Version 7 - FINAL for posting - Update to Release Date- NOAA SBIR 2020 NOFO 12182019.pdf

FY 2020 NOAA Small Business Innovation Research Program Open Date: December 19, 2019 Close Date: February 3, 2020

SBIR

Small Business Innovation Research

Notice of Funding Opportunity (NOFO)

FY2020

Funding Opportunity Number: NOAA-OAR-OAR TPO- 2020-2006320

Assistance Listings or Catalog of Federal Domestic Assistance

(CFDA) Number:

11.021 NOAA Small

Business Innovation Research (SBIR) Program

Opening Date: December 19, 2019 Closing Date: February 3, 2020

U.S. DEPARTMENT OF COMMERCE

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

Table of Contents

1.0 PROGRAM DESCRIPTION AND FEDERAL AWARD INFORMATION

1.1 INTRODUCTION

1.2 THREE-PHASE PROGRAM

1.2.01 Phase I – Feasibility Research

1.2.02 Phase II – Research and Development

1.2.03 Phase III – Commercialization

1.3 MANUFACTURING-RELATED PRIORITY

1.4 ENERGY EFFICIENCY AND RENEWABLE ENERGY PRIORITY

1.5 SBIR APPLICANT ELIGIBILITY AND LIMITATION

1.5.01 Applicant Qualification

1.5.02 Company Registry Requirements

1.5.03 Performance Benchmark Ratings Requirements

1.6 CONTACT WITH NOAA

1.7 DEFINITIONS

1.8 FRAUD, WASTE AND ABUSE

1.9 OTHER INFORMATION

1.9.01 Personal and Business Information

2.0 CERTIFICATIONS

2.1 PERFORMANCE BENCHMARK RATINGSREQUIREMENTS

2.2 RESEARCH ACTIVITIES INVOLVING HUMAN SUBJECTS, HUMAN TISSUE, DATA OR RECORDINGS INVOLVING HUMAN SUBJECTS

2.2.01 Protection of Human Subjects

2.2.02 IRB Education Documentation

2.3 RESEARCH PROJECT INVOLVING LIVE VERTEBRATE ANIMALS

2.4 CERTIFICATIONS REGARDING FEDERAL FELONY AND FEDERAL CRIMINAL TAXCONVICTIONS, UNPAID FEDERAL TAX ASSESSMENTS AND

DELINQUENT FEDERAL TAX RETURNS

3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 PHASE I APPLICATION REQUIREMENTS

3.2 PHASE I APPLICATION

3.2.01 SBIR-STTR INFORMATION FORM COVER SHEET

3.2.02 TECHNICAL CONTENT

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 EVALUATION AND SELECTION PROCESS

