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FY 2022 NIST Small Business Innovation Research Program Phase II

Notice of Funding Opportunity

May 3, 2022

FY 2022 

Small Business Innovation Research

(SBIR) Program Phase II

Notice of Funding Opportunity (NOFO)

ANNOUNCEMENT

FUNDING OPPORTUNITY NUMBER: 2022-NIST-SBIR-02 

Catalog of Federal Domestic Assistance (CFDA) Number:

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

U.S. DEPARTMENT OF COMMERCE

National Institute of Standards and Technology

Opening Date of NOFO: May 3, 2022 

Closing Date: June 17, 2022

http://www.nist.gov/sbir
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FY 2022 NIST Small Business Innovation Research Program Phase II

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TABLE OF CONTENTS

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

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

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

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

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

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

1.06 Fraud, Waste and Abuse ....................................................................................................... 16

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

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

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

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

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

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

from Vertebrate Animals.............................................................................................................. 21

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS....................................... 22

3.01 Phase II Application Requirements....................................................................................... 22

3.02 Phase II Application............................................................................................................... 24

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA............................................................ 29

4.01 Introduction .......................................................................................................................... 29

4.02 Phase II Screening Criteria ....................................................................................................30
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FY 2022 NIST Small Business Innovation Research Program Phase II

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4.03 Phase II Evaluation Criteria .................................................................................................. 31

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

5.0 CONSIDERATIONS ................................................................................................................... 33

5.01 Awards .................................................................................................................................. 33

5.02 Reporting Requirements....................................................................................................... 34

5.03 Payment Schedule ................................................................................................................ 35

5.04 Innovations, Inventions and Patents .................................................................................... 35

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

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

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

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

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

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

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

5.12 Technical and Business Information (TABA).........................................................................47

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

6.0 SUBMISSION OF APPLICATIONS.............................................................................................. 48

6.01 Deadline for Applications...................................................................................................... 48

6.02 Address to Request Application Package.............................................................................. 49

6.03 Application Submission......................................................................................................... 49
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FY 2022 NIST Small Business Innovation Research Program Phase II

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

8.0 SUBMISSION FORMS AND CERTIFICATIONS ........................................................................... 52

8.01 Required Forms and Documents .......................................................................................... 52

8.02 Attachment of Required Application Documents................................................................. 59

8.03 Verifying the Submission and Tracking the Application........................................................60

8.04 Unique Entity Identifier and System for Award Management (SAM) ..................................60

9.0 RESEARCH AREAS .................................................................................................................... 61

Appendix A. COVER SHEET........................................................................................................... 64

Appendix B. CERTIFICATIONS........................................................................................................ 66
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FY 2022 NIST Small Business Innovation Research Program Phase II

Notice of Funding Opportunity

May 3, 2022

US DEPARTMENT OF COMMERCE

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

FY 2022 SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

PHASE II NOTICE OF FUNDING OPPORTUNITY (NOFO)

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION

1.01 Introduction

The National Institute of Standards and Technology (NIST) invites FY 2021 NIST SBIR

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

Opportunity (NOFO). Only FY 2021 NIST SBIR Phase I awardees are eligible to submit

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

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

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

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

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

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

114-328).

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

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

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

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

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

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

(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 2022 SBIR program identifies and solicits applications in topics that fall within

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

whenever possible.

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

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

Order (EO) 13329 “Encouraging Innovation in Manufacturing,” the Energy Independence
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FY 2022 NIST Small Business Innovation Research Program Phase II

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and Security Act of2007 (P.L. 110-140 § 1203(e), codified at 15 U.S.C. § 638(z)), and the

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

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

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

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

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

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

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

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

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

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

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

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

1.02 Three-Phase Program

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

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

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

SBIR/STTR Policy Directive. 

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

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

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

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

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

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

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

1.02.01 Phase I - Feasibility Research

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

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

awardee’s performance. The application should concentrate on describing research that
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FY 2022 NIST Small Business Innovation Research Program Phase II

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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.

This NOFO is not soliciting applications for Phase I research.

1.02.02 Phase II - Research and Development

This NOFO provides an opportunity to all NIST FY 2021 SBIR I awardees to submit a Phase II

application following the completion of Phase I. This NOFO provides instructions for FY 2022

NIST SBIR Phase II application preparation and submission requirements.

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

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

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

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

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

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

required to report on its commercialization activities.

1.02.03 Phase III - Commercialization

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

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

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

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

1.02.04 Commercialization Readiness Pilot Program

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

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

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

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

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

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

make any CRPP awards.
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FY 2022 NIST Small Business Innovation Research Program Phase II

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1.03 SBIR Applicant Eligibility and Limitations

1.03.01 Applicant Qualifications

Under this NOFO, only FY 2021 NIST SBIR Phase I awardees are eligible to submit applications.

Applications received from entities other than FY 2021 NIST SBIR Phase I awardees will not be

reviewed or considered for award. Each applicant must qualify as an SBC for R/R&D

purposes, as defined in Section 1.05 of this NOFO, at the time of award. In addition, the

primary employment of the principal investigator must be with the small business at the

time of the award and during the conduct of the proposed research. Primary employment

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

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

with another organization. Occasionally, deviations from this requirement may occur, which

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

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

an SBIR Phase II award if the NIST Grants Officer provides prior written approval. Personnel

obtained through a Professional Employer Organization or other similar personnel leasing

company may be considered employees of the awardee.

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

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

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

each exemption and its terms in writing.

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

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

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

considered for award.

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

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

and other subcontract/subaward or purchase agreements, excluding funds requested for

TABA (see Section 5.12), may not exceed one-half of the total award.

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

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

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

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

on SBIR.gov for any of its existing and prior Phase II awards.
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FY 2022 NIST Small Business Innovation Research Program Phase II

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Applicants may not participate in the review of applications.

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

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

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

1.03.02 Company Registry Requirements

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

requirements for all companies applying to the SBIR Program. Each Phase II 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.

1.04 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: (301) 975-4188

E-mail:jacqueline.gray@nist.gov

or

Nicole Berry

Phone: (202) 235-3675

E-mail: nicole.berry@nist.gov
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FY 2022 NIST Small Business Innovation Research Program Phase II

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Electronic Application Submission

through Grants.gov

Grants.gov

(800) 518-4726

E-mail: support@grants.gov

Grant Rules and Regulations Dean Iwasaki

Phone: (301) 975-8449

E-mail: dean.iwasaki@nist.gov

Applicants may also contact the NIST Hollings Manufacturing Extension Partnership

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

obtaining technical assistance from MEP Centers for application preparation can be

found in Section 5.13 of this NOFO.

1.05 Definitions

(a) General Definitions

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

excerpted from the SBA SBIR/STTR Policy Directive. 

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

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

SBIR/STTR Programs.

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

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

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

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

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

or commercial markets.

Contract, see 2 CFR §200.1 - For the purpose of Federal financial assistance, a legal
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instrument by which a recipient or subrecipient purchases property or services needed 

tocarry out the project or program under a Federal award. For additional information on

subrecipient and contractor determinations, see § 200.331. 

Cooperative Agreement, see 2 CFR §200.1 - A legal instrument of financial assistance 

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

subrecipient that is consistent with 31 U.S.C. 6302-6305: 

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

ofvalue to carry out a public purpose authorized by a law of the United States (see 31 

U.S.C. 6101(3)); and not to acquire property or services for the Federal Government or 

pass-throughentity'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.

