15-SBIR Phase II Mod 1.27.2015.pdf

Program Solicitation Small Business Innovation Research Program – Phase II Fiscal Year 2015

Modification: Page 20 (1/27/2015).

Phase II Closing Date: February 26, 2015

Telephone: 202-401-4002 Email: sbir@nifa.usda.gov Internet: www.nifa.usda.gov/fo/sbir

Catalog of Federal Domestic Assistance Number (CFDA)

10.212 Small Business Innovation Research

NIFA Funding Opportunity Number: USDA-NIFA-SBIR-004815

United States Department of Agriculture

National Institute of Food and Agriculture

Competitive Programs

SBIR-15-2

mailto:sbir@csrees.usda.gov http://www.nifa.usda.gov/fo/sbir

Table of Contents

ACRONYM LIST

1.0 GENERAL PROGRAM DESCRIPTION

1.1 INTRODUCTION

1.2 THREE-PHASE PROGRAM

1.3 POTENTIAL COMMERCIAL OUTCOME

1.4 ELIGIBILITY

1.5 AGENCY CONTACTS

1.6 STAKEHOLDER INPUT

2.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS

2.1 APPLICATION REQUIREMENTS

2.2 USDA SBIR APPLICATION SUBMISSION OVERVIEW

2.2.1 RESOURCES

2.2.2 REGISTRATION PROCEDURES FOR COMPANIES

2.2.3 SPECIAL CONSIDERATIONS

2.3 APPLICATION GUIDELINES

2.3.1 SF-424 R&R COVER SHEET

2.3.2 R&R OTHER PROJECT INFORMATION

2.3.3 R&R SENIOR/ KEY PERSON PROFILE - (PDF FORMAT IS REQUIRED)

2.3.4 R&R PERSONAL DATA

2.3.5 R&R BUDGET - (PDF FORMAT IS REQUIRED)

2.3.6 R&R SUBAWARD BUDGET ATTACHMENT - (PDF FORMAT IS REQUIRED)

2.3.7 NIFA SUPPLEMENTAL INFORMATION

2.3.8 SBIR/SMALL BUSINESS TECHNOLOGY TRANSFER PROGRAM (STTR) INFORMATION

3.0 SUBMISSION OF APPLICATIONS

3.1 WHEN TO SUBMIT

3.2 WHAT TO SUBMIT

3.3 WHERE TO SUBMIT

3.4 QUESTIONS PERTAINING TO THE USDA SBIR PROGRAM OR TO THIS SOLICITATION

3.5 INFORMATION ON APPLICATION STATUS

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 INTRODUCTION

4.2 INITIAL SCREENING CRITERIA

4.3 PHASE II EVALUATION CRITERIA

4.4 PHASE II REVIEW PROCESS

4.5 NOTICE TO APPLICANTS

5.0 CONSIDERATIONS

5.1 AWARDS

5.2 REPORTS

5.2.1 TECHNICAL REPORTS

5.2.2 REEPORT

5.2.3 FINANCIAL REPORTS

5.3 PROPRIETARY INFORMATION

5.4 RIGHTS IN TECHNICAL DATA

5.5 COPYRIGHTS

5.6 PATENTS AND INVENTIONS

5.7 RESEARCH INVOLVING SPECIAL CONSIDERATIONS

5.8 RESPONSIBLE AND ETHICAL CONDUCT OF RESEARCH

5.9 GRANTEE COMMITMENTS

5.10 ADDITIONAL INFORMATION

6.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

7.0 SAMPLE APPLICATIONS FROM USDA SBIR SOLICITATION

8.0 RESEARCH TOPIC DESCRIPTIONS AND INSTRUCTIONS

8.1 FORESTS AND RELATED RESOURCES

8.2 PLANT PRODUCTION AND PROTECTION – BIOLOGY

8.3 ANIMAL PRODUCTION AND PROTECTION

8.4 AIR, WATER AND SOILS

8.5 FOOD SCIENCE AND NUTRITION

8.6 RURAL DEVELOPMENT

8.7 AQUACULTURE

8.8 BIOFUELS AND BIOBASED PRODUCTS

8.12 SMALL AND MID-SIZE FARMS

8.13 PLANT PRODUCTION AND PROTECTION - ENGINEERING

9.0 DEFINITIONS

Acronym List

ADO – Authorized Departmental Officer APHIS – Animal and Plant Health Inspection Service AR – Authorized Representative ASAP – Automated Standard Applications for Payment System

CCR – Central Contractor Registry CFDA – Catalog of Federal Domestic Assistance CFR – Code of Federal Regulations COI – Conflict of Interest CRADA – Cooperative Research and Development Agreement