4.2 PHASE I SCREENING CRITERIA

4.3 PHASE I EVALUATION CRITERIA

4.4 PHASE I AWARD SELECTIONS

4.5 FEDERAL AWARDING AGENCY REVIEW OF RISK POSED BY APPLICANTS

4.6 RELEASE OF APPLICATION REVIEW INFORMATION

5.0 CONSIDERATIONS

5.1 AWARDS

5.2 REPORTING REQUIREMENTS

5.3 PAYMENT SCHEDULE

5.4 INNOVATIONS, INVENTIONS AND PATENTS

5.4.01 Proprietary Information

5.4.02 Rights in Data Developed Under SBIR Funding Agreements

5.4.03 NOAA-Owned Inventions

5.4.04 Patent Rights

5.4.05 Invention Reporting

5.5 COST SHARING

5.6 PROFIT OR FEE

5.7 JOINT VENTURES OR LIMITED PARTNERSHIPS

5.8 RESEARCH AND ANALYTICAL WORK

5.9 AWARDEE COMMITMENTS

5.10 SUMMARY STATEMENTS

5.11 ADDITIONAL INFORMATION

5.12 TECHNICAL ASSISTANCE FOR APPLICATION PREPARATION AND PROJECT CONDUCT

5.13 NOAA GRANT MANAGEMENT OFFICE STATEMENTS

6.0 SUBMISSION OF APPLICATIONS

6.1 DEADLINE FOR APPLICATIONS

6.2 ADDRESS TO REQUEST APPLICATION PACKAGE

6.3 APPLICATION SUBMISSION

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

8.0 SUBMISSION FORMS AND CERTIFICATIONS

8.1 REQUIRED FORMS AND DOCUMENTS

8.2 VERIFYING THE SUBMISSION AND TRACKING THE APPLICATION

8.3 UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT (SAM)

9.0 RESEARCH TOPICS

9.1 AQUACULTURE

9.1.01 Tool Development of Aquaculture Farm Management

9.1.02 Disease in Aquatic Organisms

9.1.03 Aquaculture Genetic Tools

9.2 RECREATIONAL AND COMMERCIAL FISHERIES

9.2.01 Lab-on-a-Chip: Ocean Iron Sensor

9.2.02 Low-cost Wireless Temperature and Depth Sensor Package for Deployment on Fishing Gear

9.2.03 Automating Bearing and Distance Meas. in Big-Eye 25 x 150 Binoculars and Recording/Saving Images ... 65

9.2.04 Underwater Adhesive for Coral Restoration

9.2.05 Rapid Detection of Illegal, Unreported and Unregulated (IUU) Fishing in the Marketplace

9.3 WEATHER SERVICE IMPROVEMENT AND EVOLUTION

9.3.01 Applications for Bulk Power System Geomagnetic Storm Analysis

9.3.02 Understanding the Value of NOAA Mission through Public Awareness and Engagement

9.3.03 Snow Level Measuring and Hazard Avoidance System

9.4 NEXT GENERATION NOAA PLATFORMS

9.4.01 Unmanned Aircraft System: Rapid Response for Natural Disasters

9.4.02 Beyond Visible Line of Sight Technology for UAS Meteorological Missions

9.5 NEXT-GENERATION OBSERVATION AND MODELING SYSTEMS

9.5.01 Increasing Weather Observations above Planetary Boundary Layer

9.5.02 Mass Spectrometer for Automated Monitoring of VOCs

9.5.03 Machine Learning to Improve Earth System Models and Satellite Data

9.6 FLOOD INUNDATION

9.6.01 Unmanned Aircraft System Measurement of Erosion Processes and Snow Water for Flood Prediction

APPENDIX A – CERTIFICATIONS

US DEPARTMENT OF COMMERCE

NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION

FY 2020 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 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 2020 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 (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. 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.

1.2 Three-Phase Program

The SBIR statute (15 U.S.C. § 638) requires the Department of Commerce to establish a three-phase SBIR program by reserving a percentage of its extramural R&D budget to be awarded to small business concerns for innovation research. SBIR policy is provided by the Small Business Administration (SBA) through the SBIR Policy Directive found on 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 funding vehicles for the NOAA SBIR program in both Phase I and Phase II are through grants. While the Phase II proposal process is covered in this announcement, this NOFO is for Phase I applications only. A separate NOFO will be issued requesting Phase II application submissions. Unsolicited proposals will not be accepted through the SBIR Program. A Phase II proposal can be submitted only by a Phase I awardee. NOAA has the unilateral right to select SBIR research topics and awardees in both Phase I and Phase II and award several or no financial assistance awards under a given subtopic.

Moreover, applications not responding to subtopics listed herein are not eligible for SBIR awards.

1.2.01 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 small business concern receiving an award. Therefore, the proposal should concentrate on research that will significantly contribute to proving the feasibility of the proposed research, a prerequisite to further support in Phase II. Applicants are encouraged to consider, and discuss in their proposal, whether the research or research and development (R&D) being proposed to NOAA also has private sector potential, either for the proposed application or as a basis for other applications. Only DOC NOAA SBIR Phase I awardees will be eligible to submit a Phase II application.

http://www.sbir.gov/

NOAA Phase I awards are up to $150,000 with up to a six (6) month period of performance. While 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 following Phase II, no-cost extensions are not permitted in Phase I projects that intend to advance to Phase II. Thus, if an awardee requests a no-cost extension for the Phase I project, the awardee will not be eligible to submit an application and compete in Phase II

1.2.02 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.

Phase II awards shall be for no more than $500,000. The period of performance for the completion of the Phase II will depend upon the scope of the research but is typically 24 months. There is another one year allowed after the 24 month period for the awardee to develop the commercialization report. For planning purposes, NOAA’s goal is to make Phase II awards around May or June of the same year that the Phase II instructions are sent to current Phase I companies.

All Phase I awardees under this NOFO 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 NOFO approximately 30 days prior to the end of the Phase I performance period to request the next year’s Phase II grant applications.

1.2.03 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 develop the prototype into a viable product or non- R&D service for sale in the domestic or international marketplace. SBIR Phase III refers to 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. Phase III work is typically oriented towards commercialization of SBIR research or technology and may be for products, production, services, Research / Research and Development (R/R&D) or a combination thereof.

1.3 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 subtopics 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

1.4 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 small business concerns 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 subtopics 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.

1.5 SBIR Applicant Eligibility and Limitation

1.5.01 Applicant Qualification

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.

