendix C. Required Disclosures or Relationships to Foreign Countries, must be 

attached by clicking on “Add Attachments” found in item 12 (Other Attachments) of the 

Research and Related Other Project Information form.

Item 8.01.11, the Subaward Budget Form(s), if applicable to the submission, should be

attached to the Research & Related Subaward Budget (Total Fed + Non-Fed) 

Attachment(s) Form in the application package.

Following these directions will create zip files which permit transmittal of the documents 

electronically via Grants.gov.

8.03 Verifying the Submission and Tracking the Application

Applicants should carefully follow specific Grants.gov instructions at www.Grants.gov to 

ensure the attachments will be accepted by the Grants.gov system. A receipt from 

Grants.gov indicates only that an application was transferred to a system. It does not 

provide details concerning whether all attachments (or how many attachments) 

transferred successfully. Attachment file names should be kept as short as possible due 

to potential file corruption after the addition of extensions by Grants.gov. Applicants will 

receive a series of e-mail messages over a period of up to two business days before 

learning whether a Federal agency’s electronic system has received its application.

Applicants are strongly advised to use Grants.gov’s “Download Submitted Forms and

Applications” option to check that their application’s required attachments were 

contained in their submission.

After submitting the application, check the status of your application here: CHECK
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APPLICATION STATUS. If any, or all, of the required attachments are absent from the 

submission, follow the attachment directions found above, resubmit the application, and 

check again for the presence of the required attachments.

If the directions found on the Grants.gov Online Help page are not effective, please 

contact the Grants.gov Help Desk immediately. If calling from within the United States 

or from a U.S. territory, please call 800-518-4726. If calling from a place outside the 

United States or a U.S. territory, please call 606-545-5035. E-mails should be 

addressed to support@grants.gov. Assistance from the Grants.gov Help Desk will be 

available around the clock every day, with the exception of Federal holidays. Help Desk 

service will resume at 7:00 a.m. Eastern Time the day after Federal holidays.

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

procedures at the Grants.gov Track My Application page. It can take up to two business 

days for an application to fully move through the Grants.gov system to NIST. NIST uses 

the Tracking Numbers assigned by Grants.gov, and does not issue Agency Tracking 

Numbers.

8.04 Unique Identifier and System for Award Management (SAM) 

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

required to: (i) be registered in SAM before submitting its application; (ii) provide a valid 

unique entity identifier in its application; and (iii) continue to maintain an active SAM 

registration with current information at all times during which it has an active Federal 

award or an application or plan under consideration by a Federal awarding agency, 

unless otherwise excepted from these requirements pursuant to 2 C.F.R. § 25.110. 

NIST will not make a Federal award to an applicant until the applicant has complied with 

all applicable unique entity identifier and SAM requirements and, if an applicant has not 

fully complied with the requirements by the time that NIST is ready to make a Federal 

award pursuant to this NOFO, NIST may determine that the applicant is not qualified to 

receive a Federal award and use that determination as a basis for making a Federal 

award to another applicant.

9.0 RESEARCH AREAS

The NIST research programs work at the frontiers of measurement science to ensure 

that the U.S. system of measurements is firmly grounded in sound scientific and 

technical principles. Today, the NIST laboratories address increasingly complex 

measurement challenges, ranging from the very small (nanoscale devices for advanced 

computing) to the very large (vehicles and buildings), and from the physical (resilient 

infrastructure) to the virtual (cybersecurity and data science). As new
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technologies develop and evolve, NIST’s measurement research and services remain 

central to national defense, homeland security, trade and innovation.

NIST’s research activities provide industry, academia and other federal agencies with 

world- class research capabilities in measurement science that form the foundation of 

the global system of weights and measures and enable innovation. NIST provides 

measurement tools and standards to strengthen U.S. competitiveness and security in 

the following areas:

Advanced Communications, Networks, and Scientific Data Systems

NIST’s Advanced Communications, Networks and Scientific Data Systems activities 

enable secure, reliable, high-speed wireless and wireline communications critical to 

U.S. economic competitiveness, safety and security. NIST measurement science 

research and support for the development of standards accelerates the deployment of 

next-generation communication technologies needed for commercial- scale use of 

connected vehicles, “internet of things” (IoT) applications, drones and future artificial 

intelligence/machine learning-based systems. NIST is committed to helping solve the 

measurement and validation challenges of these fast-moving fields to help the U.S. 

achieve and maintain global leadership in these areas.