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 tothe same 

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

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

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

regardless of the funding source.

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

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

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

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

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

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

subject studied;

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

innovation to meet a recognized but unmet need; or

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

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

and improvement of prototypes and new processes to meet specific requirements.
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Small Business Concern (SBC) – A concern that meets the SBIR/STTR program eligibility

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

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

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

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

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

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

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

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
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FY 2022 NIST Small Business Innovation Research Program Phase II

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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 incidentalto contract or grant

administration, such as financial, administrative, cost or pricing ormanagement information.

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

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

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

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

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

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

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

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

transfers by the United States Government to foreign governments or international 

organizations. Government Purposes include competitiveprocurement, 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 theSBIR/STTR 

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

(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;
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FY 2022 NIST Small Business Innovation Research Program Phase II

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(iii) Archive or backup; or

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

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

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

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

recipient.

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

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

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

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

Government without the written permission of the Awardee unless:

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

with the Government that complies with the terms for such agreements

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

(ii) The release or disclosure is— 

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

for purposes of supporting Government internal use or activities, including

evaluation, diagnosis and correction of deficiencies, and adaptation,

combination, or integration with other Computer Software provided that

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

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

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

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

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

Data, such as for emergency repair and overhaul.

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

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

performance of an SBIR or STTR award. The term does not includeinformation 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 markedSBIR/STTR 
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FY 2022 NIST Small Business Innovation Research Program Phase II

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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 ofData other than Computer 

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

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

Government has a royalty free license to use,and to authorize others to use on its behalf, these 

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

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

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

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

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

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

Funding Agreement and ends not less thantwenty 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 othertype of Data other

than Computer Software.

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

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

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

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

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

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

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

Federal Government without any additional written permission of the

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

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

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
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Government support services contract for internal Government use or

activities, including evaluation, diagnosis or modification, provided that

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

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

commercial purposes or manufacture;

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

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

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

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

scientific or technical nature (including Computer Software Documentation and Computer 

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

pricing, or management information, orother data incidental to contract or grant

administration. The term includes recordedData of a scientific or technical nature that is 

included in Computer Databases.

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

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

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

1.06 Fraud, Waste and Abuse

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

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

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

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

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

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

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

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

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

not limited to:

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

under, an SBIR/STTR award;
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FY 2022 NIST Small Business Innovation Research Program Phase II

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

compliance with program requirements under an SBIR/STTR award;

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

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

misused or converted SBIR/STTR award funds;

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

from an SBIR/STTR award;

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

(vi) extravagant, careless, or needless spending;

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

(PI) has a financial interest;

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

awards or other conflicts of interest that prevents the Government from getting the best

value; and

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

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

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

proposed in the application.

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

Office of Inspector General Complaint Form. 

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
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Mail:

Office of Inspector General Hotline

HCHB 7709

1401 Constitution Avenue, N.W.

Washington, DC 20230

1.07 Other Information

1.07.01 Personal and Business Information

The applicant acknowledges and understands that information and data contained in

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

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

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

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

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

and contractors, and/or by non-Federal personnel, all of whom enter into appropriate

conflict of interest and confidentiality agreements covering the use of such information. As

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

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

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

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

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

measures to safeguard protected personally identifiable information and other confidential

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

Department of Commerce financial assistance award.

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
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information contained in financial assistance applications and other documentation

provided by applicants to the extent permitted by law.

2.0 CERTIFICATIONS

2.01 Funding Agreement Certification

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

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

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

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

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

Involving Human Subjects Including Software Testing

This section summarizes the requirements for applications that potentially involve research

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

such applications and provides details regarding the documentation required is available 

here: https://www.nist.gov/oaam/nist-notice-funding-opportunity-requirements-humansubjects- and-live-vertebrate-animal. Both this summary and the additional information 

provided at thelink will be incorporated into any award made under this NOFO.

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

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

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

Department of Commerce at 15 C.F.R. Part 271. 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.

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

InstitutionalReview 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 Federal wide 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 

wereapproved 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, 

allresearch activities believed to be exempt or non-exempt research involving human 

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

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

Some documents may be requested for a pre-review during the proposal review process; 

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

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

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

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

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

reviewed by NIST.

This summary and the information provided here https://www.nist.gov/oaam/nist-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 

beincorporated 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; 
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phone: (301) 975-5445).

2.03 Research Activities Involving Live Vertebrate Animals or Pre-Existing CellLines/Tissues 

From Vertebrate Animals

This section summarizes the requirements for applications that potentially involve research

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

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

applications and provides details regarding the documentation required is available here:

https://www.nist.gov/oaam/nist-notice-funding-opportunity-requirements-humansubjects- and-live-vertebrate-animal. Both this summary and the additional information 

provided at thelink 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 

Utilizationand Care of Vertebrate Animals Used in Testing, Research, and Training” 

(Principles).

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

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

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

review” means that the NIST RPO will review and verify the performing institution’s 

determinations made under the applicable legal and policy requirements and all 

documentation that support such determinations. Some documents may be requested for 

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

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

time post-award. If an award is issued, no research activities involving live vertebrate 

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

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

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

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

activities believed to include research involving live vertebrate animals and the 

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

conducted. In addition,the applicant should indicate any activity/task that involves an 
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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 theexisting NIST policy for Research Involving Live Vertebrate Animals. Should 

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

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

reflecting the updated policy may be incorporated into the award.

For more information regarding research projects involving live vertebrate animals, 

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

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

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

Federal Tax Assessments and Delinquent Federal Tax Returns

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

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

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

assessments, and delinquent federal tax returns.

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.01 Phase II Application Requirements

Only FY 2021 NIST SBIR Phase I awardees are eligible to submit FY 2022 Phase II

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

this time. 

The application must provide sufficient information to demonstrate that the proposed

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

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

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

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

research area or NIST-patented technology must be the same as identified in Phase I. 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.
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Each application should be checked carefully by the applicant to ensure inclusion of all

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

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

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

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

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

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 STTRawards. 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 

accountor to register and create a new account.

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

currentlycontained in the Company Registry Commercialization Report.

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

tothe “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.
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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 

Forms and Documents of this NOFO.

3.02 Phase II Application

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

forms and documents listed in Section 8.01.

The Cover Sheet (a) and Technical Content (b) of the Technical Proposal is limited to 15

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

process. The Commercialization Plan (c) and Phase I Final Report (d) are not included in the

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

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

presented in metric units.

The Technical Proposal portion of the application requires the following:

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

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

(c) Commercialization Plan (3.02.03), and

(d) Phase I Final Report (3.02.04).

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

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

are not included in the 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,
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including business-related support services that could potentially benefit the applicant’s

proposed project.

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

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

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

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

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

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

3.02.02 Technical Content

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

shown:

(1) 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. Explain how it applies to the specific research

area in Section 9 that was utilized in Phase I.

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

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

approach.

(3) Phase II Work Plan. Include a detailed description of the Phase II research plan. The plan

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

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

detail.

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

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

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

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

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

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

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

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

desired and may be necessary to meet application size limitations.
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(6) Relationship with Future R/R&D. Discuss the significance of the Phase II effort in

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

commercial results of the proposed approach.

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

instrumentation and physical facilities proposed for Phase II should be

provided.

