NOAA-OAR-TPO-2024-2008239 NOFO Report.pdf

FY24 NOAA SBIR Phase II

TABLE OF CONTENTS

I. Funding Opportunity Description 3

A. Program Objective 3 B. Program Priorities 3 C. Program Authority 4

II. Award Information 4 A. Funding Availability 4 B. Project/Award Period 4 C. Type of Funding Instrument 4

III. Eligibility Information 4 A. Eligible Applicants 4 B. Cost Sharing or Matching Requirement 5 C. Other Criteria that Affect Eligibility 5

IV. Application and Submission Information 6 A. Address to Request Application Package 6 B. Content and Form of Application 6 C. Unique Entity Identifier and System for Award Management (SAM) 6 D. Submission Dates and Times 6 E. Intergovernmental Review 6 F. Funding Restrictions 6 G. Other Submission Requirements 8

V. Application Review Information 8 A. Evaluation Criteria 8 B. Review and Selection Process 8 C. Selection Factors 9 D. Anticipated Announcement and Award Dates 9

VI. Award Administration Information 9 A. Award Notices 9 B. Administrative and National Policy Requirements 9 C. Reporting 10

VII. Agency Contacts 10 VIII. Other Information 10

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NOTICE OF FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

Federal Agency Name(s): Oceanic and Atmospheric Research (OAR), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce

Funding Opportunity Title: FY24 NOAA SBIR Phase II

Announcement Type: Initial

Funding Opportunity Number: NOAA-OAR-TPO-2024-2008239

Federal Assistance Listings Number: 11.021, NOAA SBIR Program

Dates: Open 1/31/2024

Closes: 04/24/2024

Funding Opportunity Description: The 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. Unsolicited proposals are not accepted under the SBIR program.

Only FY 2023 NOAA SBIR Phase I awardees under NOFO number NOAA-OAR-TPO-2023- 2007691 with project start dates of September 1, 2023, and project end dates of no later than February 29, 2024, 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 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 2025. (P.L. 117-183).

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FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

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 and is incorporated here by reference.

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; and 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 described in NOAA-OAR-TPO-2023- 2007691 will be considered.

B. Program Priorities

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.

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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.

C. Program Authority

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 2025. (P.L. 117-183).

II. Award Information

A. Funding Availability

NOAA Phase II awards provide up to $650,000 with up to a twenty-four (24) month period of performance.

B. Project/Award Period

August 1, 2024 through July 31, 31, 2026 (24- month period of performance)

C. Type of Funding Instrument

Grant

III. Eligibility Information

A. Eligible Applicants

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SBIR Applicant Eligibility and Limitation (Section 1.5 of full announcement)

Each applicant must qualify as an SBC for R/R&D purposes, as defined in this section of the 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.

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 PI’s time is spent in the employ of the SBC.

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

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.

B. Cost Sharing or Matching Requirement

There is no cost share or match requirement.

C. Other Criteria that Affect Eligibility

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 II 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:

Performance benchmark rating requirements are only applicable to Phase I; however, information is provided here for future reference. 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 FY24 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.

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IV. Application and Submission Information

A. Address to Request Application Package

Only electronic applications submitted via Grants.gov will be accepted. Submission of paper application is not permitted.

B. Content and Form of Application

Please review Section 3.0 of the full announcement.

C. Unique Entity Identifier and System for Award Management (SAM)

Applicants must have a valid unique entity identifier number and must maintain a current registration in the Federal government’s primary registrant database, the System for Award Management: (https://sam.gov/SAM/), at the time of application submission. After registering, it may take several days or longer from the initial log-on before a new Grants.gov system user can submit an application. Only authorized individuals(s) will be able to submit an application, and the system may need time to process a submitted application. Applicants should save and print the proof of submission they receive from Grants.gov. If problems occur while using Grants.gov, the applicant is advised to: (a) print any error message received; and (b) call Grants.gov directly for immediate assistance. If calling from within the United States or from a U.S. territory, please call 800-518-4726. If calling from a place other than the United States or a U.S. territory, please call 606-545- 5035. Assistance from the Grants.gov Help Desk will be available around the clock every day, with the exception of Federal holidays. Help Desk assistance will resume at 7:00 a.m.

