Final FY22_Phase I NOFO 11_12_2021-FALD (1).pdf

SBIR

Small Business

Innovation Research

Notice of Funding Opportunity (NOFO)

FY2022

Funding Opportunity Number: NOAA‐OAR‐OAR‐TPO‐2022‐

2007117

Assistance Listings or Catalog of Federal Domestic Assistance

(CFDA) Number:

11.021 NOAA Small Business

Innovation Research (SBIR) Program

Opening Date: November 15, 2021

Letter of Intent Due Date

Closing Date:

December 15, 2021

February 18, 2022

U.S. DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration http://www.techpartnerships.noaa.gov

Table of Contents

US DEPARTMENT OF COMMERCE 5

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION 5

1.1 Introduction 5

1.2 Three‐Phase Program 6

Phase I – Feasibility Research 6

Phase II – Research and Development 6

Phase III – Commercialization 7

1.3 Manufacturing‐Related Priority 7

1.4 Energy Efficiency and Renewable Energy Priority 7

1.5 SBIR Applicant Eligibility and Limitation 7

Applicant Qualification 7

Submitting Letters of Intent 8

Company Registry Requirements 9

Performance Benchmark Ratings Requirements 9

1.6 Contact with NOAA 9

1.7 Fraud, Waste and Abuse 10

1.8 Other Information 11

Personal and Business Information 11

2.0 CERTIFICATIONS 11

2.1 Funding Agreement Certifications 11

2.2 Research Activities Involving Human Subjects, Human Tissue, Data or Recordings Involving Human Subjects 12

Protection of Human Subjects 12

IRB Education Documentation 14

2.3 Research Project Involving Live Vertebrate Animals 14

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS 15

3.1 Phase I Application Requirements 15

3.2 Letter of Intent 16

3.3 Phase I Application 17

SBIR Cover Page and Project Abstract 18

Technical Content 18

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA 21

4.1 Evaluation and Selection Process 21

4.2 Phase I Screening Criteria 21

4.3 Phase I Evaluation Criteria 22

4.4 Phase I Award Selections 23

4.5 Federal Awarding Agency Review of Risk Posed By Applicants 23

4.6 Release of Application Review Information 24

5.0 CONSIDERATIONS 24

5.1 Awards 24

5.2 Reporting Requirements 25

5.3 Payment Schedule 25

5.4 Innovations, Inventions and Patents 25

5.4.01 Proprietary Information 26

5.4.02 Rights in Data Developed Under SBIR Funding Agreements 26

5.4.03 NOAA‐Owned Inventions 30

5.4.04 Patent Rights 31

5.4.05 Invention Reporting 31

5.5 Cost Sharing 31

5.6 Profit or Fee 31

5.7 Joint Venture or Limited Partnerships 31

5.8 Research and Analytical Work 32

5.9 Awardee Commitments 32

5.10 Summary Statements 32

5.11 Additional Information 33

5.12 Technical Assistance for Application Preparation and Project Conduct 33

5.13 NOAA Grant Management Office Statements 34

6.0 SUBMISSION OF APPLICATIONS 36

6.1 Deadline for Applications 36

6.2 Letter of Intent Submission 36

6.3 Application Submission 36

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES 38

8.0 SUBMISSION FORMS AND CERTIFICATIONS 38

8.1 Required Application Forms and Documents 38

8.2 Verifying the Submission and Tracking the application 40

8.3 Unique Entity Identifier and System for Award Management (SAM) 41

9.0 RESEARCH TOPICS 41

Appendix A. Definitions 48

Appendix B. SBIR Funding Agreement Certification (at time of award) 50

Appendix C. SBIR Funding Agreement Certification (Life‐Cycle Certification) 54

Appendix D. Cover Page 57

Appendix E. SBIR Phase I Application Checklist 59

Appendix F. Performance Benchmark Ratings Requirements 60

US DEPARTMENT OF COMMERCE

NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION

FY 2022 SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

NOTICE OF FUNDING OPPORTUNITY (NOFO)

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION

1.1 Introduction

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 9.0 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 2022 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 15 U.S.C. § 638. It was then expanded and extended by the Small Business Research and Development 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).

