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FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 U.S. Department of Commerce, NIST FY 2025 NIST Small Business Innovation Research Program Phase I Notice of Funding Opportunity Number: 2025 -NIST -SBIR -01 The NIST Small Business Innovation Research (SBIR) Program Phase I is seeking applications from eligible applicants to explore the technical merit or feasibility of an innovative idea or technology with the aim of developing a viable product or service , and /or a standard, that will be introduced to the commercial marketplace.
Announcement Type: Initial Funding Instrument: Cooperative Agreement. 11. 620: Science, Technology, Business and/or Education Outreach Award Project Period: Project performance period of six (6) month s.
Goals & Objectives: The SBIR Program’s main goals and objectives are to strengthen the role of innovative small business concerns (SBCs) in Federally -funded research or research and development (R/R&D) including research in support of a standard (prestandardization research ).
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 compe tition, productivity, and economic growth.
Funding Amount: In Fiscal Year 2025 (FY25), NIST anticipates funding up to ten (10) awards for up to $100,000 per award with up to an additional $6,500 for Technical and Business Assistance (TABA), see section 5. 12 for TABA Non -federal cost share is not required .
Page 2 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 Eligible Applicants : Applicants must qualify as a Small Business Concern for Research/Research and Development (R/R&D) purposes, as defined in Section 1. 0 5 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 -hal f 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.
Up to ten (10) Cooperative Agreement award(s). Full Applications must be received at Grants. gov no later than 11:59 p.
m. Eastern Time, on December 27 , 2024 . Applications received after this deadline will not be reviewed or considered .
How to Apply: Applications must be submitted using Grants. gov . Paper applications will 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 7. 0 3) .
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.
Final selection decisions will be made by the Selecting Official, the Director of the NIST Technology Partnerships Office, or designee.
Programmatic and Technical Questions: Grants Rules and Regulations On April 22, 2024, the Office of Management and Budget (OMB) published updates to the OMB Guidance for Grants and Agreements located in Title 2 of the Code of Federal Regulations (2 CFR), now called the OMB Guidance for Federal Financial Assistance.
This Page 3 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 updated OMB Guidance for Federal Financial Assistance (2 CFR) is effective for all awards issued by DOC/NIST on October 1st, 2024, or later. Applicants can find these recent revisions to 2 CFR here: https://www. federalregister.
gov/documents/2024/04/22/2024 - 07496/guidance -for -federal -financial -assistance . Page 4 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 1. 0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION ................................
........................... 6 1. 01 Introduction ................................
................................ ................................ ................................
.... 6 1. 02 Three -Phase Program… ................................
................................ ................................ ...................
8 1. 03 SBIR Applicant Eligibility and Limitations ................................ ................................
........................ 9 1. 04 Contact with NIST… ................................
................................ ................................ .......................
16 1. 05 Definitions ................................ ................................
................................ ................................ .....
17 1. 06 Fraud, Waste, and Abuse… ................................ ................................
................................ ........... 25 1.
07 Other Information… ................................ ................................ ................................
...................... 27 2. 0 CERTIFICATIONS AND RESEARCH INVOLVING HUMANS AND ANIMALS… ................................
............. 27 2. 01 Due Diligence Certification… ................................
................................ ................................ .........
27 2. 02 Cyber Security Education and Training Requirements for Phase I and Phase II Awardees… ................................ ................................
................................ ................................ ...........
28 2. 03 Funding Agreement Certification ................................ ................................
................................ .. 29 2.
04 Research Activities Involving Human Subjects or Vertebrate Animals …………………………. . 30 2.
05 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid Federal Tax Assessments and Delinquent Federal Tax Returns ................................ ................................ .........
32 3. 0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS… ................................ ...................
32 3. 01 Phase I Application Requirements ................................ ................................
................................ 32 3. 02 Phase I Application… ................................
................................ ................................ ....................
