NOAA SBIR Phase II Proposal Checklist

Confirm Eligibility & SBIR Compliance

Before you start writing your NOAA Phase II proposal, confirm that your business meets all baseline eligibility and compliance requirements. These are non-negotiable; missing any one of them can lead to automatic rejection.

[ ] Is your business still a qualified Small Business Concern (SBC)?
You must be American-owned, independently operated, and have no more than 500 employees (including affiliates).
[ ] Did your company receive a NOAA Phase I SBIR award?
Phase II is only open to previous NOAA Phase I awardees. You cannot apply if you did not complete a NOAA Phase I project.

Only previous NOAA Phase I awardees may apply for Phase II funding.
(SBIR Policy Directive, 2023; 13 CFR 121.702)

[ ] Is your Principal Investigator (PI) currently employed ≥51% by your company?
This must be true both at the time of award and throughout the project.
[ ] Will all R&D take place in the U.S. (or with an approved waiver)?
Research, testing, and development must occur on U.S. soil unless NOAA explicitly approves a waiver in advance.
[ ] Does your firm plan to perform at least 50% of the work in-house?
This is measured by both labor hours and budget. Subcontractors and consultants cannot exceed 50% of the effort.
[ ] Have you completed all Phase I deliverables?
This includes the final report, payment closeouts, and certifications. NOAA generally does not allow no-cost extensions if you intend to apply for Phase II.
[ ] Can you truthfully complete SBIR compliance certifications?
NOAA may request you to certify small business status, PI employment, and domestic workshare. Prepare your documentation in advance.

Prepare Registrations & Online Accounts

Every required registration must be active and accurate before submission. These systems are used to verify eligibility and transmit your proposal—and all of them take time to update or reactivate.

[ ] Is your SAM.gov registration current?
An active System for Award Management (SAM) profile with a valid Unique Entity ID (UEI) is required. Reactivation can take over a month.

Start SAM.gov renewal at least 6 weeks before the NOAA Phase II deadline.

[ ] Have you updated your SBA Company Registry on SBIR.gov?
Every Phase II applicant must download and attach the PDF certificate confirming your company’s registration. Plan for up to two weeks if you need to create or update the record.
[ ] Is your Grants.gov account active and properly configured?
Your Authorized Organizational Representative (AOR) must be verified and able to submit on behalf of your company. If new to Grants.gov, allow 3–10 business days for setup.
[ ] Have you registered with eRA Commons (if required)?
While NOAA sometimes uses the NIH eRA system for post-award reporting, registration may not be needed for proposal submission. If you’re unsure, register early.
[ ] Are all your records consistent across systems?
Your UEI, business name, and contact information must match across SAM.gov, Grants.gov, eRA Commons, and SBIR.gov. Discrepancies can delay or disqualify your submission.

Keeping these accounts in sync and active will save you from last-minute technical rejections and ensure smooth communication with NOAA throughout the review and award process.

Structure & Write the Technical Narrative

Your Project Narrative is the centerpiece of the NOAA Phase II application. It must follow NOAA’s formatting and content rules exactly. Use this checklist to build a complete, review-ready narrative.

[ ] Have you downloaded the current NOAA Phase II NOFO?
This is your definitive guide for required sections, formatting, and evaluation criteria. Always refer to the latest version.
[ ] Are you following NOAA’s required section order and headings?
Use NOAA’s specified structure. Even if a section doesn’t apply, include it and write “Not Applicable.”
[ ] Is your narrative within the page limit?
The technical narrative must not exceed 25 pages, excluding certain forms. Use a minimum 10-point font and standard 1-inch margins.

Checklist: Required Sections in Your NOAA Technical Proposal

Identification & Significance of the Problem – What NOAA challenge or opportunity does your solution address?
Phase I Results Summary – What did you achieve in Phase I? Highlight results and feasibility evidence.
Phase II Technical Objectives – What do you aim to accomplish in Phase II? Be specific and measurable.
Work Plan – Break work into tasks with timelines, responsible personnel, and milestones. Identify which parts are done in-house versus subcontracted.
Related Research – Show your awareness of the current state-of-the-art. Highlight how your approach is different or better.
Key Personnel – Summarize roles and qualifications. Attach CVs or resumes if allowed.
Phase III Potential – Describe commercialization or further development after Phase II.
Facilities & Equipment – Detail the resources you’ll use to carry out the work.
Consultants & Subawards – Name partners, their roles, and percent of effort. Attach commitment letters.
CRADAs – If applicable, describe collaboration terms with NOAA labs.
Guest Researchers – If a NOAA researcher is informally involved, disclose and explain.
Cost Sharing – Voluntary only. If included, state the source and amount clearly.
TABA – If using Technical and Business Assistance, include provider info and benefits.
Similar Awards – Disclose overlapping proposals or prior funding from other agencies.