Each Federal agency with an extramural budget for research/research and Development (R/R&D) in excess of $100,000,000 must participate in the SBIR program and spend (obligate) a minimum percentage of their extramural R/R&D budgets (obligations) of not less than 3.2% of such budget in fiscal year 2017 and for the percentage required by statute for each fiscal year after for awards to small business concerns (SBCs) for R/R&D under the SBIR program. 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 SBCs in technological innovation; and increase private sector commercialization of innovations derived from federal R&D funding.

Fostering diversity by encouraging the participation of individuals from nationally underrepresented groups in the scientific research workforce is longstanding interest of Congress, and a key component of NOAA’s commitment to diversity, equity, inclusion, and accessibility (e.g., Public Law 114‐329, American Innovation and Competitiveness Act of 2017, and https://tpo‐dev.oar.woc.noaa.gov/abouttpo/dei‐statement/). Increasing participation by socially and economically disadvantaged and women‐owned small businesses is critical to the success of the SBIR program.

Letters of Intent (LOI) due December 15, 2021 (Please refer to Section 1.5, page 8)

Three‐Phase Program

The SBIR statute (15 U.S.C. § 638) requires the DOC to establish a three‐phase SBIR program by reserving a percentage of its extramural R&D budget to be awarded to SBCs R&D. SBIR policy is provided by the Small Business Administration (SBA) through the SBIR Policy Directive found at http://www.sbir.gov. The NOAA specific program authority will vary depending on the nature of the proposed project. A list of the most prevalent assistance authorities are 15 U.S.C. 1540; 16 U.S.C. 661 et seq.; 16 U.S.C. 1456c; 15 U.S.C. 2901 et.

seq.; 33 U.S.C. 883a‐d; 33 USC 893a; 33 U.S.C. 1442; 49 U.S.C. 44720(b).

The NOAA SBIR program identifies and solicits proposals on topics that fall within NOAA’s mission. NOAA has the unilateral right to select SBIR research topics and awardees in both Phase I and Phase II and award several or no grants under a given topic. 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. Only proposals that are directly responsive to the topics as described in Section 9.0 will be considered.

Phase I – Feasibility Research

The purpose of Phase I is to determine the scientific, technical, and commercial merit and feasibility of the proposed research and the quality of performance of the SBC receiving an award. The Phase I proposal should focus on research that will significantly contribute to evaluating the feasibility of the project, a prerequisite to further support in Phase II. Applicants are strongly encouraged to consider, and discuss in their proposal, the commercial application and private sector potential for the proposed effort.

NOAA Phase I awards provide up to $150,000 with up to a six (6) month period of performance. While the number of awards are dependent on NOAA’s budget, in a typical fiscal year, NOAA anticipates providing up to 25 SBIR Phase I awards. To accommodate the Phase II award process, no‐cost extensions are not permitted in Phase I projects that intend to advance to Phase II. If an awardee requests a no‐cost extension for the Phase I project, the awardee will be ineligible to submit an application for Phase II.

Phase II – Research and Development

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.

NOAA Phase II awards provide up to $500,000 with up to a twenty‐four (24) month period of performance. For planning purposes, NOAA’s goal is to make Phase II awards around July of fiscal year 2023.

All Phase I awardees that receive grant funding under this NOFO and remain in compliance with the Terms and Conditions of the Phase I award 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 separate NOFO to be released approximately 30 days prior to the end of the Phase I performance period.

Phase III – Commercialization

Under Phase III, the small business entity obtains funding from either the private sector, a non‐SBIR Government source, or both, to commercialize the SBIR research or technology. SBIR Phase III includes 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.

1.2 Manufacturing‐Related Priority

Executive Order (EO) 13329 “Encouraging Innovation in Manufacturing” requires SBIR agencies, to the extent permitted by law and in a manner consistent with the mission of that department or agency, to give high priority within the SBIR programs to manufacturing‐related R&D. “Manufacturing‐related” is defined as “relating to manufacturing processes, equipment and systems; or manufacturing workforce skills and protection.”