33 4. 0 METHOD OF SELECTION AND EVALUATION CRITERIA ................................ ................................
........... 39 4. 01 Introduction… ................................
................................ ................................ ...............................
39 4. 02 Phase I Screening Criteria… ................................ ................................
................................ ........... 40 4.
03 Phase I Evaluation Criteria… ................................ ................................ ................................
.......... 41 4. 04 Phase I Award Selections… ................................
................................ ................................ ............
42 5. 0 CONSIDERATIONS ................................ ................................
................................ ................................ ..
44 5. 01 Awards… ................................ ................................
................................ ................................ .........
44 5. 02 Reporting Requirements… ................................ ................................
................................ .............. 45 5.
03 Payment Schedule ................................ ................................ ................................
.......................... 46 5. 04 Innovations, Inventions and Patents… ................................
................................ ............................ 46 5.
05 Cost Sharing… ................................ ................................ ................................
................................ . 55 5.
06 Profit or Fee… ................................ ................................ ................................
................................ . 55 5.
07 Joint Ventures or Limited Partnerships… ................................ ................................ ........................
55 5. 08 Research an Analytical Work… ................................ ................................
................................ ...... 55 5.
09 Awardee Commitments… ................................ ................................ ................................
............... 55Page 5 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 5. 10 Summary Statements ................................
................................ ................................ .....................
56 5. 11 Additional Information… ................................ ................................
................................ ................. 57 5.
12 Technical and Business Assistance (TABA) ................................ ................................ ......................
58 5. 13 Technical Assistance for Application Preparation and Project Conduct ................................ .........
59 6. 0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES ................................ ................................
......... 59 7. 0 SUBMISSION FORMS AND CERTIFICATIONS… ................................
................................ ........................ 59 7.
01 Application Deadline … ................................ ................................ ................................
................... 59 7. 02 Preparation for Submission /Registration………………………………………………………………………………… ..
60 7. 03 Complete Application: Required Forms and Documents … ................................ ............................
61 7. 04 Attachment of Required Application Documents…………………………………………………………………… …68 7. 05 Application Submission ……………………………………………………………………………………………………………………69 7.
06 Verifying the Submission and Tracking the Application ……………………………………………………………………70 7. 07 Unique Identifie r and System for Award Management (SAM)………………………………………………………… 71 8. 0 RESEARCH AREAS ................................
................................ ................................ ................................
.. 71 Advanced Communications, (or Next -gen Communications) ................................ ................................
...... 71 Artificial Intelligence …................................ ................................
................................ ........................... 72 Biotechnology ................................
................................ ................................ ................................
........ 72 Cybersecurity and Privacy … ................................ ................................
................................ ................... 72 Energy Technologies ................................
................................ ................................ ..............................
72 Manufacturing … ................................ ................................ ................................
................................ ..... 73 Quantum Information Science … ................................
................................ ................................ ............
73 Resilience … ................................ ................................ ................................
................................ ............ 73 Standards … ................................
................................ ................................ ................................
............ 74 Appendix A COVER SHEET ................................ ................................
................................ ............................ 75 Appendix B.
Certifications… ................................ ................................ ................................
........................ 77 SBIR Funding Agreement Certification (at time of award) ................................ ................................
......... 77 SBIR Funding Agreement Certification (Life -Cycle Certification) ................................ ................................
81 Appendix C. Required Disclosures of Foreign Affiliations or Relationships to Foreign Countries .................
84Page 6 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 > PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION The National Institute of Standards and Technology (NIST) invites small businesses to submit Phase I research applications under this Notice of Funding Opportunity (NOFO).
Science and technology -based firms with strong research capabilities in any of the areas listed in Section 8. 0 of this NOFO are encouraged to participate. Applications must sufficiently identify and clearly address one of the following options upon which to submit its technical proposal; (a) a specific NIST technical program area that falls within one of the research areas described in Section 8.