Advanced Manufacturing and Material Measurements

NIST has partnered with the U.S. manufacturing sector for more than a century and has 

a proven track record of delivering useful tools and technical assistance to existing 

manufacturers and aspiring start- ups. NIST's Advanced Manufacturing and Material 

Measurements activities provide industry with precision measurement technologies, 

tests, protocols and world-class scientific and engineering knowledge through targeted 

research across a broad portfolio, including advanced materials development, advanced 

sensing, biomanufacturing and smart manufacturing systems. NIST’s efforts in 

advanced manufacturing and material measurements rely on three major mechanisms: 

partnerships with manufacturers, development of physical and information standards, 

and development of new measurement capabilities.

Cybersecurity and Privacy

NIST’s Cybersecurity and Privacy activities strengthen the security of the digital 

environment through a portfolio bridging foundational and applied cybersecurity 

research, and through the development of publicly available standards and technical 

guidance. NIST’s sustained outreach efforts support the effective application of 

standards and best practices enabling the adoption of practical cybersecurity and 
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privacy. Through internal research and collaboration with the private sector, academia, 

standards development organizations, other government agencies and national and 

international stakeholders, NIST addresses the nation’s current and future 

measurement science needs and is responsive to Congressional mandates and 

Executive Orders.

Fundamental Measurement, Quantum Science, and Measurement Dissemination

At the heart of NIST’s mission is the dissemination of the fundamental units of 

measurement (the International System of Units, or SI). NIST determines the definitive 

methods for nearly every kind of measurement employed in commerce and research, 

provides NIST-traceable calibrations, and disseminates standards and best practices 

throughout the nation. Staying ahead of the increasingly challenging demands of U.S. 

industry requires that NIST push the frontiers of measurement science by devising new 

tools and techniques—especially at the quantum scale where the rules of classical 

physics do not apply. Through balanced and coordinated programs, NIST leads the 

world in disseminating the fundamental units of measurement. This leadership in 

metrology advancement directly impacts NIST’s relevance and leadership in 

measurement services.

Health and Biological Systems Measurement

NIST provides a solid foundation of measurement assurance enabling reproducibility of 

biomedical research results and confidence in clinical decision-making and ensuring the 

efficacy and safety of treatments. As a nonregulatory agency, NIST’s research plays an 

essential role in health and bioscience innovations, including in precision medicine, 

engineering biology, medical imaging, regenerative medicine and our understanding of 

the microbiome and how it affects health. New and improved measurement capabilities 

advance our understanding of biology and provide the basis for industries to harness 

this information for future medical technologies.

Physical Infrastructure and Resilience

NIST’s Physical Infrastructure and Resilience activities support the safety, 

interoperability and resilience of the nation’s infrastructure at the component, structure 

and system levels. NIST’s research supports the development of building codes making 

the built environment healthier for occupants, more resilient against hazards, and safer 

for both residents and first responders. In collaboration with policymakers, building 

officials and planning groups, NIST produces guides to help communities integrate 

resilience into their economic development, zoning, mitigation and other local planning 

activities impacting buildings, public utilities and infrastructure systems.
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Exploratory Measurement Science

NIST’s mission requires deep expertise in a broad range of disciplines. To best position 

NIST to support U.S. technological interests well into the future, it is essential that NIST 

maintain a portfolio of exploratory measurement science research programs. NIST 

invests in higher- risk and potentially transformative measurement science research to 

stay on the cutting edge of technology trends.
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OMB Control No. 0693-0072

Expiration Date: 1/31/2024

Appendix A. COVER SHEET

(A fillable version of the Cover Sheet is available at http://www.nist.gov/sbir)

Application to National Institute of Standards and Technology 

(NIST) Small Business Innovation Research (SBIR) Program Phase I 

2024-NIST-SBIR-01 (Date October 24, 2023)

Cover Sheet

Name & Address 

of Submitting

Firm:

Project

Title

Principal 

Investigator (PI)

Name

PI Title

PI Phone # PI Email

NIST may verify the following responses with information provided elsewhere in your application or by independent sources.