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. 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.

NOAA has elected to not use the provision 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 subtopics listed herein are not eligible for SBIR awards.

Only proposals that are directly responsive to the subtopics as described in Section 9 will be considered.

Applicants (and any affiliated individuals) may not participate in the selection of any topic or subtopic. 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 subtopic

• Have not been the recipient of any information on the subtopic not available in the NOFO or 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.

1.5.02 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.

1.5.03 Performance Benchmark Ratings Requirements

All Phase I applicants with a current Small Business Administration (SBA) assessment of their Phase I to Phase II Transition Rate must at the time of the application under this FY20 NOFO have satisfied the requirements of that Performance Benchmark to be eligible for a new Phase I award. NOAA will not consider (and 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.

The Phase I to Phase II Transition Rate requirement applies only to SBIR Phase I applicants that have received more than 20 (21 or more) Phase I awards over the past 5 fiscal years (excluding the most recent year). For these applicants, the ratio of the number of Phase II awards (awarded during the past 5 fiscal years) to the number of Phase I awards (awarded during the past 5 years excluding the most recent year) must be at least 0.25. For the purposes of this NOFO, the applicable five fiscal year period is fiscal year 2014 to fiscal year 2018. On June 1st of each year, the SBA assesses the Performance Benchmark rates for all applicable SBIR and Small Business Technology Transfer (STTR) awardees in the Company Registry. STTR is another program that expands funding opportunities in the federal innovation research and development arena. See https://www.sbir.gov/about/about-sttr. Performance Benchmark rates are based on a company’s total SBIR/STTR awards, across all the participating agencies.

Companies that fail to meet the Performance Benchmark requirements are not eligible http://www.sbir.gov/ https://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2-24-14.pdf https://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2-24-14.pdf http://www.sbir.gov/registration https://www.sbir.gov/about/about-sttr to submit a Phase I proposal for a period of one year from the assessment: from June 1st through May 31st. Note that this does not affect a company’s eligibility for Phase II or Phase III awards.

The Commercialization Rate is not applicable for FY 2020. When in effect, the Commercialization Rate requirement applies to SBIR and STTR Phase I applicants that have received more than 15 (16 or more) Phase II awards over the past 10 fiscal years, excluding the last two years. These companies must have realized, to date, an average of at least $100,000 of sales and/or investments per Phase II award (awarded during this period), or have received a number of patents resulting from the SBIR work equal to or greater than 15% of the number of Phase II awards.

SBA sends three notifications each year to companies affected by the benchmark performance requirements:

April 1st – SBA runs a preliminary assessment to determine which companies appear to be failing a benchmark given the data in the system on that date. SBA sends a Warning Notice to these companies so that they can review the award in the Company Registry (SBIR.gov) and update as needed.

June 1st – SBA identifies companies that fail a benchmark and notifies them that they are not eligible to submit a Phase I proposal for a period of one year.

All applicants should verify their Transition Rate eligibility for Phase I awards. When logged in to the Company Registry at https://www.sbir.gov/registration, awardees can view their last assessed Transition Rate by clicking on the “Performance Benchmark” side-bar. These company-specific rates appear under the heading “At Last Assessment.”

A thumbs-up/thumbs-down indicator shows whether or not the company passed the benchmark rates at the last assessment. If at any time, a company believes the award information on SBIR.gov is not correct, it should notify SBA using the dispute link provided. If a company’s dispute of the data used for the rates is under review, it will see “TBD” under the “At Last Assessment” heading. Companies with less than the threshold number of awards (21 Phase I awards for the Transition Rate) will see “N/A” displayed because the requirement did not apply to them.

Under the heading “Current (On-Going)”, the page displays a running calculation of the benchmark rates using the next years’ time periods (each period moved up by one year) and current data in the system. Companies should monitor these rates to anticipate their standing for each upcoming June 1 Assessment. Prior to proposal preparation, all applicants to this NOFO that have received more than 20 Phase I awards across all federal SBIR/STTR agencies over the past five (5) years should verify that their company will not have a failing status on the Transition Rate Benchmark at the time of award.

https://www.sbir.gov/registration

General information on the Performance Benchmark requirements is available at https://www.sbir.gov/performance-benchmarks

1.6 Contact with NOAA

In the interest of competitive fairness, with the exception of the public Question and Answer (Q&A) portion concerning additional information on the technical subtopics described in Section 9 of this NOFO, oral or written communication with NOAA or any of its components is strictly prohibited.