0 (see Section 3. 02. 02(1)(a) and (b)) ; or (b) a NIST -patented technology available for licensing (see Section 3.
02. 02(1)(c)) . Only FY 2025 Phase I applications may be submitted in response to this NOFO.
Phase II applications are not being accepted at this time. NIST publishes a Phase II NOFO approximately 30 days prior to the end of the previous year’s Phase I period of performance to request Phase II applications.
That NOFO provides instructions for Phase I awardees to prepare a Phase II application and the closing date for submission of applications; only the previous year’s Phase I awardees are eligible to submit a Phase II application. The Small Business Innovation Research (SBIR) program was originally established in 1982 by the Small Business Innovation Development Act (P. L.
97 -219), codified at 15 U.S.C. § 638. It was then expanded and extended by the Small Business Research and Development (R&D) Enhancement Act of 1992 (P.
L. 102 -564), and received subsequent reauthorization and extensions, the most recent of which extends the SBIR program thr ough 2025 (P. L.
117 -183). Eleven Federal agencies implement SBIR by setting aside a portion of their external research and development budget each year to fund research applications from 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 tech nological innovation; and (4) increase private sector commercialization of innovations derived from Federal R/R&D, thereby increasing competition, productivity, and economic growth.
Page 7 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 The United States’ approach of leveraging the contributions of private sector innovators and government -supported research and development has fueled competitiveness and technological progress to the benefit of the U.S. and global economy.
A critical component of the innovation ecosystem of the U.S. is the standardization system. The decentralized, bottom up , sector -based approach to standardization led by the private sector develops market -driven, voluntary, consensus -based standards.
The U.S. Government ( USG) supports this system by participating in the standards development process, alongside other sectoral representatives from industry, academia, and civil society. A critical component of the standards system is prestandardization research and developmen t, including the directing of research to meet or anticipate specific standardization goals.
The NIST FY 2025 SBIR Program Phase I identifies and solicits applications in topics that fall within NIST’s mission, as described in Section 8. 0 of this NOFO, and allow collaboration between NIST scientists and the SBIR awardees whenever possible.
Collaboration on prestandardization research and development ali gned with NIST technical programs may include measurement and test methods, performance metrics, validated datasets and tools, frameworks, or other research deliverables to align with the needs of a standard or conformity assessment When reviewing applications, NIST gives high priority to SBC’s that participate in or conduct energy efficiency or renewable energy system R&D prospects, consistent with Executive Order (EO) 13329 , “Encouraging Innovation in Manufacturing,” § 1203(e) of the Energy Independence and Security Act of 2007 (P.
L. 110 -140), codified at 15 U.S.C. § 638(z), and the Small Business Administration (SBA) Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Program Policy Directive , § 9.
For any SBIR award that requires a license to use a NIST -owned invention covered by a patent or patent application, the SBIR awardee must contact NIST’s Technology Partnerships Office for a license to use the NIST -owned invention.
Such awardees will be granted a non -exclusive research license and will be given the opportunity to negotiate a non -exclusive or an exclusive commercialization license to the NIST -owned invention, in accordance with the Federal patent licensing regulations, set forth in 37 C. F. R.
Part 404, and to the extent that such NIST -owned invention is available f or licensing and has not otherwise been exclusively licensed to another party.
It is the goal of this program to position the SBIR awardee to use and build upon such licensed NIST -owned invention with the awardee’s own innovation to develop a commercially viable product based on the NIST -owned FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 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 programs through cooperative agreements is 15 U.S.C. § 272(b)(4). NIST’s programmatic authorities for the research areas listed in this NOFO are found at 15 U.S.C.
§§ 272(b) and (c). The nature of NIST’s “substantial involvement” will generally be collaboration with the awardees in carrying out the project’s approved scope of work. Administrative requirements for grants and cooperative agreements, set forth at 2 C.
