FY 2021 Small Business Innovation Research Phase II

The U. S. Department of Commerce (DOC) National Oceanic and Atmospheric Administration (NOAA) invites small businesses to submit research proposals under this NOFO.

The Small Business Innovation Research (SBIR) Program is not a substitute for existing unsolicited proposal mechanisms.



proposals are not accepted under the SBIR program.

Only Fiscal Year (FY) 2021 Phase II applications may be submitted in response to this NOFO.

Phase I applications are not being accepted at this time.

Only FY 2020 NOAA SBIR Phase I awardees in response to NOFO number NOAA-OAR-OARTPO-2020-2006320 with project start dates of July 1, 2020 and project end dates of no later than December 31, 2020 are eligible to submit a Phase II application in response to this NOFO.

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 15U.S.C.

§ 63 8. 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 202 2. (P.L.


Eleven federal agencies set aside a portion of their extramural R&D budget each year to fund research proposals from small science and technology-based firms.

The goals of the SBIR program are to:
stimulate technological innovation; strengthen the role of small business in meeting Federal R&D needs; foster and encourage participation by socially and economically disadvantaged Small Business Concerns and by women-owned SBCs, in technological innovation; and increase private sector commercialization of innovations derived from federal research and development funding.

The NOAA SBIR Program identifies and solicits proposals in subtopics that fall within NOAA’s mission.

NOAA is not obligated to make any awards under this NOFO, and all awards are subject to the availability of funds.

NOAA is not responsible for any costs expended by the applicant in the development of the proposal and prior to award of any finance assistance award.
Agency: Department of Commerce

Office: Department of Commerce

Estimated Funding: $8,000,000

Who's Eligible

Obtain Full Opportunity Text:
Full Announcement

Additional Information of Eligibility:
Each applicant must qualify as a small business concern for research or research and development (R/R&D) purposes, as defined in Section 1.7 of this NOFO, at the time of the award and at any other time set forth in the SBA’s regulations at 13 CFR 121.701- 121.705.

Each awardee, at the time of the award (but not at the time of the application), must submit a certification (See Appendix A) stating that it meets the size, ownership, and other requirements of the SBIR Program and at any other time set forth in SBA’s regulations at 13 CFR 121.701-705 in order to qualify for the award.Eligible applicants include only those small business concerns as described above that were awarded a NOAA SBIR Phase I grant in response to NOFO number NOAA-OAR-OAR-TPO-2020-2006320 that had a performance period start date of July 1, 2020 and an end date no later than December 31, 2020.

No other small business concerns are eligible to submit an application in response to this NOFO.For Phase II, a minimum of one-half of the research and/or analytical effort must be performed by the applicant.

The total cost for all consultant fees, facility leases, usage fees, and other contract/subcontract/subaward or purchase agreements may not exceed one-half of the total award.In addition, the primary employment of the principal investigator (PI) must be with the small business concern (SBC) at the time of the award and during the conduct of the proposed project.

Primary employment means that more than one-half of the principal investigator’s time is spent in the employ of the SBC (as an employee and not a contractor or consultant).

Primary employment with an SBC precludes full-time employment with another organization.

Further, a small business may only replace the principal investigator on an SBIR Phase II award if the NOAA Grants Officer provides prior written approval.The R&D work must be performed by the SBC and its subcontractors in the United States.

“United States” means the fifty states, the territories and possessions of the United States, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau.

Requests for a waiver to the requirement that all work be performed in the United Statesmust be submitted in writing at the time of application submission.

Only rare and unique circumstances will be considered for an exemption.

The NOAA Grants Officer, in consultation with the SBIR Program Manager, must approve each exemption and its terms in writing.If a waiver is requested, it must be submitted in writing, with the application package.

The waiver request must include specific information about where work performed or supplies received from outside the United States are being considered and a detailed rationale explaining steps taken to locate potential United States sources; if any United States sources were located and any potential concerns for use of those sources; and any potential cost differences between United States sources and foreign sources, if applicable.

Waivers are only approved in rare and unique circumstancesVenture Capital Participation: NOAA elects not to 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 from VCOCs, hedge funds, or private equity firms will not be considered for award.NOAA may not enter into, or continue, an existing CRADA with an awardee under this program.Each applicant will be required to provide certain information via www.sbir.gov as well as other information required by the SBIR Policy Directive (see Appendices V-VI), found at https://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2-24- 14.pdf.

Each SBC applying for an award is required to update the appropriate information in SBIR.gov for any of its existing and prior SBIR awards.

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