For the Q&A portion, questions may be submitted through the NOAA SBIR Program Office via email, and all responses will be publicly, though anonymously, posted on the NOAA SBIR web site (http://techpartnerships.noaa.gov/SBIR). Questions and answers will not be accepted through nor posted on Grants.gov.

In order to permit timely posted responses, all questions pertaining to subtopics (Section 9) of this NOFO are due no later than January 13, 2020 at 11:59 p.m. Eastern Time to the NOAA SBIR Program Office, via the email address provided below. When sending questions, you must include the NOFO Announcement Number in the header “NOAA-OAR-OAR TPO-2020-2006320” as a subject line. Questions sent to any other email address will not be answered. After that date and time, NO ADDITIONAL

QUESTIONS SHALL BE ACCEPTED.

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

Subject Area Point of Contact

Programmatic Questions Kelly Wright NOAA SBIR Program Manager (Acting) 1305 East West Highway, Room: 7607 Silver Spring, MD 20910 Phone: (301) 628-1009 E-mail: Kelly.wright@noaa.gov https://www.sbir.gov/performance-benchmarks http://techpartnerships.noaa.gov/SBIR) http://techpartnerships.noaa.gov/SBIR) mailto:Kelly.wright@noaa.gov

NOAA SBIR Program Office NOFO Question and Answer

(Only open from December 19, 2019 to January 13, 2020) noaa.sbir@noaa.gov

Subject line: NOAA-OAR-OAR TPO-2020- 2006320

All responses (with name/company who submitted the question redacted) will be made public via the NOAA SBIR website:

http://technpartnerships.noaa.gov/SBIR

Electronic Application Submission through Grants.gov

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

Grant Administrative Rules and Regulations

Janet Johnson Russell Phone: (301) 628-1062 Email: Janet.J.Russell@noaa.gov

1.7 Definitions

Except as specifically noted by citation or reference, all definitions below are excerpted from the SBA SBIR Policy Directive, available at http://sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2-24-14.pdf.

Applicant – The organizational entity that qualifies as a Small Business Concern (SBC) at all pertinent times and that submits a contract proposal or a grant application for a funding agreement under the SBIR Program.

Application – Also referred to as a “proposal”

Authorized Organizational Representative - The individual(s), named by the applicant/recipient organization, who is legally authorized to act for the applicant/recipient and to assume the obligations imposed by the federal laws, regulations, requirements, and conditions that apply to grant applications or awards.

Non-Federal Entity – The organizational entity that receives a SBIR Phase I, Phase II or Phase III award, i.e., awardee.

mailto:noaa.sbir@noaa.gov http://technpartnerships.noaa.gov/SBIR mailto:support@grants.gov mailto:Janet.J.Russell@noaa.gov http://sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2-24-14.pdf

Commercialization - The process of developing products, processes, technologies, or services and the production and delivery (whether by the originating party or others) of the products, processes, technologies, or services for sale to or use by the Federal government or commercial markets.

As used here, commercialization includes both Government and private sector markets.

Contract – A mutually binding legal relationship obligating the seller to furnish equipment, goods or services and the buyer to pay for them.

Essentially Equivalent Work - Work that is substantially the same research, which is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency or submitted to two or more different Federal agencies for review and funding consideration; or work where a specific research objective and the research design for accomplishing the objective are the same or closely related to another proposal or award, regardless of the funding source.

Feasibility - The practical extent to which a project can be performed successfully.

Funding Agreement - Any contract, grant, or cooperative agreement entered into between any Federal agency and any SBC for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.

Funding Agreement Officer. Per the SBIR Policy Directive, a funding agreement officer is defined as a federal contracting officer, a grants officer, or a cooperative agreement officer.

Grant. A financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity authorized by law of the United States (31 U.S.C. 6101(3)). A grant is used whenever the Federal agency anticipates no substantial programmatic involvement with the awardee during performance.

Innovation. Something new or improved, having marketable potential, including: (1) development of new technologies: (2) refinement of existing technologies: or (3) development of new applications for existing technologies

Joint Venture – See 13 C.F.R. § 121.103(h).

http://www.law.cornell.edu/cfr/text/13/121.103

National Environmental Policy Act (NEPA) The National Environmental Policy Act, or NEPA, is a United States environmental law that promotes the enhancement of the environment and was enacted as law on January 1, 1970 (Pub.L. 91-190). All NOAA SBIR Phase I and Phase II awards must go through an agency internal NEPA assessment before a full award is made. The purpose is to capture any details of the project that may potentially or inadvertently pollute/affect the environment

This definition is from the NOAA’s NEPA implementation.