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

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

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

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

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

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

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

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

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

Section 5.12 – may not exceed one-half of the total award.

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

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

available to the public.

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

subrecipients, or subcontractors. The Letters of Commitment do not count against the

page limit. See Section 8.01.16.

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

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

theagency, 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 applicant’s existing CRADA with any federal agency, including 

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

(10) Guest Researcher. State if any of the applicant’s employees, consultants,

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

researcher at NIST, naming the sponsoring laboratory.
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(11) Cost Sharing. Cost sharing is not required and is not considered during theevaluation

process for Phase II applications.

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

applications or applications containing a significant amount of essentially equivalent work

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

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

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

the soliciting agency or agencies before award.

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

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

Agency, the applicant must provide the following information:

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

an award was received.

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

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

received.

(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.

(13) 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 II

application:name of the awarding agency; date of award; funding agreement number;

amount of award; topic, subtopic, or research area title; follow-on agreement amount; 

source and date of commitment; and current commercialization status for each Phase II 
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award. This required information will not be counted toward the 15-page Technical

Proposal limitation.

3.02.03Commercialization Plan 

Attach a copy of your commercialization plan that follows theguidelines below.

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

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

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

• The existence of Phase III follow-on funding commitments from the private sector or

non- SBIR Government funding sources; and

• Other indicators of the concept’s commercial potential.

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

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

marketplace is unique.

The commercialization plan should provide information directly related to bringing the

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

commercialization plan, please visit the Small Business Administration website, Writing a 

Business Plan: http://www.sba.gov/category/navigation-structure/starting-managingbusiness/starting- business/how-write-business-plan. The commercialization plan should

indicate how the Phase IIresearch results are to be carried out in Phase III and should

address the following areas:

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

productswith significant sales, and history of previous Federal and nonfederal funding, 

regulatory experience, and subsequent commercialization.

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

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

use.

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

competition, and advantages compared to competing products or services; description of 
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hurdlesto acceptance of the innovation.

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

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

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

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

least a temporal competitive advantage.

Financing – Plans for securing necessary funding in Phase III.

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

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

Small BusinessDevelopment Centers (SBDCs), Hollings Manufacturing Extension Partnership 

Centers, or other assistance providers.

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

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

3.02.04 Phase I Final Report

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

Technical Proposal’s 15 page limit.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.01 Introduction

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

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

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

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

on its own merit.

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

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

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

invention covered by a patent or patent application and such NIST-owned invention has
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become unavailable for licensing prior to the close of this NOFO in the field of use relevant

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

4.02 Phase II Screening Criteria

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

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

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

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

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

The screening criteria are:

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

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

1.03.

(3) The Phase II 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

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

vi) Technical Content – see Section 3.02

a. Cover Sheet – see Section 3.02.01

b. Technical Proposal – see Section 3.02.02

c. Commercialization Plan – see Section 3.02.03

d. Phase I Final Report – see Section 3.02.04

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

Certificate of Training Completion – see Section 8.01.14

xv) Letters of Commitment – see Section 8.01.15

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

(4) The Technical Content must not exceed 15 pages.

(5) The Phase II total proposed project budget must not exceed $400,000. Up to $50,000

of the award may be requested for TABA. For Phase II, a minimum of one-half of the

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

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

agreements, excluding funds requested for TABA – see Section 5.12 – may not exceed

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

(6) The duration of R/R&D for the Phase II project must not exceed 24months.

(7) If an application is submitted that requires a license to use a NIST-owned invention

covered by a patent or patent application, the relevant NIST-owned invention must be available

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

4.03 Phase II Evaluation Criteria

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

a scored merit review process.

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

independent, objective reviewers composed of NIST staff or non-federal 

personnel in accordance with the following equally-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 soundness of the technical approach to the proposed research.

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

technical area as described in the commercialization plan.

(3) The likelihood the proposed approach will contribute to the field of study in the technical

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

they relate to accomplishing the proposed research effort.

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

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

technical clarifications may be made after application submission.

4.04 Phase II Award Selections

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

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

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

(2) Diversity across NIST program areas;

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

efficiency research;

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

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

(5) 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.

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

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

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

Integrity Information System (FAPIIS). An applicant may, at its discretion, review and
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comment on information about itself previously entered into FAPIIS by a Federal awarding

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

comments made by the applicant in FAPIIS in making its determination about the applicant’s

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

Upon completion of the pre-award risk assessment, the Grants Officer will make a

responsibility determination concerning whether the applicant is qualified to receive the

subject award and, if so, whether appropriate specific conditions that correspond to the

degree of risk posed by the applicant should be applied to an award.

4.04.02 Release of Proposal Review Information

After final award decisions have been announced, 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

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

to be completed by September 2022. The earliest start date for awards under this NOFO is

expected to be September 2022. 

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, dated November 12, 2020, is accessible at

Department of Commerce Financial Assistance Standard Terms and Conditions.

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

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

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

approximately eight (8) Phase II awards with a project budget of no more than

$400,000 each. Of this amount, up to $50,000 may be included in each 
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application for TABA. The total performance period shall be no more than 24 

months beginning on the agreement start date. A period of one (1) month is 

allotted after the 24-month R&D duration for the awardee to prepare and

submit a finalreport. One year after completing the R&D activity, the awardee 

shall be required to report on its commercialization activities.

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

cooperative agreements.

To provide for an in-depth review of the Phase I final report and the Phase II application,

Phase II awards will be made approximately 6 months after the completion of Phase I,

contingent upon availability of funds.

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

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

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

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

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

available funds.

5.02 Reporting Requirements

Phase II awardees will be required to submit Research Performance Progress Reports

(RPPR) including a final report. RPPRs are generally due 30 days after the end of the 6th,

12th, 18th, and 24th month of the period of performance. Publication citation information

as well as links to publicly available data or revised Data Management Plans (DMPs) 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, 

adescription 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 

resultsfrom 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
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proprietary informationmust be marked by the awardee according to instructions provided

in Section 5.04.01.

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

objectives, NIST may periodically request information from small businesses about

progress taken towards commercialization of the technology after the completion of 

Phase I and II awards.

5.03 Payment Schedule

Cooperative agreements will include an award term with electronic payment system

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

they maintain or demonstrate the willingness to maintain: written procedures that

minimize the time elapsing between the transfer of funds and disbursement by the

recipient, and financial management systems that meet the standards for fund control and

accountability as established in 2 C.F.R. § 200.302. Advances of funds to a recipient

organization shall be limited to the minimum amounts needed and be timed to be in

accordance with the actual, immediate cash requirements of the recipient organization in

carrying out the purpose of the approved program or project.

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

time advance payment requests so that Federal funds are on hand for a maximum of three

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

no case should advances exceed the amount of cash required for a 30-day period.

5.04 Innovations, Inventions and Patents

5.04.01 Proprietary Information Contained in Proposals

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

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

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

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

regulatory requirements. Applicants are discouraged from submitting proprietary

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

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

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

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

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

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.
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(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.

(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.
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(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 SBIR/STTR 

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

purposes without the written permission of the Awardee. The FederalGovernment 

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
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(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.

(10) SBIR/STTR Data. All Data developed or generated in the performance of an SBIR

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

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

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

administrative, cost or pricing or management information.

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

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

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

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

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

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

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

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

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

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

unmarked SBIR/STTR Data.

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

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

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

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

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

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

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

type of Data other than Computer Software.

