NOAA Phase I SBIR Proposal Checklist

Eligibility Checklist – Can You Apply?

Before investing time in proposal writing, confirm that your business meets NOAA’s strict eligibility criteria for a Phase I SBIR award.

• ☑ Verify Small Business Status
  Your company must be a U.S.-based, for-profit Small Business Concern (SBC) with no more than 500 employees, including affiliates. Ownership must be at least 51% by U.S. citizens or permanent resident aliens.
• ☑ Confirm Principal Investigator (PI) Role
  The PI must be primarily employed by your business—meaning they’ll spend more than 50% of their time working for you during the grant period. A PI cannot simultaneously hold full-time employment elsewhere if your project is funded.
• ☑ Work Must Be Done in the U.S.
  All proposed research and development must be performed within the United States. If you plan to work with a foreign vendor or conduct tasks abroad, you’ll need advance approval and a formal waiver from NOAA.
• ☑ Choose a Matching Research Topic
  Your proposal must directly respond to a topic listed in the current NOAA SBIR solicitation. Each topic has a unique identifier that must be listed on your proposal’s cover page. Submitting a proposal unrelated to an active topic is grounds for rejection.
• ☑ Disclose Prior Phase II Awards
  If your business has received any prior SBIR Phase II awards from any agency, NOAA requires that you list them. If you have none, simply indicate “N/A.”
• ☑ Meet the In-House Workshare Rule
  At least two-thirds of your Phase I R&D work (by budget) must be conducted by your company—not subcontractors.

Don’t Overlook This:
Make sure at least 67% of the work is done by your business—or your proposal will be disqualified.

Registration Checklist – Complete These Early

Each system you must register with has its own lead time, and failing to complete even one can prevent your application from being submitted.

Additional Tips:

• Use the same business name across all registrations.
• Double-check your UEI, EIN, and business address are consistent across systems.
• Save PDFs or screenshots of confirmations from each registration portal.

LOI Checklist – Submit If Required

Some NOAA SBIR Phase I solicitations require a Letter of Intent (LOI) as a precondition for proposal submission. Even if optional, submitting one can help you avoid wasting time on a non-responsive proposal.

• ☑ Check the Solicitation for LOI Requirement
  Each year’s NOAA SBIR solicitation will specify whether LOIs are required or optional. If required, you must submit by the posted deadline—usually weeks before the full proposal due date.
• ☑ Follow NOAA’s LOI Format
  LOIs are usually submitted via a web form and should include:
  • Small business name and contact details
  • Project title and selected NOAA topic number
  • Brief technical abstract (≤500 words)
  • Expected outcomes and commercial potential
  • No proprietary or sensitive information
• ☑ Submit Early to Get Feedback
  NOAA may provide feedback on whether your idea fits their topic scope. This response helps you adjust before submitting your full application.
• ☑ Keep It Concise and Jargon-Free
  Use plain language. Focus on the problem you’re solving, the proposed solution, and why it fits NOAA’s mission and the selected topic.

Helpful Tip:
A strong LOI won’t guarantee success—but it can prevent you from submitting a non-responsive proposal.

☑ One LOI Per Solicitation
You can only submit one LOI per solicitation. Multiple entries may disqualify your application.

Narrative Checklist – Build Your Technical Proposal

NOAA requires a tightly formatted, 15-page project narrative with 14 specific sections. Each section must be included, even if marked “N/A.”

Formatting Requirements:

• Max 15 pages (including cover page and abstract)
• Standard U.S. letter size (8.5” × 11”)
• 1-inch margins; font ≥10 pt
• Number all pages
• Embedded figures count toward the page limit

Proposal Structure – Required Headings:

• ☑ Cover Page
  Use NOAA’s provided form; include title, business info, topic number, and PI name.
• ☑ Project Abstract (1 page)
  Briefly state the technical challenge, your innovation, and expected outcomes. Avoid proprietary info—it will be published if awarded.
• ☑ 1. Identification and Significance of Problem
  Describe the challenge, who it affects, and why it matters to NOAA or the market.
• ☑ 2. Phase I Technical Objectives
  List 2–4 clear goals you aim to accomplish. Make them measurable.
• ☑ 3. Phase I Work Plan
  Break your approach into tasks and timeline. Ensure it’s feasible within 6 months.
• ☑ 4. Related R&D
  Briefly summarize prior work (including competitors) and how your approach differs.
• ☑ 5. Key Personnel and Bibliography
  List key staff and attach bios. Include any relevant publications or patents.
• ☑ 6. Relationship with Future R&D
  Explain how this Phase I work sets the stage for a Phase II prototype.
• ☑ 7. Facilities and Equipment
  Name your lab or facilities. Explain access to specialized tools or partners.
• ☑ 8. Consultants and Subcontracts
  List any collaborators and what they’ll do. Stay within the one-third subcontracting cap.
• ☑ 9. Commercial Potential
  Who will use it? Include target users, market need, and any letters of interest.
• ☑ 10. CRADA (if applicable)
  If working with a NOAA lab under a Cooperative R&D Agreement, describe it here. Else, write “N/A.”
• ☑ 11. Guest Researcher (if applicable)
  State “N/A” unless hosting a researcher without formal subcontract.
• ☑ 12. Cost Sharing (optional)
  Not required or evaluated, but mention if using internal or third-party funds.
• ☑ 13. Similar Applications
  Disclose if this idea is submitted to other federal programs.
• ☑ 14. Prior Phase II Awards
  List all previous Phase II SBIR/STTR awards. If none, write “None.”

☑ References Cited (not included in page count)
List your sources. Use a consistent format (APA, MLA, etc.).

Budget & Submission Checklist – Final Review

Before uploading your final application to Grants.gov, use this checklist to ensure your budget is compliant and all required elements are included.

Budget Requirements:

• ☑ Stay Within NOAA’s Funding Cap
  Check the current solicitation for the exact amount (e.g., $190,000). This covers direct costs, indirect costs, profit, and any subcontracting.

Critical Warning:
Exceeding the budget cap—even by $1—can result in rejection.

• ☑ Meet the 2/3 In-House Rule
  At least 67% of the total R&D work (measured by cost) must be done by your business. Subcontracting is limited to one-third of the work.
• ☑ Justify All Line Items
  Include a clear and concise Budget Justification. NOAA reviewers will expect explanations for all major expenses—especially equipment, materials, and consultants.
• ☑ Check Indirect Cost Rate
  You may use a negotiated federal rate or the de minimis 10% MTDC rate. Choose based on what applies to your business.
• ☑ Budget for 6 Months of Work
  Phase I projects are limited to a six-month period. Ensure your labor and expenses align accordingly.

Final Submission Items:

• ☑ Attach All Required Forms
  • SBIR Cover Page
  • Project Abstract
  • Project Narrative (≤15 pages total)
  • Budget and Budget Justification
  • SBA Company Registration (PDF)
  • Letters of Support (if available)
• ☑ Use the Correct Grants.gov Opportunity Number
  Each NOAA solicitation has a unique ID. Ensure you’re applying under the right one.
• ☑ Confirm AOR Submission
  Only the Authorized Organizational Representative (AOR) can submit via Grants.gov. Make sure credentials are active and access has been tested in advance.
• ☑ Submit Early
  Aim to submit at least 48 hours before the deadline. Grants.gov processing errors can delay submission—and NOAA will not accept late proposals.