THE APPLICANT CERTIFIES THAT:

1. It is a small business concern (SBC) and meets the definition as stated in this Notice of

Funding Opportunity (NOFO).

☐ Yes ☐ No

2. The primary employment of the PI will be with the SBC at the time of award and

during the conduct of research.

☐ Yes ☐ No

3. A minimum of either two-thirds for Phase I or one-half for Phase II of the research will be

performed by the SBC as determined by data provided in the Budget Narrative.

See NOFO Section 1.03.01 for details on funding determination.

☐ Yes ☐ No

4. The applicant and/or PI ☐ has ☐ has not submitted applicationsfor 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 detailsthat must be provided.

5. The applicant qualifies as a socially and economically disadvantaged SBC and meets

the definition as stated in this NOFO.

☐ Yes ☐ No

6. The applicant qualifies as a woman-owned SBC and meets the definition asstated in this

NOFO.

☐ Yes ☐ No

7. The applicant qualifies as a HUBZone-owned SBC and meetsthe 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
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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

Signature of Company Official and typed name, 

title, address, telephone number, and date

Signature of Principal Investigator and typed 

name, title, address, telephone number, and 

date

TECHNICAL ABSTRACT (limit to 200 words):

POTENTIAL COMMERCIAL APPLICATION OF THE RESEARCH: (limit to 100 words)

OTHER INFORMATION:

Information contained in unsuccessful applications will remain the property of the applicant. The Federal Government may, however, retain 

copies of all applications. Public release of information in any application submitted will be subject to existing statutory and regulatory 

requirements. Applicants are discouraged from submitting proprietary information unless the information is deemed essential for proper 

evaluation of the application. If proprietary information provided by an applicant in a proposal constitutes trade secret, proprietary 

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

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

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

This proposal contains information that shall not be disclosed outside the Federal Government and shall not be duplicated, used, or disclosed 

in whole or in part for any purpose other than evaluation of this proposal, unless authorized by law. The Government shall have the right to 

duplicate, use, or disclose the data to the extent provided in the resulting award if award is made as a result of the submission of this 

proposal. The information subject to these restrictions are contained on all pages of the proposal except for pages [insert page number or 

other identification of pages that contain no restricted information.]

(End of Legend); and

(B) The following legend must appear on each page of the proposal that contains information the applicant wishes to protect:

Use or disclosure of information contained on this sheet is subject to the restriction on the title page of this proposal.

The use of any other legend is unacceptable to the Government and may constitute grounds for removing the application from further 

consideration without assuming any liability for inadvertent disclosure.

This collection of information contains Paperwork Reduction Act (PRA) requirements approved by the Office of Management and Budget 

(OMB). Notwithstanding any other provisions of the law, no person is required to respond to, nor shall any person be subject to a penalty for 

failure to comply with, a collection of information subject to the requirements of the PRA unless that collection of information displays a 

currently valid OMB control number. Public reporting burden for this collection is estimated to be 30 minutes per response, including the time 

for reviewing instructions, searching existing data sources, gathering and maintaining the data needed and completing and reviewing the 

collection of information. Send comments regarding this burden estimate or any aspect of this collection of information, including suggestions 

for reducing this burden, to the National Institute of Standards and Technology, Attn: Jacqueline Gray, 100 Bureau Dr., MS 2200, Gaithersburg, 

MD 20899.
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APPENDIX B. CERTIFICATIONS

SBIR Funding Agreement Certification (at time of award)

All small businesses that are selected for award of an SBIR funding 

agreement must complete this certification at the time of award and any 

other time set forth in the funding agreement that is prior to

performance of work under this award. This includes checking all of the

boxes and having an authorized officer of the awardee sign and date the

certification each time it is requested.