By covering each of these areas, you’ll present a proposal that is complete, compliant, and aligned with NOAA reviewer expectations.

Draft Your Commercialization Plan

The Commercialization Plan is a separate but essential component of your Phase II application. It demonstrates that your innovation can become a real-world product or service—not just a successful R&D exercise.

[ ] Have you identified your target customers and market size?
Describe the specific government or commercial problem you’re solving. Use data where possible to validate market demand.
[ ] Do you explain your competitive advantage?
Include a comparison to current solutions and emphasize your unique benefits—cost, performance, usability, or IP.
[ ] Have you mapped out a revenue model?
Describe how you plan to generate income (e.g., direct sales, licensing, subscriptions) and when revenue is expected.
[ ] Does your team have commercialization experience?
Highlight prior product launches, relevant partnerships, and any advisors with business backgrounds. If gaps exist, mention how you’ll address them.
[ ] Have you addressed funding beyond Phase II?
If you’ll need external investment, working capital, or partners to scale, explain how you’ll secure them. Mention investor interest or Phase III commitments if available.

What is TABA and do you need it?

Technical and Business Assistance (TABA) funding can support commercialization tasks like IP strategy, market research, or regulatory planning. If NOAA offers TABA in its solicitation, you may request it and name a service provider. Include a letter of commitment if required.

[ ] Did you provide a basic commercialization timeline?
Lay out realistic milestones: prototype delivery, pilot customers, product launch, and market expansion.

This section is your chance to show reviewers that the investment will lead to economic or societal impact—through actual adoption, revenue, or further R&D in Phase III.

Develop Budget and Justification

Your budget must meet all NOAA and SBIR Phase II requirements—both in format and in cost allocation. A well-structured, compliant budget reinforces your readiness to execute the work.

[ ] Is your total budget within NOAA’s Phase II limits?
NOAA typically allows up to $700,000 over 24 months. Check the latest solicitation for exact caps.
[ ] Does your company retain at least 50% of the project budget?
This is a hard SBIR requirement. Add up all in-house costs (direct, indirect, fringe, etc.) and ensure they meet or exceed 50% of total project costs.
[ ] Are all consultants and subcontractors identified and costed properly?
Include their labor rates, roles, and durations. Total combined outside effort must not exceed 50% of the budget.
[ ] Have you completed the NOAA-specific forms?
Most Phase II applications require the SF-424A and NOAA budget templates. Complete both years (if multi-year) and include a full justification narrative.
[ ] Did you explain any equipment purchases or travel costs?
These must be necessary, allocable, and reasonable. If purchasing equipment over $5,000, justify why leasing isn’t more appropriate.

Double-check math, rates, and alignment with your work plan. A sloppy or non-compliant budget can weaken an otherwise strong proposal.

Attach Required Documents

Your Phase II proposal is incomplete without the correct attachments. NOAA will reject submissions missing key documents, and reviewers will expect organized, properly labeled files.

[ ] Do you have Letters of Commitment from all third-party contributors?
Anyone named in the narrative (e.g., subcontractors, consultants, CRADA partners) must provide a signed letter detailing their role and commitment. Include budget agreement and timeline.
[ ] Have you collected Letters of Support from stakeholders?
While optional, these strengthen your commercialization case. Aim for 2–5 letters from potential users, industry partners, or investors.

NOAA support letters should be on official letterhead and signed.

[ ] Are your appendices compliant with NOAA’s rules?
Only include items allowed in the NOFO—typically resumes, facility lists, and your Phase I Final Report. Do not attach extra materials (e.g., technical papers, videos) unless explicitly permitted.
[ ] Are all documents named and ordered clearly?
Use NOAA’s naming conventions if specified. Group attachments logically: technical narrative, budget files, certifications, letters, and other attachments.

Taking the time to finalize and organize your attachments will reflect professionalism—and ensure your proposal clears NOAA’s administrative review.

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