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

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

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

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

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

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

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

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

(14) Technical Data. Recorded information, regardless of the form or method of the

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

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

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

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

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

(15) Unlimited Rights. The Government’s rights to access, use, modify, prepare

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

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

authorize others to do so.

(b) Allocation of SBIR/STTR Data Rights.

(1) An SBC retains ownership of all SBIR/STTR Data it develops or generates in the
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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 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
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SBIR/STTR Awardee

SBIR/STTR Awardee Address

This is SBIR/STTR Data (or is Computer Software or a Prototype that embodies or

includes SBIR/STTR Data) to which the SBIR/STTR Awardee has SBIR/STTR Data Rights

and to which the Federal Government has received SBIR/STTR Technical Data Rights

(or SBIR/STTR Computer Software Rights) during the SBIR/STTR Protection Period and

rights of use for Government Purposes after the SBIR/STTR Protection Period, as

those terms are defined in the SBIR/STTR Funding Agreement. Awards issued by the

U.S. Department of Energy are subject to Unlimited Rights after the SBIR/STTR

Protection Period, as that term is defined in the SBIR/STTR Funding Agreement. Any

reproduction of SBIR/STTR Data or portions of such data marked with this legend

must also reproduce the markings.”

(End of Legend)

(2) Data submitted without correct or appropriate markings may be corrected within

6 months from the date the data is delivered.

(d) Relation to patents. Nothing regarding SBIR/STTR Data Rights in this clause shall imply

a license to or imply a requirement to license to the Federal Government any patent to a

Subject Invention (as defined under the Bayh-Dole Act implemented at 37 CFR 401) made

under an SBIR/STTR award.

(e) Copyright.

(1) Data first produced in the performance of this award.

(i) Except as otherwise specifically provided in this award, the Awardee may assert

copyright subsisting in any data first produced in the performance of this award.

(ii) When asserting copyright, the Awardee shall affix the applicable copyright notice

of 17 U.S.C. § 401 or § 402 and an acknowledgment of Government sponsorship

(including award number).

(iii) For data other than computer software, the Awardee grants to the Government,

and others acting on its behalf, a paid-up nonexclusive, irrevocable, worldwide

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
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Invention Reporting System at www.iedison.gov. 

5.05 Cost Sharing

Cost sharing is permitted for applications under this program NOFO; however, cost sharing

is not required and will not be considered in evaluation of applications.

5.06 Profit or Fee

A reasonable profit or fee not to exceed 7% of the sum of the direct and indirect costs is

allowed.

5.07 Joint Ventures or Limited Partnerships

Joint ventures and limited partnerships are eligible provided the entity created qualifies as an

SBC as defined in this NOFO.

5.08 Research and Analytical Work

For Phase II, a minimum of one-half 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, excluding

funds requested for TABA – see Section 5.12 – 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; and the Department of Commerce Pre-Award

Notification Requirements for Grants and Cooperative Agreements, 79 FR 78390 (December

30, 2014).

Section 5.10 describes the types of terms and conditions to which the awardee would

commit. This list is not a complete list of terms and conditions to be included in Phase I and

Phase II funding agreements and is not the specific wording of such terms and conditions.
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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, or for cause; (b) by

the NIST Grants Officer with the consent of the awardee, in which case the two parties

shall agree upon the termination conditions, including the effective date and, in the case of

partial termination, the portion to be terminated; (c) by the awardee upon sending to the

NIST Grants Officer written notification setting forth the reasons for such termination, the

effective date, and, in the case of partial termination, the portion to be terminated. See 2

C.F.R. §§ 200.339-343.

(3) Non-Discrimination. The awardee will be required to comply with statutory and other

non-discrimination requirements. No person in the United States shall, on the ground of

race, color, national origin, handicap, age, religion, or sex, be excluded from participation

in, be denied the benefits of, or be subject to discrimination under any program or activity

receiving Federal financial assistance. See Section G.02 of the Department of Commerce

Financial Assistance Standard Terms and Conditions (November 12, 2020).

(4) Audit Requirements. Government officials may conduct an audit of an award at any

time. Unless otherwise specified in the award, for-profit organizations that expend

$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. Pursuant to Section F.01 of the Department of Commerce Financial

Assistance Standard Terms and Conditions (November 12, 2020), the awardee must

maintain written standards of conduct to establish safeguards to prohibit employees from

using their positions for a purpose that constitutes or presents the appearance of

personal or organizational conflict of interest, or personal gain in the administration of

the award.
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(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 (TABA)

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

provide funding for Technical and Business Assistance (TABA) to Phase I and Phase II

awardees as authorized by 15 U.S.C. § 638(q). The NIST TABA program assists in providing 

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.

Applicants may propose up to $50,000 of Phase II funding for TABA services. Funding for

TABA counts toward the maximum $400,000 award limit. To include TABA services as part

of a Phase II award, provide amount and 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 II applications must be received no later than 11:59 p.m. Eastern Time, Friday, 

June 17, 2022. 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 about any scheduled closures.

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/organizationregistration.html. 

NOTE: As of Monday, April 4, 2022, the federal government stopped using the DUNS number 

to identify entities. All entities doing business with the federal government must use a Unique 

Entity Identifier (UEI) generated in SAM.gov. Applicants must request and be assigned a UEI 

number prior to completing the grant application forms and submitting their application via 

Grants.gov. For more information, please see Planned UEI Updates | GRANTS.GOV. 

The Standard Forms (e.g., SF424, SF424 R&R, etc.) were also updated on April 4, 2022, to 

allow entities to enter the UEI number. Applicants must use the applicable UEI Forms for all 

submissions.

6.02 Standard Application Package

The standard application package, consisting of the standard forms, i.e., SF-424 (R&R), CD511, 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 at www.grants.gov. Paper

applications or applications submitted by other electronic means will not be accepted.

Supplementary material, revisions, substitutions, audio or video tapes, or computer storage

media or devices will not be accepted. While applicants may not submit replacement pages

or missing documents once an application has been submitted, an applicant may submit a

complete, new application including such information by the required deadline.

Applications are limited to one proposal per SBC. The last application received in

Grants.gov will be used for evaluation.

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

announcement 2022-NIST-SBIR-02.

a) Applicants should carefully follow specific Grants.gov instructions to ensure the

attachments will be accepted by the Grants.gov system. A receipt from Grants.gov

indicating an application is received does not provide information about whether
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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 2022-NIST-SBIR-02 announcement, send an 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.

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
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the naming conventions for attachments to Grants.gov applications.

The Grants.gov Online Help site provides vital information on checking the status of

applications. See especially the “Check Application Status” option, found by clicking first on

Applicants, and then by clicking on Grant Applications.

The application must be both received and validated by Grants.gov. The application is

“received” when Grants.gov provides the applicant a confirmation of receipt and an

application tracking number. If an applicant does not see this confirmation and tracking

number, the application has not been received. After the application has been received, it

must still be validated. During this process, it may be “validated” or “rejected with errors.”

To know whether the application was rejected with errors and the reasons why, the

applicant must log in to Grants.gov, select “Applicants” from the top navigation, and select

“Track my application” from the drop-down list. If the status is “rejected with errors,” the

applicant may still seek to correct the errors and resubmit your application before the

deadline. If the applicant does not correct the errors, the application will not be forwarded

to NIST by Grants.gov.