Please read carefully the following certification statements. The Federal

government relies on the information to determine whether the business 

is eligible for a Small Business Innovation Research (SBIR) Program award. 

A similar certification will be used to ensure continued compliance with

specific program requirements during the life of the funding agreement.

The definitions for the terms used in this certification are set forth in the 

Small Business Act, SBA regulations (13 C.F.R. Part 121), the SBIR/STTR 

Policy Directive and also any statutory and regulatory provisions 

referenced in those authorities.

If the funding agreement officer believes that the business may not meet 

certain eligibility requirements at the time of award, they are required to 

file a size protest with the U.S. Small Business Administration (SBA), who 

will determine eligibility. At that time, SBA will request further clarification 

and supporting documentation in order to assist in the verification of any of 

the information provided as part of a protest. If the funding agreement 

officer believes, after award, that the business is not meeting certain 

funding agreement requirements, the agency may request further

clarification and supporting documentation in order to assist in the 

verification of any of the information provided.

Even if correct information has been included in other materials submitted

to the Federal government, any action taken with respect to this 

certification does not affect the

Government’s right to pursue criminal, civil or administrative remedies for 

incorrect or incomplete information given in the certification. Each person

signing this certification may be prosecuted if they have provided false 

information.
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The undersigned has reviewed, verified and certifies that (all questions

must be responded to by checking the appropriate box):

(1) The Awardee business concern meets the ownership and control requirements set

forth in 13

C.F.R. § 121.702.

☐ Yes ☐No

(2) If a corporation, all corporate documents (namely: articles of 

incorporation and any amendments, articles of conversion, by-laws and

amendments, shareholder meeting minutes showing officer elections, 

organizational meeting minutes, all issued stock certificates, stock ledger, 

buy-sell agreements, stock transfer agreements, voting agreements, and 

documents relating to stock options, including the right to convert nonvoting stock or debentures into voting stock) must include evidence that 

the corporation meets the ownership and control requirements set forth 

in 13 C.F.R. § 121.702.

☐ Yes ☐No ☐N/A Explain why N/A:

(3) If a partnership, the partnership agreement evidences that it

meets the ownership and control requirements set forth in 13 

C.F.R. § 121.702.

☐ Yes ☐No ☐N/A Explain why N/A:

(4) If a limited liability company, the articles of organization and any

amendments, and operating agreement and amendments, 

evidence that it meets the ownership and control requirements set 

forth in 13 C.F.R. § 121.702.

☐ Yes ☐No ☐N/A Explain why N/A:

(5) The birth certificates, naturalization papers, or passports show that any

individuals it relies upon to meet the eligibility requirements are U.S.

citizens or permanent resident aliens in the United States.

☐ Yes ☐No ☐N/A Explain why N/A:

(6) The Awardee business concern has no more than 500 employees,

including the employees of its affiliates.

☐ Yes ☐No
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(7) SBA has not issued a size determination currently in effect

finding that this business concern exceeds the 500-employee size 

standard.

☐ Yes ☐No

(8) During the performance of the award, the principal investigator will spend 

more than one half of his/her time (based on a 40-hour workweek) as an

employee of the awardee or has requested and received a written deviation 

from this requirement from the funding agreement officer.

☐ Yes ☐No ☐Deviation approved in writing by funding agreement officer:

%

(9) All, essentially equivalent work, or a portion of the work proposed under this

project (check the applicable line):

a. Has not been submitted for funding to this agency or another Federal agency.

b. Has been submitted for funding to this agency or another Federal agency but has

not

been funded under any other grant, contract, subcontract or other transaction.

c. A portion has been funded by another grant, contract, or

subcontract as described in detail in the application and approved in 

writing by the funding agreement officer.

(10) During the performance of award, the Awardee will perform the

applicable percentage of work unless a deviation from this requirement 

is approved in writing by the funding agreement officer (check the 

applicable line and fill in if needed):

a.SBIR Phase I: at least two-thirds (66 2/3%) of the research.

b.SBIR Phase II: at least half (50%) of the research.

c.Deviation approved in writing by the funding agreement officer: %

(11) During performance of award, the research/research and development

will be performed in the United States unless a deviation is approved in 

writing by the funding agreement officer.