Principal Investigator (PI)/Project Manager (PM) The one individual designated by the applicant to provide the scientific and technical direction to a project supported by a funding agreement

Project Narrative – This is the main document outlining the detailed innovative solution by the applicant. Under this NOFO, it is interchangeable with the “Technical Proposal”

Proposal – Also referred to as an “application.”

Research or Research and Development (R/R&D) - Any activity that is:

(1) a systematic, intensive study directed toward greater knowledge or understanding of the subject studied;

(2) a systematic study directed specifically toward applying new knowledge to meeta recognized need; or

(3) a systematic application of knowledge toward the production of useful materials, devices, services, or methods, and includes design, development, and improvement of prototypes and new processes to meet specific requirements.

SBIR Policy Directive – As mandated by the SBIR legislation, the Small Business Administration (SBA) authors this policy that outlines how the SBIR program is run in each participating agency. The link to this policy can be found on sbir.gov.

SBIR Technical Data - All data generated during the performance of an SBIR award.

SBIR Technical Data Rights - The rights an SBIR awardee obtains in data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

Small Business Concern (SBC) – A concern that meets the requirements set forth in 13 C.F.R. § 121.702 (available at http://www.gpo.gov/fdsys/granule/CFR-2011-title13-http://www.gpo.gov/fdsys/pkg/CFR-2011-title13-vol1/pdf/CFR-2011-title13-vol1-sec121-801.pdf vol1.CFR-2011-title13-vol1-sec121-702).

Socially and Economically Disadvantaged SBC (SDB) - See 13 C.F.R. Part 124, Subpart B.

Socially and Economically Disadvantaged Individual - See 13 C.F.R. §§ 124.103 and 124.104.

Sub-award – See 2 C.F.R. § 200.92.

Technical Proposal – See “Project Narrative” above

Women-Owned Small Business (WOSB) - An SBC that is at least 51% owned by one or more women, or in the case of any publicly owned business, at least 51% of the stock is owned by women, and women control the management and daily business operations.

1.8 Fraud, Waste and Abuse

All applicants must complete the DoC OIG agency mandatory training and sign/submit the certification of completion along with their application. The link to the Fraud, Waste, and Abuse training slides is located here:

http://www.techpartnerships.noaa.gov/SBIR.aspx. Certification can be found at the end of the training module. All applicants must print, sign, and submit certification of completion as an attachment (as per end of Section 8.1).

As defined in the SBIT 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 http://www.gpo.gov/fdsys/pkg/CFR-2011-title13-vol1/pdf/CFR-2011-title13-vol1-sec121-801.pdf https://www.federalregister.gov/select-citation/2012/08/06/13-CFR-124 https://www.federalregister.gov/select-citation/2012/08/06/13-CFR-124.103 http://www.techpartnerships.noaa.gov/SBIR.aspx 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/online-hotline-complaint-form.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 e-mail. 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:

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 https://www.oig.doc.gov/Pages/online-hotline-complaint-form.aspx https://www.oig.doc.gov/Pages/online-hotline-complaint-form.aspx mailto:Hotline@oig.doc.gov https://www.oig.doc.gov/pages/Contact-Us.aspx

Mail:

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

Washington, DC 20230

Fax:

855-569-9235

1.9 Other Information

1.9.01 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 Department of Commerce in conducting reviews and evaluations of its financial assistance programs. For this purpose, applicant information and data may be accessed, reviewed and evaluated by Department of Commerce 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 Department of Commerce 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 Department of Commerce financial assistance award.

In addition, Department of Commerce 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 Notice of Funding Opportunity 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 Department of Commerce 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 Performance Benchmark Ratings Requirements

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 and the SBIR Funding Agreement Certification – Life-Cycle Certification, which are provided in Appendix A of this NOFO.

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

Involving Human Subjects

2.2.01 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 Department of Commerce (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, 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 an FWA and register an IRB with OHRP can be found at http://www.hhs.gov/ohrp/assurances/index.html.

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 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);

http://stemcells.nih.gov/ http://hescregapp.od.nih.gov/NIH_Form_2890_Login.htm http://hescregapp.od.nih.gov/NIH_Form_2890_Login.htm http://grants.nih.gov/stem_cells/registry/current.htm

(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))

2.2.02 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 animals 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.

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html http://www.nap.edu/catalog/12910/guide-for-thecare-and-use-of-laboratory-http://www.nap.edu/catalog/12910/guide-for-thecare-and-use-of-laboratory-

[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.

(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.

2.4 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid Federal Tax Assessments and Delinquent Federal Tax Returns

In accordance with Federal…