The NOAA SBIR Program solicits manufacturing‐related projects through many of the topics described in this NOFO. Further, NOAA encourages innovation in manufacturing by giving high priority, where feasible, to projects that can help the manufacturing sector through technological innovation in a manner consistent with NOAA’s mission. This prioritization will not interfere with the core project selection criteria: scientific and technical merit and the potential for commercial success.

1.3 Energy Efficiency and Renewable Energy Priority

The Energy Independence and Security Act of 2007 (P.L. 110‐140) directs SBIR Programs to give high priority to SBCs that participate in or conduct energy efficiency or renewable energy system R&D projects.

The NOAA SBIR Program solicits energy efficiency or renewable energy system R&D projects through many of the topics described in this NOFO. Further, NOAA encourages innovation in energy efficiency or renewable energy system R&D by giving high priority, where feasible, to projects that conduct energy efficiency or renewable energy system R&D through technological innovation in a manner consistent with NOAA’s mission.

This prioritization will not interfere with the core project selection criteria: scientific and technical merit and the potential for commercial success.

1.4 SBIR Applicant Eligibility and Limitation

Applicant Qualification

Each applicant must qualify as a SBC for R/R&D purposes, as defined in Section 1.5 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 B) 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 SBC at the time of the award and during the conduct of the proposed project. Primary employment means that at least 51% 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, an SBC may only replace the principal investigator on a 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.

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/SBA_SBIR_STTR_POLICY_DIRECTIVE_OCT_2020_v2.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.

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. Applications in which work would be performed by VCOCs will not be considered for award.

Submitting Letters of Intent

A single Letter of Intent (LOI) is required for each application and must be received by the deadline indicated on the cover of this NOFO. Only those proposals for which an LOI has been received by December 15, 2021 are eligible to submit an application under this NOFO. LOIs should be submitted via the FY22 NOAA SBIR Letter of Intent Submission Form, which can be found at https://techpartnerships.noaa.gov/SBIR/FY22‐Letter‐of‐Intent.

Confirmation of submission will be received by email to the submitter's email address entered in the form. In response to submission of the LOI, the NOAA SBIR program will provide feedback indicating if an application is likely to be nonresponsive to the NOFO.

Applicants are limited to submitting a total of 10 different LOIs under this NOFO, and each LOI must be uniquely responsive to the NOFO. Duplicate LOIs (those containing essentially similar abstracts) will not be accepted to this NOFO; only the last submission will be accepted. If more than 10 LOIs are received from one applicant under this NOFO, only the last 10 LOIs received will be accepted. Please refer to Section 3.2 for additional LOI content guidance.

Company Registry Requirements

SBA maintains and manages a Company Registry at http://www.sbir.gov/registration 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 form as described at the end of Section 8.1 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.

Performance Benchmark Ratings Requirements

All Phase I applicants with a current SBA assessment of their Phase I to Phase II Transition Rate must, at the time of the application under this FY22 NOFO, have satisfied the requirements of that Performance Benchmark to be eligible for a new Phase I award. NOAA will automatically disqualify proposals from firms that are currently ineligible for Phase I awards as a result of failing to meet the benchmark rate at the last assessment. For additional information, see Appendix F.

1.5 Contact with NOAA

For general programmatic, electronic submission, or grants questions, please contact the appropriate individual:

Subject Area Point of Contact

Programmatic Questions – SBIR Program Office

Dr. Genevieve Lind

Email: genevieve.lind@noaa.gov or noaa.sbir@noaa.gov

Subject Line: NOAA‐OAR‐OAR‐TPO‐2022‐2007117

Electronic Application Submission through Grants.gov at https://www.grants.gov

Grants.gov

Phone: 1‐800‐518‐4726 Email: support@grants.gov

Grant Administrative Rules and Regulations

Yuping Burr Email: yuping.burr@noaa.gov

1.6 Fraud, Waste and Abuse

Prevention of Fraud, Waste, and Abuse is very important to the NOAA SBIR program. All applicants must complete the DOC OIG agency mandatory training and submit the certification of completion along with their application. The Fraud, Waste, and Abuse training can be found at:

https://www.techpartnerships.noaa.gov/Portals/10/Documents/DOC%20SBIR%20Mandatory%20Training%20Sli des%20and%20Certification%20Form.pdf?ver=2017‐10‐11‐153838‐617&timestamp=1514477649177.