☐Yes ☐No ☐Waiver has been granted

(12) During performance of award, the research/research and

development will be
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performed at the Awardee’s facilities with the Awardee’s employees, except as

otherwise

indicated in the SBIR application and approved in the funding agreement.

☐Yes ☐No

(13) The SBIR Awardee has registered itself on SBA’s database as

majority-owned by venture capital operating companies, hedge 

funds or private equity firms.

☐Yes ☐No ☐N/A Explain why N/A:

(14) The SBIR Awardee is a Covered Small Business Concern (a small

business concern that:(a) was not majority-owned by multiple venture capital 

operating companies (VCOCs), hedge funds, or private equity firms on the 

date on which it submitted an application in response to an SBIR solicitation; 

and (b) on the date of the SBIR award, which is made more than 9 months 

after the closing date of the solicitation, is majority-owned by multiple 

venture capital operating companies, hedge funds, or private equity firms).

☐Yes ☐No

(15) The SBIR Awardee will notify this agency immediately if all or a

portion of the work authorized and funded under this award is 

subsequently funded by another Federal agency.

☐Yes ☐No

(16) I understand that the information submitted may be given

to Federal, State and local agencies for determining violations of 

law and other purposes.

☐Yes ☐No

I am an officer of the business concern authorized to represent it and sign 

this certification on its behalf. By signing this certification, I am 

representing on my own behalf, and on behalf of the business concern 

that the information provided in this certification, the application, and all 

other information submitted in connection with this application, is true 

and correct as of the date of submission. I acknowledge that any 

intentional or negligent misrepresentation of the information contained in

this certification may result in criminal, civil or administrative sanctions, 
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including but not limited to: (1) fines, restitution and/or imprisonment 

under 18 U.S.C. § 1001; (2) treble damages and civil penalties under the 

False Claims Act (31 U.S.C.§ 3729 et seq.); (3) double damages and civil

penalties under the Program Fraud Civil Remedies Act (31 U.S.C. § 3801 et 

seq.); (4) civil recovery of award funds, (5) suspension and/or debarment 

from all Federal procurement and nonprocurement transactions (FAR 

Subpart 9.4 or 2 C.F.R. Part 180); and (6) other administrative penalties 

including termination of SBIR/STTR awards.

Signature_______________________________________________Date____/___/____

Print Name (First, Middle, Last)____________________________________________

Title__________________________________________________________________

Business Name_________________________________________________________
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SBIR Funding Agreement Certification (Life-Cycle Certification)

All SBIR Phase I and Phase II awardees must complete this certification at all times set forth in 

the funding agreement (see §8(j) of the SBIR/STTR Policy Directive). This includes checking all 

of the boxes (unless otherwise directed) and having an authorized officer of the awardee sign 

and date the certification each time it is requested.

Please read carefully the following certification statements. The Federal government relies on 

the information to ensure compliance with specific program requirements during the life of the 

funding agreement. The definitions for the terms used in this certification are set forth in the 

Small Business Act, the SBIR/STTR Policy Directive, and also any statutory and regulatory 

provisions referenced in those authorities.

If the funding agreement officer believes that the business is not meeting certain funding 

agreement requirements, the agency may request further clarification and supporting 

documentation in order to assist in the verification of any of the information provided.

Even if correct information has been included in other materials submitted to the Federal 

government, any action taken with respect to this certification does not affect the

Government’s right to pursue criminal, civil, or administrative remedies for incorrect or 

incomplete information given in the certification. Each person signing this certification may be 

prosecuted if they have provided false information.

The undersigned has reviewed, verified and certifies that (all questions must be responded to by

checking the appropriate box):

(1) The principal investigator spent more than one half of his/her time (based on a 40-

hour workweek) as an employee of the awardee or the awardee has requested and 

received a written deviation from this requirement from the funding officer.