F. R. Part 200, will apply to NIST 1.
02. 01 Phase I – Feasibility Research The purpose of Phase I is for NIST to determine the technical feasibility of the research, including prestandardization research and development described in Section 1. 01, preliminary commercialization merit of the proposed effort, and the quality of the awardee’s performance.
The application should concentrate on describing research that will significantly contribute to proving the feasibility of the proposed Phase II research and commercialization potential, prerequisites to receiving further support in Phase II. Each Phase I award is for up to $100,000 and up to a six (6) month period of performance. Up to an additional $6,500 may be requested for Technical and Business Assistance (TABA); see section 5.
12 for more information about TABA. NIST’ s inclusion of TABA funds in the award will be subject to the availability of NIST funding. 1.
02. 02 Phase II – Research and Development All Phase I awardees under this NOFO will be given the opportunity to submit a Phase II application following completion of Phase I. Instructions for Phase II application preparation and submission requirements will be published in a NOFO approximately 30 days prior to the end of the FY2025 Phase I performance period.
In Phase II, work from Phase I that exhibits potential for commercial application is further developed. Phase II is the R&D or prototype development phase. To apply for a Phase II award, each Phase I awardee will be required to submit a comprehensive application outlining the proposed research and a detailed plan to commercialize the final product.
Each NIST Phase II award is for up to $400,000 and Page 9 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 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 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 may be for products, production, services, R/R&D, or a 1. 02.
04 Commercialization Readiness Pilot Program 15 U.S.C. § 638(gg) authorizes agencies to establish a Commercial Readiness Pilot Program (CRPP). Under a CRPP, follow -on funding (up to an additional $100,000) may be provided to selected awardees after competition of Phase II.
The funding would be used to support advancement toward Phase III and to increase the likelihood of com mercialization. NIST is under no obligation to make any CRPP 1. 03 SBIR Applicant Eligibility and Limitation 1.
03. 01 Applicant Qualifications Each applicant must qualify as an SBC for R/R&D purposes, as defined in Section 1. 05 of this NOFO, at the time of the award.
In addition, the primary employment of the principal investigator must be with the small business at the time of the award and during the conduct of the proposed research. Primary employment means that more than one -half of the principal’s investigator’s time is spent working with small business. Primary employment with a small business precludes full -time employment with another organization.
Occasionally, deviations from this requirement may occur, which must b e approved in writing by the NIST Grants Officer after consultation with the SBIR Program Manager. Further, a small business may only replace the principal investigator on an SBIR Phase I award if the NIST Grants Officer provides prior written approval.
Pe rsonnel 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.
Page 10 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 NIST has elected to not use the authority that would allow venture capital operating companies (VCOCs), hedge funds or private equity firms to participate in the SBIR Program. Therefore, applications in which work is performed by VCOCs will not be considered for award.
For Phase I, a minimum of two -thirds of the research and/or analytical effort must be performed by the awardee. The total cost for all consultant fees, facility leases, usage fees, and other subcontract/subaward or purchase agreements may not exceed one -third of the total award.
For Phase II, a minimum of one -half o f the research and/or analytical effort and usage fees, and other subcontract/subaward or purchase agreements may not exceed one -half of the total Each applicant will be required to provide certain information via www. sbir. gov , as well as information required by the SBIR/STTR Policy Directive (see Appendices I- III ).
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 Applicants may not participate in the review of applications. The statement of work of an SBIR award made under this NOFO cannot overlap with the statement of work of an existing NIST Cooperative Research and Development Agreement (CRADA) with the awardee.
NIST will consider the issue of any potential overlap on a case -by -case basis. 1. 03.
02 Company Registry Requirements SBA maintains a Company Registry to track ownership and affiliation requirements for all companies applying to the SBIR Program. Each Phase I applicant must register in the Company Registry prior to submitting an application. The applicant must save its information from the registration in a .
pdf document and append this document to the SF -424 (R&R) form as described in Section 7. 03. 9 of this NOFO.