NIST uses the Tracking Numbers assigned by Grants.gov and does not issue Agency Tracking

Numbers.

Applicants should be aware that adequate time must be factored into applicants’

schedules for delivery of their application. Submitters are advised that volume on

Grants.gov may be extremely heavy leading up to the deadline date.

Refer to important information in Section 6.01 Deadline for Applications, to help ensure

your application is received on time.

Any amendments to this NOFO will be announced through Grants.gov. Applicants can sign

up for Grants.gov NOFO amendments or may request copies from Nicole Berry by e-mail

to nicole.berry@nist.gov. 

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

Background information related to the NIST research programs referenced within the

research areas may be found within the NIST website The NIST Research Library, , may also 

provide valuable scientific andtechnical information resources. A listing of NIST-developed

technologies is available on the Federal Laboratory Consortium’s (FLC) website. 
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8.0 SUBMISSION FORMS AND CERTIFICATIONS

8.01 Required Forms and Documents

Applicants should review the following list carefully to ensure the proposal includes all

required forms and documents. Failure to include any of the applicable listed forms and/or

documents will result in rejection of the proposal without consideration. All required

forms and documents must be complete. Please also review Section 4.02 Phase II

Screening Criteria. Guidelines provided below are based on frequently asked questions and

are not intended to be comprehensive – all forms must be fully completed.

A complete application contains the following forms and documents:

1. SF-424 (R&R), Application for Federal Assistance. The SF-424 (R&R) must be signed

by an authorized representative of the applicant organization.

For SF-424 (R&R), items 5, 14, and 19, use the Zip Code +4 format (##### - ####) when

addresses are called for.

For SF-424 (R&R), item 16, the NIST SBIR Program is not covered by that Executive

Order.

For SF-424 (R&R), item 17, the list of certifications and assurances is contained in the

Federal Financial Assistance Certifications and Representations (Certs and Reps) as part

of the SAM.gov entity registration.

For SF-424 (R&R), item 18, if the SF-LLL, Disclosure of Lobbying Activities form (item 6.

below) is applicable, attach it to field 18.

Instructions for filling in the SF-424 (R&R) can be found on Grants.gov, as well as in the

NIST Grants Management Division SF-424 Research and Related (R&R) Application

Package Guidance.

2. Research & Related Budget (Total Fed + Non-Fed). The budget

should reflect anticipated expenses for the full term of the project, considering all

potential cost increases, including cost of living adjustments.

The budget should be detailed in these categories:

A. Senior/Key Person;

B. Other Personnel;

C. Equipment Description;

D. Travel;

E. Participant/Trainee Support Costs (not relevant to this competition);

F. Other Direct Costs;
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G. Direct Costs (automatically generated);

H. Indirect Costs;

I. Total Direct and Indirect Costs (automatically generated);

J. Fee;

K. Total Costs and Fee (automatically generated);

L. Budget Narrative and Justification document (item 8. below) should be

attached to field L. 

Instructions for completing the Research & Related Budget (Total Fed + Non-Fed) form

can be found on Grants.gov, as well as in the NIST Grants Management Division SF-424

Research and Related (R&R) Application Package Guidance.

3. CD-511, Certification Regarding Lobbying. Enter “2022-NIST-SBIR-02” in theAward

Number Field. Enter the title of the application used in field 11 of the SF-424 (R&R),

or an abbreviation of that title, in the Project Name field.

4. Research and Related Other Project Information. Answer the highlighted

questions and use this form to attach the Cover Sheet, Technical Proposal,

Commercialization Plan and Phase I Final Report (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); and Letters of Commitment (item (15) 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.
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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, see Section 3.02. The

Commercialization Plan and Phase I Final Report portions of the Technical Proposal do

not count against the page limit – see Sections 3.02.03 and 3.02.04.

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. If requested, include TABA funds 

(see Section 5.12) in the Budget Narrative and Justification.

The Budget Narrative and Justification must be attached to the Research & Related

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
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FY 2022 NIST Small Business Innovation Research Program Phase II

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charges on the proposed project, description of the role of the position on the

proposed project and the work to be performed.

Fringe benefits should be identified separately from salaries and wages and based

on rates determined by organizational policy. The items included in the fringe

benefit rate (e.g., health insurance, parking, etc.) should not be charged under

another cost category.

(c) Equipment Description – Equipment is defined as an item of property that has an

acquisition cost of $5,000 or more (unless the organization has established lower

levels) and an expected service life of more than one year. The budget justification

should list each piece of equipment, the cost, and a description of how it will be

used and why it is necessary to the successful completion of theproposed

project. Please note that any general use equipment (computers, etc.) charged

directly to the award should be allocated to the award according to expected usage

on the project (i.e. prorated cost). Applicants should provide at least two (2)

quotes, if available, for equipment costing $25,000 or more. If two (2) quotes are

not available, please provide a statement as to why two (2) quotes are not

available.

Any items that do not meet the threshold for equipment can be included under the

Materials and Supplies line item in Section F, Other Direct Costs.

(d) Travel –– For all travel costs, required by the recipient to complete the project,

including attendance at any relevant conferences, the budget justification for

travel should include the following: destination; names or number of people

traveling; dates and/or duration; mode of transportation, lodging and

subsistence rates; and description of how the travel is directly related to the

proposed project. For travel that is yet to be determined, please provide best

estimates based on prior experience. If a destination is not known, an

approximate amount may be used with the assumptions given for the location of

the meeting.

(f) Other Direct Costs – For costs that do not easily fit into the other cost categories,

please list the cost, and the breakdown of the total costs by quantity or unit of cost.

Include the necessity of the cost for the completion of the proposed project. Only

allowable costs can be charged to the award.
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3

4

Each subaward or contractual cost should be treated as a separate item in the

Other Direct Costs category. Describe the services to be provided and the necessity

of the subaward or contract to the successful performance of the proposed project.

Contracts are for obtaining goods and services. Subawardees perform part of the

project scope of work. For each subaward, applicants must provide budget detail

justifying the cost of the work performed on the project.

(h) Indirect Costs – Commonly referred to as Facilities & Administrative Costs, Indirect

Costs are defined as costs incurred by the applicant organization that cannot

otherwise be directly assigned or attributed to a specific project. For more details,

see Section 8.01(9) of this NOFO.

(j) Fee – Profit or fee not to exceed 7% of the sum of the direct and indirect costs must

be listed in this cost category if included in the proposed budget.

8. Indirect Cost Rate Agreement. 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. Applicants without an established rate

who propose a rate exceeding 40% may request negotiation of an indirect cost rate

agreement. 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 forall companies applying to the SBIR 

Program. The SBIR/STTR Policy Directive requires each Phase II applicant to register 

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

its information from the registration in a .pdf document. Attach this document to 

the Research and Related Other Project Information form as described in Section

8.02.

10.Data Management Plan. Consistent with NIST Policy 5700.002, Managing Public

Access to Results of Federally Funded Research, and NIST Order 5701.003, Managing

2

 https://www.nist.gov/system/files/documents/2018/06/19/final_p_5700.pdf

3 https://www.nist.gov/system/files/documents/2019/11/08/final_o_5701_ver_2.pdf
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Public Accessto 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. An applicant is not required to use the template as long 

as the DMP contains the required information.