Certification can be found at the end of the training module. All applicants must print, sign, and submit certification of completion as an attachment to their application (See Section 8.1).

As defined in the SBIR 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 Program include, but are not limited to:

i. misrepresentations or material, factual omissions to obtain, or otherwise receive funding under, an SBIR award;

ii. misrepresentations of the use of funds expended, work done, results achieved, or compliance with program requirements under an SBIR award;

iii. misuse or conversion of SBIR award funds, including any use of award funds while not in full compliance with SBIR Program requirements, or failure to pay taxes due on misused or converted SBIR award funds;

iv. fabrication, falsification, or plagiarism in applying for, carrying out, or reporting results from an SBIR 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 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, available at https://www.oig.doc.gov/Pages/Hotline.aspx or send an e‐mail to:

hotline@oig.doc.gov.

Note: Because the Internet is not secure, it is possible, though unlikely, that e‐mail complaints may be read by persons other than your intended source. If you are concerned about this, you may choose to call or mail.

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 or via email. 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. Web submissions and e‐mails containing such information will be blocked by our system administrator and will not be processed by our Complaint Department. Should you desire to provide this information, please contact the Hotline by telephone at the numbers listed below.

Phone:

Mail:

Fax:

Toll Free 800‐424‐5197 In the DC metro area 202‐482‐2495 TTD Toll Free 855‐860‐6950 TTD in the DC metro area 202‐482‐5923

Office of Inspector General Complaint Intake Unit, Mail Stop 7886 1401 Constitution Avenue, N.W. Washington, DC 20230

855‐569‐9235

1.7 Other Information

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 DOC in conducting reviews and evaluations of its financial assistance programs.

For this purpose, applicant information and data may be accessed, reviewed and evaluated by DOC 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 the DOC 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 DOC financial assistance award.

In addition, DOC regulations implementing the Freedom of Information Act (FOIA), 5 U.S.C. Sec. 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 NOFO 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 DOC will protect from disclosure confidential business information contained in financial assistance applications and other documentation provided by applicants to the extent permitted by law.

2.0 CERTIFICATIONS

2.1 Funding Agreement Certifications

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 (At Time of Award)” and the “SBIR Funding Agreement Certification (Life‐Cycle Certification)”, which are provided in Appendix B and Appendix C of this NOFO, respectively. The Life‐Cycle Certification must be submitted at the time of final payment or disbursement to verify compliance with specific SBIR/STTR program requirements.

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

Protection of Human Subjects

Any application that includes participation in research involving human subjects, human tissue/cells, data or recordings involving human subjects must meet the requirements of the Common Rule for the Protection of Human Subjects (“Common Rule”), codified for the DOC at 15 C.F.R. Part 27. In addition, any such proposal that includes research on these topics must be in compliance with any statutory requirements imposed upon the Department of Health and Human Services (DHHS) and other Federal agencies regarding these topics, all regulatory 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 these topics.

NOAA reserves the right to make an independent determination of whether an applicant’s research involves human subjects. If NOAA determines that your research project involves human subjects, you will be required to provide additional information for review and approval. If an award is issued, no research activities involving human subjects shall be initiated or costs incurred under the award until the NOAA Grants Officer issues written approval. Retroactive approvals are not permitted.

NOAA will accept applications that include research activities involving human subjects that have been or will be approved by an Institutional Review Board (IRB) currently registered with the Office for Human Research Protections (OHRP) within the DHHS and that will be performed by entities possessing a currently valid Federal wide Assurance (FWA) on file from OHRP that is appropriately linked to the cognizant IRB for the protocol.

Information regarding how to apply for a FWA and register an IRB with OHRP can be found at http://www.hhs.gov/ohrp/assurances/index.html.

Generally, NOAA does not fund research involving human subjects in foreign countries. NOAA will consider, however, the use of preexisting tissue, cells, or data from a foreign source on a limited basis if all of the following criteria are satisfied:

1. the scientific source is considered unique;

2. an equivalent source is unavailable within the United States;

3. an alternative approach is not scientifically of equivalent merit; and

4. the specific use qualifies for an exemption under the Common Rule.