All applicants are required to report and/or update their registration information in the SBA Company Registry prior to each SBIR application submission or if any information changes prior to an award. 1. 03.
03 Performance Benchmark Ratings Requirements Performance Benchmark Requirements Companies with multiple SBIR/STTR awards must meet minimum performance benchmark requirements to be eligible to apply for a new Phase I or Direct -to -Phase II award.
The performance benchmark requirements address the extent to which an awardee progresses a project from Phase I to Phase II (i.e., Phase I to Phase II Page 11 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 Transition Rate Benchmark) and the extent to which an awardee progresses a project from Phase II towards commercialization (i.e., Commercialization Rate Benchmark).
The purpose of these benchmarks is to ensure that Phase I applicants that have won multiple prior SBIR/STTR awards are progressing towards commercialization. The benchmarks were published in the Federal Register for public comment and agreed upon by all 11 SBIR agencies.
The Phase I to Phase II Transition Rate Benchmark was published at 78 FR 30951 in May 2013, and the Commercialization Rate Benchmark was published at 78 FR 1 59410 in September 2013. The SBIR and STTR Extension Act of 2022 (Public Law 117 -183) amended the application of these benchmarks for more experienced firms.
This NOFO reflects Phase I to Phase II Transition Rate Benchmark The Phase I to Phase II Transition Rate Benchmark only applies when a company has received 21 or more Phase I awards during the past five fiscal years, excluding the most recently completed fiscal year. It requires the company to average a ratio of Phase II to Phase I awards of at least 0.
25, meaning the company must average one Phase II for every four Phase I awards received during the measurement period.
To calculate the Phase I to Phase II Transition Rate, SBA divides the total number of SBIR and STTR Phase II awards a company received from all agencies during the past five fiscal years by the total number of SBIR and STTR Phase I awards the company received from all agencies during the past five fiscal years, excluding the most recentl y completed year.
The Phase II period begins one year later because Phase II awards rarely occur during the same year as the Phase I. Below is an example of the Phase I to Phase II Transition Rate Benchmark assessment for three hypothetical companies conducted in Fiscal Year 2023. > Company A21 70.
33 Pass, ratio is equal or > Company B21 30. 14 Fail, ratio is less than > Company C20 3N/A N/A –benchmark > Phase I Awards.
Page 12 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 Commercialization Rate Benchmark The Commercialization Rate Benchmark only applies when a company has received 16 or more Phase II awards during the past ten fiscal years, excluding the two most recently completed fiscal years.
It requires the company to average at least $100,000 of sales and/or investments per Phase II award received during the period; or have received a number of patents equal to or greater than 15% of the number of Phase II awards received during the period. The Commercialization Rate Benchmark calculation is based on data submitted through the SBIR. gov Company Commercialization Report.
SBA utilizes reported total sales or revenues —including government designated Phase III awards, total dollars invested, or the number of patents, that r esulted at least i n part, from work performed under Phase II awards received during the 10 -year period to calculate the Commercialization Rate Benchmark.
A complete guide with additional details on what should and should not be reported is available here: Guide_for_completing_commercialization_Report_SBIR_Gov_09_15_20. pdf .
To calculate the Commercialization Rate Benchmark, SBA sums the countable commercialization resulting from the specific Phase II awards received during the 10 -year period and divides that number by the total number of Phase II awards received during the 10 -year period.
For determining the Commercialization Rate Benchmark based on patents, SBA divides the number of patents reported from the specific Phase II awards received during the 10 -year period by the total number of Phase II awards received during the period. Below is an example of a Commercialization Rate Benchmark assessment for four hypothetical companies conducted in Fiscal Year 2023.
FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 > Company A16 $3,200,000 1$200,000 . 06 Pass. > Company B20 $1,900,000 3$95,000 .