☐ Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

(2) All, essentially equivalent work, or a portion of the work performed under this 

project (check applicable line):

☐ Has not been submitted for funding to this agency or another Federal agency.

☐ Has been submitted for funding to this agency or another Federal agency but has not

been funded under any other grant, contract, subcontract or other transaction.
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(3) A portion has been funded by another grant, contract, or subcontract as described in detail in 

the proposal and approved in writing by the funding agreement officer. Upon completion of the

award the awardee will have performed the applicable percentage or

work, unless a deviation from this requirement is approved in writing by the funding 

agreement officer (check the applicable line and fill in if needed):

☐ SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐ SBIR Phase II: at least half (50%) of the research.

☐ Deviation approved in writing by the funding agreement officer: %

(4) The work is completed, and the small business awardee has performed the applicable 

percentage of work, unless a deviation from this requirement is approved in writing by 

the funding agreement officer (check the applicable line and fill in if needed):

☐ SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐ SBIR Phase II: at least half (50%) of the research.

☐ Deviation approved in writing by the funding agreement officer: %

☐ N/A because work is not completed.

(5) The research/research and development is performed in the United States unless a 

deviation is approved in writing by the funding agreement officer.

☐ Yes ☐No ☐Waiver has been granted

(6) The research/research and development is performed at the awardee’s facilities by the 

awardee’s employees, except as otherwise indicated in the SBIR application and approved 

in the funding agreement.

☐ Yes ☐No

(7) I will notify the Federal agency immediately if all or a portion of the work authorized 

and funded under this award is subsequently funded by another Federal agency.

☐ Yes ☐No

(8) I understand that the information submitted may be given to Federal, State and local 

agencies for determining violations of law and other purposes.

☐ Yes ☐No
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(9) I am an officer of the awardee business concern authorized to 

represent it and sign this certification on its behalf. By signing this 

certification, I am representing on my own behalf, and on behalf of the

business concern, that the information provided in this certification, the 

application, and all other information submitted in connection with the 

award, is true and correct as the date of submission. I acknowledge that 

any intentional or negligent misrepresentation of the information 

contained in this certification may result in criminal, civil or administrative 

sanctions, including but not limited to: (1) fines, restitution and/or 

imprisonment under 18 U.S.C. § 1001; (2) treble damages and civil 

penalties under the False Claims Act (31 U.S.C. § 3729 et seq.); (3) double 

damages and civil penalties under the Program Fraud Civil Remedies Act

(31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds,

(5) suspension and/or debarment from all Federal procurement and 

nonprocurement transactions (FAR Subpart 9.4 or 2 C.F.R. Part 180); and

(6) other administrative penalties including termination of SBIR/STTR 

awards.

☐ Yes ☐No

Signature_______________________________________________Date____/___/____

Print Name (First, Middle, Last)____________________________________________

Title__________________________________________________________________

Business Name_________________________________________________________
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Appendix C. Required Disclosures of Foreign Affiliations or

Relationships to Foreign Countries

(A fillable version of this Appendix C, is available at http://www.nist.gov/sbir)

Relevant Definitions

Covered individual - the term "covered individual" means an individual who-

(A) contributes in a substantive, meaningful way to the scientific development or 

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

research and development award from a federal research agency; and

(B) is designated as a covered individual by the federal research agency concerned. 

Foreign affiliation - the term "foreign affiliation" means a funded or unfunded academic, 

professional, or institutional appointment or position with a foreign government or governmentowned entity, whether full-time, part-time, or voluntary. This includes appointments or positions 

deemed adjunct, visiting, or honorary with research institutions located in a foreign country of 

concern.

Foreign country of concern - the term "foreign country of concern" means the People's 

Republic of China, the Democratic People's Republic of Korea, the Russian Federation, the 

Islamic Republic of Iran, or any other country determined to be a country of concern by the 

Secretary of State.

Malign foreign talent recruitment program - the term "malign foreign talent recruitment 

program" has the meaning given such term in section 19237 of title 42.