Any award issued by NOAA is required to adhere to all Presidential policies, statutes, guidelines, and regulations regarding the use of human embryonic stem cells. The DOC follows the National Institutes of Health (NIH) Guidelines by supporting and conducting research using only human embryonic stem cell lines that have been approved by NIH in accordance with the NIH Guidelines. Detailed information regarding NIH Guidelines for stem cells is located on the NIH Stem Cell Information website: http://stemcells.nih.gov. The DOC will not support or conduct any type of research that the NIH Guidelines prohibit NIH from funding. The DOC will review research using human embryonic stem cell lines that it supports and conducts in accordance with the Common Rule and NOAA implementing procedures, as appropriate.

Any request to support or conduct research using human embryonic stem cell lines not currently approved by the NIH, will require that the owner, deriver, or licensee of the human embryonic stem cell line apply for and receive approval of the registration of the cell line through the established NIH application procedures:

http://hescregapp.od.nih.gov/NIH_Form_2890_Login.htm. Due to the timing, uncertainty associated with establishing an embryonic stem cell line in the NIH registry, the use of existing human embryonic stem cell lines in the NIH Embryonic Stem Cell Registry may be preferred by applicants or current award recipients. The NIH Embryonic Stem Cell Registry is located at: http://grants.nih.gov/stem_cells/registry/current.htm.

An applicant or current award recipient proposing to use a registered embryonic stem cell line will be required to document an executed agreement for access to the cell line with the provider of the cell line and acceptance of any established restrictions for use of the cell line, as may be noted in the NIH Embryonic Stem Cell Registry.

If the proposal includes exempt and/or non‐exempt research activities involving human subjects the following information is required in the application:

1. The name(s) of the institution(s) where the research will be conducted;

2. The name(s) and institution(s) of the cognizant IRB(s), and the IRB registration number(s);

3. The FWA number of the applicant linked to the cognizant IRB(s);

4. The FWAs associated with all organizations engaged in the planned research activity linked to the cognizant IRB;

5. If the IRB review(s) is pending, the estimated start date for research involving human subjects;

6. The IRB approval date (if currently approved for exempt or non‐exempt research);

7. If any FWAs or IRB registrations are being applied for, that should be clearly stated.

Additional documentation may be requested, as warranted, during review of the proposal, but may include the following for research activities involving human subjects that are planned in the first year of the award:

1. A signed (by the study principal investigator) copy of each applicable final IRB‐approved protocol;

2. A signed and dated approval letter from the cognizant IRB(s) that includes the name of the institution housing each applicable IRB, provides the start and end dates for the approval of the research activities, and any IRB‐required interim reporting or continuing review requirements;

3. A copy of any IRB‐required application information, such as documentation of approval of special clearances (i.e. biohazard, HIPAA, etc.) conflict‐of‐interest letters, or special training requirements;

4. A brief description of what portions of the IRB submitted protocol are specifically included in the proposal submitted to NOAA, if the protocol includes tasks not applicable to the proposal, or if the protocol is supported by multiple funding sources. For protocols with multiple funding sources, NOAA will not approve the study without a non‐duplication‐of‐funding letter indicating that no other federal funds will be used to support the tasks proposed under the proposed research or ongoing project;

5. If a new protocol will only be submitted to an IRB if an award from NOAA issued, a draft of the proposed protocol may be requested;

6. Any additional clarifying documentation that NOAA may request during review of proposals to perform the NOAA administrative review of research involving human subjects. (See 15 C.F.C. §

27.112 (Review by Institution))

IRB Education Documentation

A signed and dated letter is required from the Organizational Official who is authorized to enter into commitments on behalf of the organization documenting that appropriate IRB education has been received by the Organizational Official, the IRB Coordinator or such person that coordinates the IRB documents and materials if such a person exists, the IRB Chairperson, all IRB members, and all key personnel associated with the application. The NOAA requirement of documentation of education is consistent with NIH notice OD‐00‐039 (June 5, 2000). Although NOAA will not endorse an educational curriculum, there are several curricula that are available to organizations and investigators that may be found at: http://grants.nih.gov/grants/guide/notice‐ files/NOT‐OD‐00‐039.html

2.3 Research Project Involving Live Vertebrate Animals

Any proposal that includes research involving live vertebrate animals must be in compliance with the “U.S.