DUNS – Data Universal Number System

E-Business POC - E-Business Point of Contact

F&A – Facilities and Administration FR – Federal Regulation FY – Fiscal Year

HUBZONE – Historically Underutilized Business Zone

M-PIN – Marketing Partner Identification Number

NIFA – National Institute for Food and Agriculture NPL – National Program Leader

PD – Project Director PDF – Portable Document Format PI – Principle Investigator POC – Point of Contact PRS – Peer Review System

REEPort- Research, Education, and Extension project online reporting tool R/R&D – Research or Research and Development R&D – Research and Development R&R – Research and Related

SBA – Small Business Administration SBC – Small Business Concern SBIR – Small Business Innovation Research SAM – System for Awards Management STTR – Small Business Technology Transfer Program

U.S. – United States USDA – United States Department of Agriculture

1.0 GENERAL PROGRAM DESCRIPTION

1.1 Introduction

The U.S. Department of Agriculture (USDA) invites previous Small Business Innovation Research (SBIR) Phase I awardees to apply for Phase II funding under this program solicitation. Phase II awards are only provided to those Phase I awardees that meet the eligibility requirements of a Phase II project.

To be eligible for a Phase II award, an applicant must have been funded by the USDA SBIR program as a Phase I project and have not previously applied for Phase II funding under this program. See section 1.4 of this solicitation for other eligibility requirements.

Objectives of the SBIR program include stimulating technological innovation in the private sector, strengthening the role of small businesses in meeting Federal research and development needs, increasing private sector commercialization of innovations derived from USDA-supported research and development efforts and fostering and encouraging participation by women-owned and socially and economically disadvantaged small business firms in technological innovation.

On December 31, 2011, the President signed into law the National Defense Authorization Act for Fiscal Year (FY) 2012 (Defense Reauthorization Act), Public Law 112-81, 125-Stat. 1298, Section 5001, Division E of the Defense Authorization Act contains the SBIR/STTR Reauthorization Act of 2011 (Reauthorization Act), which amends the Small Business Act and extends the SBIR program through 2017. This program is administered by the National Institute of Food and Agriculture (NIFA) of the

USDA.

In accordance with the changes in section 2.0 of this RFA, it has been modified to be consistent with the National Defense Authorization Act for Fiscal Year 2012 (i.e. commercialization, covered small business concern, and small business concern).

This program is subject to the provisions found at 7 CFR Part 3403. These provisions set forth procedures to be followed when submitting grant applications, rules governing the evaluation of applications and the awarding of grants and regulations relating to the post-award administration of grant projects.

NIFA will modify 7 CFR Part 3403 to, at a minimum, be consistent with the applicable definitions included in the National Defense Authorization Act for Fiscal Year 2012 and to address the applicability of 2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements For Federal Awards.”

For additional information on the USDA SBIR program, go to http://www.nifa.usda.gov/funding/sbir/sbir.html.

1.2 Three-phase Program

The USDA SBIR program is carried out in three separate phases. Phase I is to determine the scientific or technical feasibility of ideas submitted by applicants on research topic areas solicited by this program.

Phase II applications require a more comprehensive application, outlining the proposed effort in detail.

Phase II awards may not request more than $500,000 (see section 2.3.5 of this solicitation for details on budget requirements) for a period normally not to exceed 24 months. Only those small businesses previously receiving SBIR Phase I awards that have not previously applied for a Phase II are eligible to submit Phase II proposals in FY 2015. Please note that for each Phase I project funded, the awardee may apply for a Phase II award only once. At the appropriate time, the SBIR Program http://www.ecfr.gov/cgi-bin/text-idx?node=2:1.1.2.2.1&rgn=div5 http://www.nifa.usda.gov/funding/sbir/sbir.html will send a letter to FY 2012, 2013 and 2014 Phase I awardees eligible to submit Phase II applications with instructions for preparing these applications and a deadline date for submitting applications. Phase I awardees that were funded before 2012 and have not submitted for a Phase II will need to contact the SBIR staff on how to apply (sbir@nifa.usda.gov). This program solicitation is only for the preparation and submission of Phase II applications. USDA recognizes that Phase II awards may not be sufficient in either dollars or time for the firm to complete the total Research/ Research and Development (R/R&D) required to bring the project results to commercialization in the market place.

Therefore, completion of the research under these circumstances may have to be carried into Phase III.

The purpose of Phase III is to stimulate technological innovation and the national return on investment from research through the pursuit of commercialization objectives resulting from the USDA-supported work carried out in Phases I and II. Federal SBIR funds may not be used to support Phase III projects.