15 Pass. Patent rate is > Company C30 $2,500,000 3$83,333 . 10 Fail.
Both the > Company D15 $3,000,000 0$200,000 . 0 N/A –benchmark Commercialization Reporting SBIR and STTR awardees are required to update and maintain their organization’s Company Commercialization Report via SBIR. gov. The reporting is accessible when an authorized user (user is SAM.
gov verified) accesses its SBIR. gov profile under the “My Dashboard” section. SBIR and STTR Phase II awardees are required to update its commercialization record when applying for new Phase II awards, at the conclusion of a Phase II award, and then voluntarily update the information in the database annually thereafter for a minimum period of 5 y ears (15 U.S.C.
§ 638 (k)). Increased Performance Standards for More Experienced Firms The SBIR and STTR Extension Act of 2022 (Pub. Law 117 -183) established increased performance standards for more experienced firms.
Effective as of April 1, 2023 , the statute modifies the Phase I to Phase II Transition Rate Benchmark Page 14 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 and the Commercialization Rate Benchmark based on a higher threshold of Increased Performance Standard for the Phase I to Phase II Transition Rate The Increased Performance Standard for the Phase I to Phase II Transition Rate Benchmark only applies when a company has received or receives 51 or more Phase I awards during the past five fiscal years, excluding the most recently completed fiscal year.
It requires the company to average a ratio of Phase II to Phase I awards of at least 0. 50, meaning they must average one Phase II for every two Phase I awards received during the measurement period.
Increased Performance Standard for the Commercialization Rate Benchmark The Increased Performance Standard for the Commercialization Rate Benchmark establishes two additional tiers, with each tier requiring an elevated performance requirement. Tier 1 applies when a company has received or receives 51 or more Phase II awards during the past ten fiscal years, excluding the two most recently completed fiscal years.
It requires the company to average at least $250,000 in aggregate sales and investments per Phase II award received during the period. Tier 2 applies when a company has received or receives 101 or more Phase II awards during the past ten fiscal years, excluding the two most recently completed fiscal years.
It requires the company to average at least $450,000 in aggregate sales and investments per Phase II award received during the period. Please note, patents cannot be used to pass the Increased Performance Standards for the Commercialization Rate Benchmark.
Increased Performance Standards Documentation Requirement The SBIR and STTR Extension Act of 2022 requires companies subject to the increased performance standard for the Commercialization Rate Benchmark to submit to SBA supporting documentation to support reported covered sales . The act defines covered sales as follows (15 U.S.C.
§ 638 (qq)(3)(B)(iii)(II)): In this clause, the term "covered sale" means a sale by a small business concern - that the small business concern claims to be attributable to an SBIR or STTR for which no amount of the payment was or is made using Federal funds; Page 15 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 which the small business concern uses to meet an applicable increased minimum performance standard under clause (i) [i.e., Increased Performance Standard for the Commercialization Rate Benchmark]; and that was or is received during the 5 fiscal years immediately preceding the fiscal year in which the small business concern uses the sale to meet the increased minimum performance standard.
Please note that government awards received as a prime or subcontractor that satisfy the definition of Phase III and result, at least in -part, from Phase II award(s) received during the measurement period are not considered covered sales because the payment was or is made using Federal funds.
Note: For the Fiscal Year 2024 assessment, SBA will provide guidance directly to firms triggering the increased performance standards with instructions for providing the covered sales documentation.
SBA anticipates company commercialization reporting system modifications to allow for uploading required documentation will be complete prior to the Fiscal Year 2025 Consequences of Failure to Meet the Benchmarks SBA will identify, on June 1 of each year, the companies that fail to meet the Phase I to Phase II Transition Benchmark, the Commercialization Rate Benchmark, or the Increased Performance Benchmarks for More Experienced Firms.
Companies that fail to meet either the Phase I to Phase II Transition Benchmark or the Commercialization Rate Benchmark will not be eligible to submit a proposal for a Phase I (or Direct -to -Phase II) award for a period of one year, beginning from the determination date (June 1).