Government Principles for Utilization and Care of Vertebrate Animals Used in Testing, Research, and Training” (Principles). The Principles and guidance on these Principles are available in the National Research Council's “Guide for the Care and Use of Laboratory Animals,'' which can be obtained from National Academy Press, 500 5th Street, N.W., Department 285, Washington, DC 20055, or as a free PDF online at http://www.nap.edu/catalog/12910/guide‐for‐thecare‐and‐use‐of‐laboratory‐ animals‐eighth. In addition, such proposals must meet the requirements of the Animal Welfare Act (AWA) (7 U.S.C. § 2131 et seq.), the AWA 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). These regulations do not apply to proposed research using preexisting images of animals or to research plans that do not include live animals that are being cared for, euthanized, or used by the project participants to accomplish research goals, teaching, or testing. These regulations also do not apply to obtaining animal materials from commercial processors of animal products or to animal cell lines or tissues from tissue banks.

NOAA reserves the right to make an independent determination of whether your research involves live vertebrate animals. If NOAA determines that your research project involves live vertebrate animals, you will be required to provide additional information for review and approval. If an award is issued, no research activities involving live vertebrate animal subjects shall be initiated or costs incurred under the award until the NOAA Grants Officer issues written approval.

If the proposal includes research activities involving live vertebrate animals, the following information is required in the proposal:

1. The name(s) of the institution(s) where the animal research will be conducted;

2. The assurance type and number, as applicable, for the cognizant Institutional Animal Care and Use

Committee (IACUC) where the research activity is located. [For example: Animal Welfare Assurance from the Office of Laboratory Animal Welfare (OLAW) should be indicated by the OLAW assurance number, i.e. A‐ 1234; a USDA Animal Welfare Act certification should be indicated by the certification number i.e. 12‐R‐3456; and an Association for the Assessment and Accreditation of Laboratory Animal Care (AAALAC) should be indicated by AAALAC.];

3. The IACUC approval date (if currently approved);

4. If the review by the cognizant IACUC is pending, the estimated start date for research involving vertebrate animals;

5. If any assurances or IACUCs need to be obtained or established, that should be clearly stated.

Additional documentation will be requested, as warranted, during review of the proposal, but may include the following for research activities involving live vertebrate animals that are planned in the first year of the award:

1. A signed (by the Principal Investigator) copy of the IACUC approved Animal Study Proposal (ASP);

2. Documentation of the IACUC approval indicating the approval and expiration dates of the ASP; and

3. If applicable, a non‐duplication‐of‐funding letter if the ASP is funded from several sources;

4. If a new ASP will only be submitted to an IACUC if an award from NOAA issued, a draft of the proposed ASP may be requested; and

5. Any additional clarifying documentation that NOAA may request during review of proposals to perform the NOAA administrative review of research involving live vertebrate animals.

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Phase I Application Requirements

All applicants are required to submit a Letter of Intent (LOI) by the date indicated on the cover of the NOFO prior to submission of a full proposal. See section 3.2 for instructions on submitting the LOI.

For Phase I full application submission, applicants should use the SBIR forms in Appendix D, E, and F to ensure that eligibility requirements are met and that all required information is submitted, respectively.

A proposal 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 in the topic area addressed by the proposal. Each proposal should be checked carefully by the applicant to ensure inclusion of all essential material needed for a complete evaluation. The proposal will be peer reviewed as a scientific paper. All units of measurement should be in the metric system.

The applicant 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 proposal must not only be responsive to the specific NOAA program interests described in Section 9.0 of this NOFO but also serve as the basis for technological innovation leading to new commercial products, processes, or services that benefit the public.

Applications principally for the commercialization of proven concepts or for market research shall not be submitted for Phase I funding, since such efforts are not considered to be R/R&D and are the responsibility of the private sector.

The proposal should be direct, concise, and informative. Promotional and other material not related to the project should be omitted.