Eastern Time the day after Federal holidays. For assistance using Grants.gov, you may also email: support@grants.gov.

D. Submission Dates and Times

Full proposal packages should be submitted via Grants.gov on April 24, 2024 by 11:59 p.m. EST

E. Intergovernmental Review

N/A

F. Funding Restrictions

Indirect Cost Rate Agreement (Section 8.1)

If indirect costs are included in the proposed budget, provide a copy of the approved negotiated agreement if this rate was negotiated with a cognizant Federal agency in

Notice of Federal Funding Page 6 of 11 accordance with the provisions and cost principles mandated by 2 CFR Part 200 for use on grants and cooperative agreements. Negotiated Indirect Cost Rate Agreements for use on contracts in accordance with the provision and cost principles of the Federal Acquisition Regulations will not be accepted. If a rate has not been established, provide a statement to this effect and a computation for the cost in the budget narrative. Applicants without an established rate may propose estimated indirect costs at a rate not to exceed 40 percent of the total direct costs and will not be required to provide further justification if selected for an award. Applicants proposing a rate exceeding 40 percent of the total direct costs may choose to negotiate a rate with the Department of Commerce. The negotiation and approval of a rate is subject to the procedures of the NOAA and Department of Commerce Standard Terms and Conditions. Applicants wishing to negotiate a rate should reach out to Raishan Adams, Grants Officer at: Raishan.Adams@noaa.gov. Any profit or fee requested is not considered a direct cost for the purpose of the indirect cost base calculation.

When calculating the profit/fee at up to 7%, please refer to Section 5.6:

Indirect Cost Rate Agreement. If indirect costs are included in the proposed budget, provide a copy of the approved negotiated agreement if this rate was negotiated with a cognizant Federal agency in accordance with the provisions and cost principles mandated by 2 CFR Part 200 for use on grants and cooperative agreements. Negotiated Indirect Cost Rate Agreements for use on contracts in accordance with the provision and cost principles of the Federal Acquisition Regulations will not be accepted. If a rate has not been established, provide a statement to this effect and a computation for the cost in the budget narrative.

Applicants without an established rate may propose estimated indirect costs at a rate not to exceed 40 percent of the total direct costs and will not be required to provide further justification if selected for an award. Applicants proposing a rate exceeding 40 percent of the total direct costs may choose to negotiate a rate with the Department of Commerce. The negotiation and approval of a rate is subject to the procedures of the NOAA and Department of Commerce Standard Terms and Conditions. Applicants wishing to negotiate a rate should reach out to Raishan Adams, Grants Officer at: Raishan.Adams@noaa.gov. Any profit or fee requested is not considered a direct cost for the purpose of the indirect cost base calculation.

Example calculation of 7% fee:

Direct Costs: $433,911 Indirect Costs at 40%: $173,565 Sum of Direct & Indirect Cost: $607,476 7% fee on (3) $42,524 Total Costs for the award: $650,000

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G. Other Submission Requirements

N/A Applications must be submitted electronically through Grants.gov at: www.grants.gov under announcement NOAA-OAR-TPO-2024-2008239. Paper applications or applications submitted by other electronic means will not be accepted.

V. Application Review Information

A. Evaluation Criteria

Phase II applications that comply with the screening criteria in Section 4.2 of the full announcement will go through the following review process. The applications will be evaluated by at least three NOAA and/or external reviewers via peer review in accordance with the following criteria:

The scientific merit and technical approach of the proposed research (40 points);

The level of innovation the proposed effort offers to the research topic area (20 points);

Consideration of an application’s commercial and societal impacts and potential applications (20 points); and

Qualifications of the proposed principal/key investigators, supporting staff, and consultants and availability of instrumentation and physical facilities necessary to complete the proposed work (20 points).