Federally funded award - the term "federally funded award" means a Phase I, Phase II 

(including a Phase II award under subsection (cc)), or Phase III SBIR or STTR award made 

using a funding agreement.
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Applicant or awardee Name: __________________________

Applicant or awardee EIN (UEI if EIN is unavailable): ____________

Responses to disclosure questions may contain trade secrets or commercial or financial 

information that is privileged or confidential and is exempt from public disclosure. Such 

information shall be used or disclosed only for evaluation purposes or in accordance with an 

award between the submitter and the Government. 

An up-to-date list of countries determined to be countries of concern by the Secretary of State 

will be maintained and accessible on SBIR.gov at https://www.sbir.gov/foreign_disclosures.

Disclosure Questions

1. Is any owner or covered individual of the applicant or awardee party to any malign foreign talent 

recruitment program?

☐ Yes ☐ No 

If yes, disclose the first and last name of each owner or covered individual, identify their role 

(i.e., owner or covered individual), and the malign foreign talent recruitment program.

______________________________________________________________________________

______________________________________________________________________________

2. Is there a parent company, joint venture, or subsidiary, of the applicant or awardee that is based in 

or receives funding from, any foreign country of concern?

☐ Yes ☐ No 

If yes, disclose the name, full address, applicant or awardee relationships (i.e., parent company, 

joint venture, or subsidiary) of each entity based in, or funded by, any foreign country of concern. 

________________________________________________________________________________

________________________________________________________________________________

3. Does the applicant or awardee have any current or pending contractual or financial obligation or 

other agreement specific to a business arrangement, or joint venture-like arrangement with an 

enterprise owned by a foreign state or any foreign entity? 

☐ Yes ☐ No 

If yes, disclose the name of each enterprise or foreign entity, type of obligation, agreement, or 

arrangement (i.e., contractual, financial, or other), description of obligation, agreement, or 

arrangement, and the foreign state(s) and/or the country of the foreign entity (or entities).

_________________________________________________________________________________

_________________________________________________________________________________
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4. Is the applicant or awardee wholly owned in a foreign country? 

☐ Yes ☐ No 

If yes, disclose the foreign country. 

_________________________________________________________________________________

_________________________________________________________________________________

 

5. Does the applicant or awardee have any venture capital or institutional investment? 

☐ Yes ☐ No 

If yes, proceed to question 5a. If no, proceed to question 6.

5a. Does the investing entity have a general partner or any other individual holding a leadership 

role who has a foreign affiliation with any foreign country of concern? 

☐ Yes ☐ No ☐ Unable to determine 

If yes or unable to determine, disclose the venture capital or institutional investing entity’s 

name, the percentage of ownership obtained by the investing entity, and the type of investment 

(i.e., equity, debt, or combination of equity and debt). 

______________________________________________________________________________

______________________________________________________________________________

6. During the previous 5-year period, did the applicant or awardee have any technology licensing or 

intellectual property sales or transfers, to a foreign country of concern? 

☐ Yes ☐ No 

If yes, disclose the name, address, and country, of the institution or entity that licensed, 

purchased, or received the technology or intellectual property.

______________________________________________________________________________

______________________________________________________________________________

 

7. Is there any foreign business entity, offshore entity, or entity outside the United States related to 

the applicant or awardee? 

☐ Yes ☐ No 

If yes, disclose the entity name, relationship type (i.e., foreign business entity, offshore entity, 

entity outside the United States), description of the relationship to the applicant or awardee, 

and entity address and country. 
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______________________________________________________________________________

______________________________________________________________________________

8. Does the applicant or awardee have an owner, officer, or covered individual that has a foreign 

affiliation with a research institution located in a foreign country of concern?

☐ Yes ☐ No 

If yes, disclose the first and last name of each owner, officer, or covered individual that has a 

foreign affiliation with a foreign country of concern, identify their role (i.e., owner, officer, or 

covered individual), and the name of the foreign research institution and the foreign country of 

concern where it is located.

______________________________________________________________________________

______________________________________________________________________________

Signature_______________________________________________Date____/___/____

Print Name (First, Middle, Last)____________________________________________

Title__________________________________________________________________

Business Name_________________________________________________________