Only FY 2022 Phase I applications may be submitted in response to this NOFO. Phase II applications are not being accepted at this time.

All applicants are required to provide information for SBA’s database (www.sbir.gov). The following are examples of the data to be entered by applicants into the database:

Any business concern or subsidiary established for the commercial application of a product or service for which an SBIR award is made;

Revenue from the sale of new products or services resulting from the research conducted under each Phase II award;

Additional investment from any source, other than Phase I or Phase II awards, to further the research and development conducted under each Phase II award;

Updated information in the SBA database on sbir.gov for any prior award received by the SBC. The SBC may apportion sales or additional investment information relating to more than one Phase II award among those awards, if it notes the apportionment for each award; and

All awardees are required to update appropriate information on the award in the database upon completion of the last program objective under the funding agreement and are requested to voluntarily update the information in the database annually thereafter for a minimum period of five years.

3.2 Letter of Intent

A letter of intent (LOI) is required and must be submitted by the SBC by the date indicated on the cover of the NOFO. Only proposals for which the applicant has submitted an LOI to NOAA by the due date are eligible to submit an application under this NOFO.

Preparing a Letter of Intent (LOI)

When submitting an LOI, all submitters must provide the following:

● Small Business Information

○ Name, address

○ Authorized Representative

○ DUNS number, if available

○ Principal Investigator

● Proposed NOAA Topic Area: See Section 9.0 for topic areas

● Proposed Project Title: A descriptive title of the planned R&D. The Proposed Project Title should be descriptive of the proposed research and not include redundant phrases such as “Phase I” or “Letter of Intent”. Note: The full Phase I grant application must have the same title.

● Technical abstract that describes the technology and application in sufficient detail to evaluate responsiveness to NOAA topics and priorities.

○ The abstract should not exceed 500 words, and it must provide sufficient technical depth to allow NOAA to assign scientific reviewers for your application. Please note that your abstract should not contain any proprietary information.

● Brief description of the commercial potential and application for the proposed technology.

The technical abstract will be used to assign scientific experts as reviewers of the full application. As such, the innovation described in the LOI technical abstract and the full application should be substantially the same.

Significant differences in the proposed innovation from that described in the technical abstract may result in NOAA’s removal of the application from consideration during initial review.

Restrictions A small business may submit a maximum of 10 LOIs for each NOFO. If more than 10 LOIs are submitted, the 10 last LOIs will be used. Duplicate LOIs (those containing essentially similar abstracts) will not be accepted to this NOFO; only the last submission will be accepted.

LOI Submission All LOIs should be submitted electronically through the form found at FY22 NOAA SBIR Letter of Intent Submission Form and also available at https://techpartnerships.noaa.gov/SBIR/FY22‐Letter‐of‐Intent. Enter the Small Business name and address, Name of Authorized Representative, and Proposed Topic Area (See Section

9.0 for topics), Project Title, Technical Abstract, and Description of Commercial Potential. The project title should be descriptive of the proposed research and not include redundant phrases such as “Phase I” or “Letter of Intent”. The information entered here will be used to assign the LOI to topic areas. (Note: The full Phase I grant application must have the same title.) Confirmation of submission will be received by email to the submitter's email address entered in the form.

LOI Feedback In response to submission of the LOI, the NOAA SBIR program will provide feedback indicating if an application is likely to be nonresponsive to the NOFO. If an applicant receives feedback that their submission appears to be nonresponsive, it does not preclude that applicant from submitting a full Phase I grant proposal, though responsiveness is a key component of the full application review process and score. Full applications will be encouraged only for LOIs deemed most relevant to this announcement's priorities and relevant to NOAA's mission. NOAA anticipates providing the feedback via email within 4 weeks of the LOI deadline. LOIs must be submitted by eligible small business applicants only.

3.3 Phase I Application

A complete application must include a Project Narrative (described below) and all other forms and documents listed in Section 8.1 of this NOFO.

An applicant may submit an LOI and application to multiple topics or more than one LOI and application on one topic under this NOFO. When the proposed innovation applies to more than one topic, the applicant must submit its application under the topic that is most relevant to the applicant's technical concept. Applications on multiple topics or multiple applications to the same topic must be clearly differentiated. A small business may submit a maximum of 10 LOIs for each NOFO. If more than 10 LOIs are submitted, the 10 last LOIs will be used.