If an application stands a reasonable chance of being funded and the DMP is

determined during the review process to be insufficient, the program office may reach

out to the applicant to resolve deficiencies in the DMP. If an award is issued prior to

the deficiencies being fully rectified, the award will include a Specific Award Condition

(SAC) stating that no research activities shall be initiated or costs incurred for those

activities under the award until the NIST Grants Officer amends the award to indicate

the SAC has been satisfied.

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

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 scrollingdown 

to the R & R Subaward Budget Attachment(s) Form and selecting “Instructions.”

12. Research & Related Personal Data. Answer the highlighted questions.
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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 ProjectInformation form as described in Section 8.02.

13. Current and Pending Support Form. Any application that includes

investigators, researchers, and key personnel must identify all sources of

current and potential funding, including this proposal. Any current project

support (e.g., Federal, state, local, public or private foundations, etc.) must be

listed on this form. The proposed project and all other projects or activities

requiring a portion of time of the Principal Investigator (PI), co-PI, and key

personnel must be included, even if no salary support is received. The total

award amount for the entire award period covered, including indirect costs,

must be shown as well as the number of person-months per year to be

devoted to the project, regardless of the source of support. Similar

information must be provided for all proposals already submitted or that are

being submitted concurrently to other potential funders.

Applicants must complete the Current and Pending Support Form, using

multiple forms as necessary to account for all activity for each individual

identified in the PI, co-PI and key personnel roles. A separate form should be

used for each identified individual.

Applicants must download the Current and Pending Support Form from the NIST

Grants Management Division Current and Pending Support and reference the

guidance provided as it contains information toassist with accurately completing 

the form.

14. Compliance with SBIR Program Requirements, Applicant Fraud Awareness Training - 

Certificate of Training Completion. Complete the training at:

https://www.nist.gov/file/384881. After completion, print and fill out the last page of

the 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, including TABA providers, 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
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community. Letters of Commitment must also specify any voluntary committed costshare, including the specific services and/or products to be used in the project. Letters

of Commitment must be signed by an individual with authority to legally bind the

organization to its commitment. Letters of commitment do not count against the

specified page limits.

16. Company Commercialization Report (CCR). Attach a PDF copy of the CCR which

was completed in your account at Sbir.gov and submit along with your proposal

(refer to Section 3.01.01 SBA Data Collection Requirement).

8.02 Attachment of Required Application Documents

Items 8.01.1 through 8.01.4 above are part of the standard application package in

Grants.gov and can be completed through the download application process.

Item 8.01.5, the SF-LLL, Disclosure of Lobbying Activities form, is an optional application

form which is part of the standard application package in Grants.gov. If item 8.01.5, the

SF-LLL, Disclosure of Lobbying Activities form is applicable to this proposal, attach it to

field 18 of the SF-424 (R&R), Application for Federal Assistance.

Item 8.01.6, the Cover Sheet, Technical Proposal, Commercialization Plan and Phase I

Final Report, 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; and 8.01.15 Letters of

Commitment, and 8.01.16 Company Commercialization Report (CCR), must be attached 

by clicking on “Add Attachments” found in item 12 (Other Attachments) of the Research

and Related Other Project Information form.

Item 8.01.11, the Subaward Budget Form(s), if applicable to the submission, should be

attached to the Research & Related Subaward Budget (Total Fed + Non-Fed)

Attachment(s) Form in the application package.
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Following these directions will create zip files which permit transmittal of the documents

electronically via Grants.gov.

8.03 Verifying the Submission and Tracking the Application

Applicants should carefully follow specific Grants.gov instructions at www.Grants.gov to

ensure the attachments will be accepted by the Grants.gov system. A receipt from

Grants.gov indicates only that an application was transferred to a system. It does not

provide details concerning whether all attachments (or how many attachments)

transferred successfully. Attachment file names should be kept as short as possible due

to potential file corruption after the addition of extensions by Grants.gov. Applicants will

receive a series of e-mail messages over a period of up to two business days before

learning whether a Federal agency’s electronic system has received its application.

Applicants are strongly advised to use Grants.gov’s “Download Submitted Forms and

Applications” option to check that their application’s required attachments were

contained in their submission.

After submitting the application, check the status of your application here: CHECK

APPLICATION STATUS. If any, or all, of the required attachments are absent from the

submission, follow the attachment directions found above, resubmit the application, and

check again for the presence of the required attachments.

If the directions found at 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 Grants.gov Track My Application page. It can take up to two business

days for an application to fully move through the Grants.gov system to NIST. NIST uses 

the Tracking Numbers assigned by Grants.gov, and does not issue Agency Tracking

Numbers.

8.04 Unique Entity Identifier and System for Award Management (SAM)
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Pursuant to 2 C.F.R. Part 25, applicants and recipients (as the case may be) are required to:

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

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

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

application or plan under consideration by a Federal awarding agency, unless otherwise

excepted from these requirements pursuant to 2 C.F.R. § 25.110. NIST will not make a

Federal award to an applicant until the applicant has complied with all applicable unique

entity identifier and SAM requirements and, if an applicant has not fully complied with the

requirements by the time that NIST is ready to make a Federal award pursuant to this

NOFO, NIST may determine that the applicant is not qualified to receive a Federal award

and use that determination as a basis for making a Federal award to another applicant.

9.0 RESEARCH AREAS

The NIST research programs work at the frontiers of measurement science to ensure that

the U.S. system of measurements is firmly grounded in sound scientific and technical

principles. Today, the NIST laboratories address increasingly complex measurement

challenges, ranging from the very small (nanoscale devices for advanced computing) to the

very large (vehicles and buildings), and from the physical (resilient infrastructure) to the

virtual (cybersecurity and data science). As new technologies develop and evolve, NIST’s

measurement research and services remain central to national defense, homeland security,

trade and innovation.

NIST’s research activities provide industry, academia and other federal agencies with worldclass 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.
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Advanced Manufacturing and Material Measurements

NIST has partnered with the U.S. manufacturing sector for more than a century and has a

proven track record of delivering useful tools and technical assistance to existing

manufacturers and aspiring start-ups. NIST's Advanced Manufacturing and Material

Measurements activities provide industry with precision measurement technologies, tests,

protocols and world-class scientific and engineering knowledge through targeted research

across a broad portfolio, including advanced materials development, advanced sensing,

biomanufacturing and smart manufacturing systems. NIST’s efforts in advanced

manufacturing and material measurements rely on three major mechanisms: partnerships

with manufacturers, development of physical and information standards, and development

of new measurement capabilities.

Cybersecurity and Privacy

NIST’s Cybersecurity and Privacy activities strengthen the security of the digital

environment through a portfolio bridging foundational and applied cybersecurity research,

and through the development of publicly available standards and technical guidance. NIST’s

sustained outreach efforts support the effective application of standards and best practices

enabling the adoption of practical cybersecurity and privacy. Through internal research and

collaboration with the private sector, academia, standards development organizations,

other government agencies and national and international stakeholders, NIST addresses the

nation’s current and future measurement science needs and is responsive to Congressional

mandates and Executive Orders.

Fundamental Measurement, Quantum Science and Measurement Dissemination

At the heart of NIST’s mission is the dissemination of the fundamental units of

measurement (the International System of Units, or SI). NIST determines the definitive

methods for nearly every kind of measurement employed in commerce and research,

provides NIST-traceable calibrations, and disseminates standards and best practices

throughout the nation. Staying ahead of the increasingly challenging demands of U.S.

industry requires that NIST push the frontiers of measurement science by devising new

tools and techniques—especially at the quantum scale where the rules of classical physics

do not apply. Through balanced and coordinated programs, NIST leads the world in

disseminating the fundamental units of measurement. This leadership in metrology

advancement directly impacts NIST’s relevance and leadership in measurement services.

