FY 2021 Small Business Innovation Research Phase II | NOAA OAR OAR TPO 2021 2006739

Opportunity Information: Apply for NOAA OAR OAR TPO 2021 2006739

The FY 2021 Small Business Innovation Research (SBIR) Phase II opportunity from the Department of Commerce, National Oceanic and Atmospheric Administration (NOAA), is a discretionary grant program designed to fund continued research and development (R and D) by eligible small businesses whose earlier Phase I projects showed sufficient technical promise. This notice of funding opportunity (NOFO) is strictly for Phase II proposals and is not a general open solicitation for new ideas or unsolicited proposals. NOAA emphasizes that SBIR is not a substitute for its other funding channels, and unsolicited proposals are not accepted under the SBIR program.

Eligibility is narrow and tied to a specific prior award. Only small business concerns that previously received a NOAA SBIR Phase I award under NOFO number NOAA-OAR-OARTPO-2020-2006320 are allowed to apply, and only if that Phase I project had a start date of July 1, 2020 and an end date no later than December 31, 2020. No other firms, including companies that did not receive that exact Phase I award or had different performance dates, are eligible to submit. Applicants must also meet the SBA definition of an SBIR-eligible small business concern for R and D purposes under 13 CFR 121.701 through 121.705. While certification is required at the time of award (not necessarily at the time of application), awardees must formally certify that they meet SBIR size, ownership, and related requirements, and must remain compliant at any additional points required by SBA rules.

The program’s intent aligns with the broader federal SBIR mission established by Congress: to stimulate technological innovation, strengthen the role of small businesses in meeting federal R and D needs, encourage participation by socially and economically disadvantaged and women-owned small businesses, and increase commercialization of innovations emerging from federally funded research. Within that national framework, NOAA’s SBIR topics are expected to align with NOAA’s mission areas, which generally include environmental science, natural resources, and technology development supporting NOAA’s operational and research needs. NOAA also makes clear that it is not obligated to fund any proposals under this NOFO, that awards depend on the availability of funds, and that applicants bear the cost of proposal preparation and any pre-award expenses.

Key performance and staffing rules apply to Phase II work. At least one-half of the research and/or analytical effort must be performed by the applicant small business itself, reinforcing that Phase II is meant to build internal capability rather than operate primarily as a pass-through to outside entities. Relatedly, the total combined cost of consultant fees, facility leases and usage fees, and other contract/subcontract/subaward or purchase agreements cannot exceed one-half of the total award amount. The principal investigator (PI) must have primary employment with the small business at the time of award and throughout the project period, meaning more than half of the PI’s time must be spent as an employee of the small business (not merely as a contractor or consultant). This requirement also effectively prevents the PI from holding full-time employment elsewhere during the SBIR project. If the small business needs to replace the PI during the Phase II award, it can only do so with prior written approval from the NOAA Grants Officer.

There are also geographic performance requirements aimed at keeping federally supported R and D domestic. The R and D must be performed in the United States by the small business and its subcontractors, with “United States” defined broadly to include the 50 states, US territories and possessions, the District of Columbia, the Commonwealth of Puerto Rico, and the Freely Associated States (the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau). If an applicant believes some work or sourcing must occur outside these areas, it must request a waiver in writing at the time of application submission. NOAA states that waivers are rare and only considered under unique circumstances. A waiver request must spell out exactly what would occur outside the United States and why, describe efforts taken to find US sources, identify any US sources that were found and why they were not suitable, and address cost differences or other concerns. Any exemption must be approved in writing by the NOAA Grants Officer in consultation with the SBIR Program Manager.

NOAA also sets limits on certain types of ownership participation. For this NOFO, NOAA chooses not to use the authority that would allow participation by venture capital operating companies (VCOCs), hedge funds, or private equity firms. As a result, applications from firms fitting those categories are not considered for award under this solicitation. In addition, NOAA states it may not enter into, or continue, an existing Cooperative Research and Development Agreement (CRADA) with an awardee under this program, which is an important planning constraint for companies that might otherwise expect to pair SBIR funding with a CRADA-based collaboration.

From an administrative standpoint, applicants have reporting and data-entry obligations tied to the government-wide SBIR system. Each applicant must provide certain required information through SBIR.gov and comply with applicable requirements in the SBIR Policy Directive. The NOFO also notes that applicants are expected to update SBIR.gov information for their existing and prior SBIR awards, reflecting an expectation of accurate, current award history and company data across the federal SBIR portfolio.

The basic opportunity details are: Funding Opportunity Title is “FY 2021 Small Business Innovation Research Phase II,” Funding Opportunity Number is NOAA OAR OAR TPO 2021 2006739, the instrument is a grant, the activity category is environment/natural resources/science and technology and other R and D, and the CFDA number is 11.021. The original closing date listed is February 22, 2021. The maximum award amount (award ceiling) is $500,000. The notice was created December 22, 2020. Overall, this NOFO is best understood as a targeted Phase II continuation mechanism for a specific cohort of NOAA Phase I awardees, with clear constraints around applicant eligibility, domestic performance, PI commitment, subcontracting levels, and required SBIR program compliance steps.

• The Department of Commerce in the environment, natural resources, science and technology and other research and development sector is offering a public funding opportunity titled "FY 2021 Small Business Innovation Research Phase II" and is now available to receive applicants.
• Interested and eligible applicants and submit their applications by referencing the CFDA number(s): 11.021.
• This funding opportunity was created on 2020-12-22.
• Applicants must submit their applications by 2021-02-22. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
• Each selected applicant is eligible to receive up to $500,000.00 in funding.
• Eligible applicants include: Small businesses.

Apply for NOAA OAR OAR TPO 2021 2006739

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