The Project Narrative portion of the application requires the following:

a. SBIR Phase I Cover Page pages 1 and 2 (Appendix D);

b. Project Abstract page 3; and

c. Technical Content pages 4 through 25.

The Project Narrative, including the Cover Page, Project Abstract, and Technical Content, is limited to 25 pages, including references cited. The only exception to the 25‐page limit is for SBCs addressing the requirement related to prior SBIR Phase II Awards as listed in Section 3.3 (14). Additional pages beyond the 25‐page limit will not be considered in the evaluation process. 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.

A list of all forms and documents needed to complete the application is provided in Section 8.1 of this NOFO.

The additional required forms and documents listed in Section 8.1 are not included in the 25‐page count.

See Section 6.0 for instructions on how to submit applications in response to this NOFO.

SBIR Cover Page and Project Abstract

SBIR Cover Page A completed SBIR Cover Page is a required part of the Project Narrative. The Cover Page is counted as pages 1 and 2 of the Project Narrative (Appendix D).

Project Abstract Applicants will be required to include a one‐page project summary of the proposed R/R&D including at least the following:

(1) Name and complete address of SBC.

(2) Name and title of Principal Investigator

(3) Participating Agency name, Program Solicitation number, and Program Solicitation topic.

(4) Title of project.

(5) Technical abstract limited to two hundred words.

(6) Summary of the anticipated results and implications of the approach and the potential commercial applications of the research.

Each project abstract will be provided to the SBA and should not contain proprietary information. Awardee’s abstract and summary of potential commercial applications will be published on the NOAA SBIR website and SBIR.gov. The Project Abstract is counted as page 3 of the Project Narrative.

Technical Content

Beginning on page 4 of the application, the following sections are required: (All headings must be included. If a particular section does not apply, please include the heading, followed by N/A).

1. Identification and Significance of the Problem or Opportunity. Provide a clear statement of the specific research problem or opportunity addressed, its innovativeness, commercial potential, and explanation of importance. Explain how it applies to a specific topic in Section 9 and fulfills the NOAA mission.

2. Phase I Technical Objectives. State the specific objectives of the Phase I research and development effort, including the technical questions it will try to answer, to determine the feasibility of the proposed approach.

3. Phase I Work Plan. Include a detailed description of the Phase I feasibility 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 previous significant R/R&D efforts that are directly related to the application, including any prior research conducted by the PI or the proposing SBC. Describe how the

R/R&D relates to the proposed effort, and include 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 I, 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.

6. Relationship with Future R/R&D. Discuss the significance of the Phase I effort in providing a foundation for the Phase II R/R&D effort. Also state the anticipated results of the proposed approach if Phases I and II of the project are successful.

7. Facilities and Equipment. A detailed description, availability, and location of instrumentation and physical facilities proposed for Phase I should be provided.

8. Consultants, Contracts, and Sub‐awards. 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. It is important that these individuals be clearly identified as consultants, sub‐awardees, or subcontractors. This should match and be reflected in the budget tables and budget narrative sections.

For Phase I, a minimum of two‐thirds 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 but is not a requirement of the program. 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.

No individual or entity may serve as consultant, contractor, or sub‐recipient if they (a) had any role in suggesting, developing, or reviewing the NOAA topic; or (b) have been the recipient of any NOAA information on the topic not available to the public.

The following definitions apply to this NOFO:

Consultant ‐ A person outside the firm, named in the application as contributing to the research, must provide a signed statement confirming his/her availability, role in the project, and agreed consulting rate for participation in the project.

Contract ‐ Similarly, where a contract is involved in the research, the contractor institution must furnish a letter signed by an appropriate official describing the programmatic arrangements and confirming its agreed participation in the research, with its proposed budget for this participation.

Sub‐awards ‐ As the funding instrument used in this program is financial assistance, an awardee might pass through funds to another organization to carry out part of the Federally‐supported project. A “sub‐award” relationship fits the circumstances more appropriately than a contract to carry out part of the Federally‐supported project.