Health and Biological Systems Measurements
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NIST provides a solid foundation of measurement assurance enabling reproducibility of

biomedical research results and confidence in clinical decision-making and ensuring the

efficacy and safety of treatments. As a nonregulatory agency, NIST’s research plays an

essential role in health and bioscience innovations, including in precision medicine,

engineering biology, medical imaging, regenerative medicine and our understanding of the

microbiome and how it affects health. New and improved measurement capabilities

advance our understanding of biology and provide the basis for industries to harness this

information for future medical technologies.

Physical Infrastructure and Resilience

NIST’s Physical Infrastructure and Resilience activities support the safety, interoperability

and resilience of the nation’s infrastructure at the component, structure and system levels.

NIST’s research supports the development of building codes making the built environment

healthier for occupants, more resilient against hazards, and safer for both residents and first

responders. In collaboration with policymakers, building officials and planning groups, NIST

produces guides to help communities integrate resilience into their economic development,

zoning, mitigation and other local planning activities impacting buildings, public utilities and

infrastructure systems.

Exploratory Measurement Science

NIST’s mission requires deep expertise in a broad range of disciplines. To best position NIST

to support U.S. technological interests well into the future, it is essential that NIST maintain

a portfolio of exploratory measurement science research programs. NIST invests in higherrisk and potentially transformative measurement science research to stay on the cutting

edge of technology trends.
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Appendix A. COVER SHEET

(A fillable version of the Cover Sheet is available at http://www.nist.gov/sbir) 

Application to National Institute of Standards and Technology (NIST)

Small Business Innovation Research (SBIR) Program Phase II

2022-NIST-SBIR-02 (June 17, 2022) 

Cover Sheet

Name & Address of

Submitting Firm:

Project

Title

Principal

Investigator

(PI) Name 

PI Title

PI Phone # PI E-mail

NIST may verify the following responses with information provided elsewhere in your application or by independent sources.

THE APPLICANT CERTIFIES THAT:

1. It is a small business concern (SBC) and meets the definition as stated in this Notice of Funding

Opportunity (NOFO).

☐ Yes ☐ No

2. The primary employment of the PI will be with the SBC at the time of award and during the

conduct of research.

☐ Yes ☐ No

3. A minimum of either two-thirdsfor Phase I or one-half for Phase II of the research will be

performed by the SBC as determined by data provided in the Budget Narrative. See NOFO

Section 1.03.01 for details on funding determination.

☐ Yes ☐ No

4. The applicant and/or PI ☐ has/ ☐ has not submitted applications for essentially equivalent work under other Federal program

FFOs and ☐ has / ☐ has not received other Federal awardsfor 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 as stated in this NOFO. ☐ Yes ☐ No

7. The applicant qualifies as a HUBZone-owned SBC and meets the SBA’s definition(see

http://www.sba.gov/hubzone).

☐ Yes ☐ No

8. Year SBC founded: Click here to enter text.

9. Number of Employees: Click here to enter text.

STATEMENTS:

10. The applicant will permit the Federal Government to disclose name, address, and telephone

number of the corporate official of your concern, if your application does not result in an

award, to appropriate local and State-level economic development organizations that may

be interested in contacting you for further information.

☐ Yes ☐ No

11. The applicant authorizes contact information and project title to be provided to the NIST

Manufacturing Extension Partnership (MEP) after awards have been announced. If ‘Yes’ your

contact information will be provided to NIST MEP. Ifso, you will be contacted by your local

MEP to explore business-related supportservices that could benefit the potential of the

project you proposed.

☐ Yes ☐ No
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Signature of Company Official

and typed name, title, address,

telephone number, and date

Signature of Principal Investigator

and typed name, title, address, telephone

number, and date

TECHNICAL ABSTRACT (limit to 200 words):

POTENTIAL COMMERCIAL APPLICATION OF THE RESEARCH: (limit to 100 words)

OTHER INFORMATION:

Information contained in unsuccessful applications will remain the property of the applicant. The Federal Government may, however, retain

copies of all applications. Public release of information in any application submitted will be subject to existing statutory and regulatory

requirements Applicants are discouraged from submitting proprietary information unless the information is deemed essential for proper

evaluation of the application. If proprietary information provided by an applicant in a proposal constitutes trade secret, proprietary

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

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

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

This proposal contains information that shall not be disclosed outside the Federal Government and shall not be duplicated, used, or

disclosed in whole or in part for any purpose other than evaluation of this proposal, unless authorized by law. The Government shall have

the right to duplicate, use, or disclose the data to the extent provided in the resulting award if award is made as a result of the

submission of this proposal. The information subject to these restrictions are contained on all pages of the proposal except for pages

[insert page number or other identification of pages that contain no restricted information.]

(End of Legend); and

(B) The following legend must appear on each page of the proposal that containsinformation the applicant wishes to protect:

Use or disclosure of information contained on this sheet issubject to the restriction on the title page of this proposal.

The use of any other legend is unacceptable to the Government and may constitute grounds for removing the application from further

consideration without assuming any liability for inadvertent disclosure.

This collection of information contains Paperwork Reduction Act (PRA) requirements approved by the Office of Management and Budget

(OMB). Notwithstanding any other provisions of the law, no person is required to respond to, nor shall any person be subject to a penalty for

failure to comply with, a collection of information subject to the requirements of the PRA unless that collection of information displays a

currently valid OMB control number. Public reporting burden for this collection is estimated to be 30 minutes per response, including the time

for reviewing instructions, searching existing data sources, gathering and maintaining the data needed and completing and reviewing the

collection of information. Send comments regarding this burden estimate or any aspect of this collection of information, including suggestions

for reducing this burden, to the National Institute of Standards and Technology, Attn: Jacqueline Gray, 100 Bureau Dr., MS 2200, Gaithersburg, MD

20899.

OMB Control No. 0693-0072

Expiration Date: 1/31/2024
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Appendix B. CERTIFICATIONS

SBIR Funding Agreement Certification (at time of award)

All small businesses that are selected for award of an SBIR funding agreement must complete

this certification at the time of award and any other time set forth in the funding agreement

that is prior to performance of work under this award. This includes checking all of the boxes

and having an authorized officer of the awardee sign and date the certification each time it is

requested.

Please read carefully the following certification statements. The Federal government relies on

the information to determine whether the business is eligible for a Small Business Innovation

Research (SBIR) Program award. A similar certification will be used to ensure continued

compliance with specific program requirements during the life of the funding agreement. The

definitions for the terms used in this certification are set forth in the Small Business Act, SBA

regulations (13 C.F.R. Part 121), the SBIR/STTR Policy Directive and also any statutory and

regulatory provisions referenced in those authorities.

If the funding agreement officer believes that the business may not meet certain eligibility

requirements at the time of award, they are required to file a size protest with the U.S. Small

Business Administration (SBA), who will determine eligibility. At that time, SBA will request

further clarification and supporting documentation in order to assist in the verification of any of

the information provided as part of a protest. If the funding agreement officer believes, after

award, that the business is not meeting certain funding agreement requirements, the agency

may request further clarification and supporting documentation in order to assist in the

verification of any of the information provided.