Companies that fail to meet either of the benchmarks under the Increased Performance Standards for more Experienced Firms may not receive more than 20 total Phase I awards and Direct -to -Phase II awards from each Federal agency during the 1 -year period beginning on the date of determination (June 1). Section 3 of the SBIR/STTR Policy Directive defines a Federal Agency as follows: (o) Federal Agency.
An executive agency as defined in 5 U.S.C. 105, and a military department as defined in 5 U.S.C. 102 (Department of the Army, Department of the Navy, Department of the Air Force), except that it does not include any agency within the Intelligence Community as defined in Executive Order 12333, § 3.
4(f), or its successor orders. Notification Page 16 of 87 FY 2025 NIST SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I > NOTICE OF FUNDING OPPORTUNITY No. 2025 -NIST -SBIR -01 SBA will notify companies failing either of the benchmarks and the relevant officials at the participating agencies.
The information on the companies will not be available to the public, but a confidential list of companies failing the benchmarks are required to be submitted to Congress. To provide companies with
Based on current listing details, eligibility includes: U. S. ‑based for‑profit small businesses. Applicants should confirm final requirements in the official notice before submission.
Current published award information indicates Phase I up to ~$150,000; Phase II up to ~$400,000 Always verify allowable costs, matching requirements, and funding caps directly in the sponsor documentation.
The current target date is rolling deadlines or periodic funding windows. Build your timeline backwards from this date to cover registrations, approvals, attachments, and final submission checks.
Federal grant success rates typically range from 10-30%, varying by agency and program. Build a strong proposal with clear objectives, measurable outcomes, and a well-justified budget to improve your chances.
Requirements vary by sponsor, but typically include a project narrative, budget justification, organizational capability statement, and key personnel CVs. Check the official notice for the complete list of required attachments.
Yes — AI tools like Granted can help research funders, draft proposal sections, and check compliance. However, always review and customize AI-generated content to reflect your organization's unique strengths and the specific requirements of the solicitation.
Review timelines vary by funder. Federal agencies typically take 3-6 months from submission to award notification. Foundation grants may be faster, often 1-3 months. Check the program's timeline in the official solicitation for specific dates.
Many federal programs offer multi-year funding or allow competitive renewals. Check the official solicitation for continuation and renewal policies. Non-competing continuation applications are common for multi-year awards.
This NOFO provides an opportunity to all FY 2018 NIST SBIR Phase I awardees to submit a Phase II application following completion of Phase I. This NOFO provides instructions for FY 2019 NIST SBIR Phase II application preparation and submission requirements. In Phase II, work from Phase I that exhibits potential for commercial application is further developed. Phase II is the R&D or prototype development phase. To apply for a Phase II award, each Phase I awardee will be required to submit a comprehensive application outlining the proposed research and a detailed plan to commercialize the final product. Each NIST Phase II award is for up to $400,000 and up to a 24-month period of performance. One year after completing the Phase II R&D activity, the awardee shall be required to report on its commercialization activities. Up to an additional $6,500 may be requested for Technical and Business Assistance (TABA); see Section 5.11 for more information about TABA. Funding Opportunity Number: 2019-NIST-SBIR-02. Assistance Listing: 11.620. Funding Instrument: CA. Category: ST. Award Amount: Up to $400K per award.
FY 2026 NIST Small Business Innovation Research (SBIR) Program Phase I is an annual federal funding opportunity from the National Institute of Standards and Technology offering up to $100,000 to U.S. small businesses with 500 or fewer employees. The program supports science and technology-based firms conducting research and development in measurement science, standards, and related NIST priority areas. Applicants must have strong research capabilities aligned with topics listed in the annual Notice of Funding Opportunity (NOFO) on Grants.gov. Phase II awards are available only to businesses that successfully complete Phase I projects. The application deadline is April 1, 2026.