Reviewers will base their evaluations only on information contained in the application. Do NOT include hyperlinks. Applicants should be specific and clear when writing their applications and not assume information not clearly spelled out can be inferred by the reviewer. No technical clarifications may be made after application submission. The Program Manager will average the scores of the reviewers and rank from highest to lowest.

Based upon the distribution of scores, the Program Manager will determine the score above which applications will be considered “technically superior.” Applications not rated as technically superior will not be considered further. A final ranking of the technically superior applications will be forwarded to the Selecting Official for final consideration based on selection factors.

B. Review and Selection Process

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All applications will be independently evaluated on their own merit and ranked on a competitive basis. Applications will be evaluated based only on information provided in the application. Applications will be initially screened to determine responsiveness, eligibility, and completeness (see Section 4.2). NOAA reserves the right not to forward an application for technical review if NOAA determines the application has incomplete scientific and technical information or is missing any of the required forms and documents. Applications passing these initial screenings will be technically evaluated in accordance with the evaluation criteria (see Section 4.3). NOAA is under no obligation to fund any application or any specific number of applications in a given topic. NOAA may elect to fund several or none of the applications for the same topic. A proposal will be deemed unacceptable if it represents presently available technology.

C. Selection Factors

Final award recommendation decisions will be made by NOAA’s Selecting Official based upon rankings assigned by the Program Manager and upon consideration of the following selection factors:

1. Final ranking of technically superior applications;

2. Diversity across the topics and project types;

3. Diversity across participants;

4. Geographical location;

5. By type of institutions;

6. By type of partners;

7. By researchers;

8. Applicants that have received fewer than 20 SBIR awards in the past;

9. Applicants prior award performance;

10. Possible duplication of other federally-funded research; and

11. Availability of funding.

D. Anticipated Announcement and Award Dates

August 1, 2024

VI. Award Administration Information

A. Award Notices

Please refer to Section 5.3 of the full announcement.

B. Administrative and National Policy Requirements

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C. Reporting

Progress Reports:

Phase II awardees will be required to submit the Department of Commerce-required Research Performance Progress Report (RPPR, OMB Number: 0690-0032).

Invention Reporting:

SBIR awardees must report inventions to the NOAA SBIR Program within two months of the inventor’s report to the awardee. The reporting of patents and other patent obligations shall be completed in accordance with award agreement. Inventions must also be reported through the iEdison Invention Reporting System at: www.iedison.gov.

VII. Agency Contacts

For programmatic questions, contact the SBIR Team via email: noaa.sbir@noaa.gov

For questions related to your budget, contact the Grants Officer, Raishan Adams via email:

Raishan.Adams@noaa.gov.

For assistance using Grants.gov contact them via email: support@grants.gov.

VIII. Other Information

Additional Information

This Program Solicitation is intended for informational purposes and reflects current planning. If there is any inconsistency between the information contained herein and the terms of any resulting SBIR/STTR Funding Agreement, the terms of the Funding Agreement are controlling. Before the award of an SBIR funding agreement, the Government may request the applicant to submit certain organizational, management, personnel, and financial information to assure responsibility of the applicant. The Federal Government is not responsible for any monies expended by the Applicant before award of any Funding Agreement. This program’s NOFO is not an offer by the Government and does not obligate the Government to make any specific number of awards. Also, awards under the SBIR Program are contingent upon the availability of funds. The SBIR Program is not a substitute for existing unsolicited application mechanisms. Unsolicited applications will not be accepted under the SBIR Program in either Phase I or Phase II. If an award is made pursuant to an application submitted under this SBIR Program NOFO, a representative of the SBC

Notice of Federal Funding Page 10 of 11 will be required to certify that the concern has not previously been, nor is currently being, paid for essentially equivalent work by any Federal agency. The responsibility for the performance of the principal investigator, and other employees or consultants who carry out the proposed work, including those of sub-recipients or contractors, lies with the management of the organization receiving an award.

NOAA is committed to the goal of commercialization of the results of SBIR projects and may provide discretionary technical and commercialization assistance to awardees as allowed by legislation.

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