Even if correct information has been included in other materials submitted to the Federal

government, any action taken with respect to this certification does not affect the

Government’s right to pursue criminal, civil or administrative remedies for incorrect or

incomplete information given in the certification. Each person signing this certification may be

prosecuted if they have provided false information.

The undersigned has reviewed, verified and certifies that (all questions must be responded to

by checking the appropriate box):

The Awardee business concern meets the ownership and control requirements set forth in 13

C.F.R. § 121.702.

☐Yes☐No
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(2) If a corporation, all corporate documents (namely: articles of incorporation and any

amendments, articles of conversion, by-laws and amendments, shareholder meeting minutes

showing officer elections, organizational meeting minutes, all issued stock certificates, stock

ledger, buy-sell agreements, stock transfer agreements, voting agreements, and documents

relating to stock options, including the right to convert non-voting stock or debentures into

voting stock) must include evidence that the corporation meets the ownership and control

requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(3) If a partnership, the partnership agreement evidences that it meets the ownership and

control requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(4) If a limited liability company, the articles of organization and any amendments, and

operating agreement and amendments, evidence that it meets the ownership and

control requirements set forth in 13 C.F.R. § 121.702.

☐Yes ☐No ☐N/A Explain why N/A:

(5) The birth certificates, naturalization papers, or passports show that any individuals it relies

upon to meet the eligibility requirements are U.S. citizens or permanent resident aliens in the

United States.

☐Yes ☐No ☐N/A Explain why N/A:

(6) The Awardee business concern has no more than 500 employees, including the employees of

its affiliates.

☐Yes ☐No

(7) SBA has not issued a size determination currently in effect finding that this business

concern exceeds the 500 employee size standard.

☐Yes ☐No

(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.
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☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

(9) All, essentially equivalent work, or a portion of the work proposed under this project

(check the applicable line):

☐ Has not been submitted for funding to this agency or another Federal agency.

☐ Has been submitted for funding to this agency or another Federal agency but has not been

funded under any other grant, contract, subcontract or other transaction.

☐ A portion has been funded by another grant, contract, or subcontract as described in detail

in the application and approved in writing by the funding agreement officer.

(10) During the performance of award, the Awardee will perform the applicable percentage of

work unless a deviation from this requirement is approved in writing by the funding

agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

(11) During performance of award, the research/research and development will be performed

in the United States unless a deviation is approved in writing by the funding agreement

officer.

☐Yes ☐No ☐Waiver has been granted

(12) During performance of award, the research/research and development will be

performed at the Awardee’s facilities with the Awardee’s employees, except as otherwise

indicated in the SBIR application and approved in the funding agreement.

☐Yes ☐No

(13)The SBIR Awardee has registered itself on SBA’s database as majority-owned by venture

capital operating companies, hedge funds or private equity firms.

☐Yes ☐No ☐N/A Explain why N/A:

(14)The SBIR Awardee is a Covered Small Business Concern (a small business concern that:(a)

was not majority-owned by multiple venture capital operating companies (VCOCs), hedge funds,

or private equity firms on the date on which it submitted an application in response to an SBIR

solicitation; and (b) on the date of the SBIR award, which is made more than 9 months after the

closing date of the solicitation, is majority-owned by multiple venture capital operating

companies, hedge funds, or private equity firms).
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☐Yes ☐No

(15) The SBIR Awardee will notify this agency immediately if all or a portion of the work

authorized and funded under this award is subsequently funded by another Federal agency.

☐Yes ☐No

(16) I understand that the information submitted may be given to Federal, State and

local agencies for determining violations of law and other purposes.

☐Yes ☐No

(17) I am an officer of the business concern authorized to represent it and sign this

certification on its behalf. By signing this certification, I am representing on my own behalf,

and on behalf of the business concern that the information provided in this certification, the

application, and all other information submitted in connection with this application, is true

and correct as of the date of submission. I acknowledge that any intentional or negligent

misrepresentation of the information contained in this certification may result in criminal, civil

or administrative sanctions, including but not limited to: (1) fines, restitution and/or

imprisonment under 18 U.S.C. § 1001; (2) treble damages and civil penalties under the False

Claims Act (31 U.S.C.§ 3729 et seq.); (3) double damages and civil penalties under the Program

Fraud Civil Remedies Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds, (5)

suspension and/or debarment from all Federal procurement and nonprocurement

transactions (FAR Subpart 9.4 or 2 C.F.R. Part 180); and (6) other administrative penalties

including termination of SBIR/STTR awards.

Signature Date / / 

Print Name (First, Middle, Last) 

Title

Business Name
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SBIR Funding Agreement Certification (Life-Cycle Certification)

All SBIR Phase I and Phase II awardees must complete this certification at all times set forth in

the funding agreement (see §8(j) of the SBIR/STTR Policy Directive). This includes checking all of

the boxes (unless otherwise directed) and having an authorized officer of the awardee sign and

date the certification each time it is requested.

Please read carefully the following certification statements. The Federal government relies on

the information to ensure compliance with specific program requirements during the life of the

funding agreement. The definitions for the terms used in this certification are set forth in the

Small Business Act, the SBIR/STTR Policy Directive, and also any statutory and regulatory

provisions referenced in those authorities.

If the funding agreement officer believes that the business is not meeting certain funding

agreement requirements, the agency may request further clarification and supporting

documentation in order to assist in the verification of any of the information provided.

Even if correct information has been included in other materials submitted to the Federal

government, any action taken with respect to this certification does not affect the

Government’s right to pursue criminal, civil, or administrative remedies for incorrect or

incomplete information given in the certification. Each person signing this certification may be

prosecuted if they have provided false information.

The undersigned has reviewed, verified and certifies that (all questions must be responded to by

checking the appropriate box):

(1) The principal investigator spent more than one half of his/her time (based on a 40 hour

workweek) as an employee of the awardee or the awardee has requested and received a

written deviation from this requirement from the funding officer.

☐Yes ☐No ☐Deviation approved in writing by funding agreement officer: %

(2) All, essentially equivalent work, or a portion of the work performed under this project

(check applicable line):

☐Has not been submitted for funding to this agency or another Federal agency.

☐Has been submitted for funding to this agency or another Federal agency but has not

been funded under any other grant, contract, subcontract or othertransaction.

☐A portion has been funded by another grant, contract, or subcontract as described in detail in

the proposal and approved in writing by the funding agreement officer.
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(3) Upon completion of the award the awardee will have performed the applicable

percentage or work, unless a deviation from this requirement is approved in writing by the

funding agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

(4) The work is completed and the small business awardee has performed the applicable

percentage of work, unless a deviation from this requirement is approved in writing by the

funding agreement officer (check the applicable line and fill in if needed):

☐SBIR Phase I: at least two-thirds (66 2/3%) of the research.

☐SBIR Phase II: at least half (50%) of the research.

☐Deviation approved in writing by the funding agreement officer: %

☐N/A because work is not completed.

(5) The research/research and development is performed in the United States unless a

deviation is approved in writing by the funding agreement officer.

☐Yes ☐No ☐Waiver has been granted

(6) The research/research and development is performed at the awardee’s facilities by the

awardee’s employees, except as otherwise indicated in the SBIR application and approved in

the fundingagreement.

☐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

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
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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