Environment Natural Resources Science and Technology and other Research and Development
Others (see text field entitled “Additional Information on Eligibility” for clarification)
Additional Information on 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. 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 (PI’s) time is spent in the employ of the SBC. Primary employment with a SBC precludes full-time employment with another organization. Further, a small business may only replace the principal investigator on an SBIR Phase I award if the NOAA Grants Officer provides prior written approval. 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 NOAA Grants Officer must approve each exemption and its terms in writing. 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/sub-award or purchase agreements may not exceed one-third of the total award. For Phase II, a minimum of one-half of the research and/or analytical effort must be performed by the awardee. The total cost for all consultant fees, facility leases, usage fees, and other subcontract/sub-award or purchase agreements may not exceed one-half of the total award. Venture 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 in which work would be performed by VCOCs will not be considered for award. Applications not responding to topics listed herein are not eligible for SBIR awards. Only proposals that are directly responsive to the topics as described in Section 9 will be considered. Applicants (and any affiliated individuals) may not participate in the selection of any topic. Additionally, they may not participate in the review of proposals. All associated entities to applicants to this NOFO (including Guest Researchers, Cooperative Research and Development Agreement (CRADA) partners and others working with NOAA) may only submit a proposal if they: • Had no role in developing or reviewing the topic • Have not been the recipient of any information on the topic not available in the NOFO or by other public means; and • Have not received any assistance from DOC in preparing the proposal for this specific NOFO (including any 'informal' reviews) prior to submission. 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 Small Business Concern (SBC) applying for an award is required to update the appropriate information in SBIR.gov for any of its existing and prior SBIR awards.
Department of Commerce
Oct 15, 2020
Jan 13, 2021
Last Updated Date:
Oct 15, 2020
Estimated Total Program Funding:
Expected Number of Awards:
The Department of Commerce (DOC) National Oceanic and Atmospheric Administration (NOAA) invites small businesses to submit research proposals under this NOFO. Firms with the capability to conduct research and development (R&D) in any of the topic areas listed in Section 9 of this announcement and to commercialize the results of that R&D are encouraged to participate. The Small Business Innovation Research (SBIR) Program is not a substitute for existing unsolicited proposal mechanisms. Unsolicited proposals are not accepted under the SBIR program.Only FY 2021 Phase I applications may be submitted in response to this NOFO. Phase II applications are not being accepted at this time. NOAA will publish 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 will provide 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 15U.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 set aside a portion of their extramural R&D budget each year to fund research proposals from small science and technology-based firms. The objectives of the SBIR program are to: stimulate technological innovation in the private sector; strengthen the role of small business in meeting Federal R&D needs; foster and encourage participation by businesses owned by socially and economically disadvantaged persons and women-owned small business concerns 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 topics 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.
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