However, firms are strongly encouraged to secure Phase III funding from their own resources or from other public and private sources. Additionally, Phase III is to be conducted by the small business firm, including joint ventures and limited partnerships.

This SBIR program funding opportunity for FY 2015 Phase II applications has a closing date of February 26, 2015.

1.3 Potential Commercial Outcome

In addition to supporting scientific research and development, the program’s primary goal is to provide incentive and opportunity for small business firms to convert USDA-sponsored research to technological innovation in the private sector. All proposed research should have some potential commercial outcome at a national or global level. Phase II applicants are encouraged to obtain a contingent commitment for non- SBIR follow-on funding to pursue further development of the commercial potential during Phase III.

Obtaining follow-on financial commitment(s) is the responsibility of the applicant. For Phase II applicants to receive consideration of follow-on funding during the review and evaluation process, a signed contingent commitment between the small business firm and the entity providing the follow-on financial support should be submitted with the Phase II application. While such commitment agreements are optional when submitting Phase II proposals, they will receive special consideration as a point of merit in the review and evaluation process where proposals are evaluated as being of approximately equal technical merit. The maximum value (in Phase II evaluation) will be given for a signed formal agreement with reasonable terms and funding equal to or in excess of the Federal investment requested in the Phase II proposal. The agreement should set forth the specific amount of Phase III funds and should indicate the dates that such funds will be made available to the small business concern.

Also, the agreement should contain a few specific technical objectives which, if achieved in Phase II, will make the commitment usable by the small business firm. The terms cannot be contingent upon the obtaining of a patent due to the length of time this process requires.

The commitment may be in the form of venture capital or a package including venture capital, contract research and development, a joint venture, a research and development limited partnership, or other agreement with a non-SBIR source of funding. No amortization, repayment, or repurchase of commitment funds may be included during the Phase II period of performance.

USDA understands that any such commitment will likely be contingent upon the Phase II awardee attaining technical objectives that are mutually agreed upon between the small business firm and the provider of the follow-on funding. These objectives should be closely related to those delineated in the Phase II research proposal. The technical objectives should be clearly defined and measurable and should be specified in the commitment agreement at the threshold level that would justify such an investment.

mailto:sbir@nifa.usda.gov

The objectives do not have to be identical to those stated in the Phase II proposal, but they must be able to be accomplished within the scope of the proposed SBIR-funded research. Any letters or other forms of tentative commitment for follow-on Phase III funding from sources other than Federal SBIR Programs will be considered.

1.4 Eligibility

Only previous Phase I winners who have not previously applied for Phase II support are eligible to apply for Phase II support through this FY 2015 solicitation. A Phase I project may apply for Phase II funding one time only. Therefore, if a Phase I awardee has previously applied for Phase II funding and was not successful; the awardee is not allowed to resubmit the same project under this program solicitation.

Proposals for Phase II normally may only be submitted to the Federal agency from which the Phase I award was received.

Each applicant submitting an application must qualify as a small business concern for R/R&D purposes at the time of award, see definitions in section 9.0. A potential grantee that is a subsidiary must show that the parent company is also a small business entity and the parent company must provide documentation supporting their small business status (the documentation should be included in Field 12 “Other Attachments” of the Research and Related (R&R) Other Project Information form). If the parent company is not a small business entity, then the subsidiary is not eligible to submit an SBIR application.

In addition, the primary employment of the Project Director (PD) must be with the small business concern at the time of award and during the conduct of the proposed research, unless otherwise approved in writing by NIFA. Primary employment means that more than one-half of the PD’s time is spent in the employ of the small business concern. Primary employment with the small business precludes the applicant as a full-time employee with another organization. Any deviations from this requirement must be approved in writing by the USDA Authorized Departmental Officer (ADO) after consultation with the appropriate National Program Leader (NPL). While the PD must work more than one-half of his/her time for the small business during the entire grant period, there is no minimal time requirement for what percentage of the PD’s time is spent working on the proposed research.

(A) Size.

An SBIR awardee, together with its affiliates, must not have more than 500 employees. The small business concern must be the primary performer of the proposed research effort. In Phase II, a minimum of one-half of the research or analytical work, as determined by budget expenditures, must be performed by the proposing organization. Occasionally, deviations from this requirement may occur, and must be approved in writing by the ADO after consultation with the USDA SBIR NPL.

1.5 Agency Contacts

Applicants and other interested parties are encouraged to contact the SBIR NPL indicated below for more information about each topic area.

Dr. Kitty Cardwell (kcardwell@nifa.usda.gov) Telephone: (202) 401-1790 Fax: (202) 401-6070

8.13 Plant Production and Protection – Engineering

Dr. Charles Cleland (ccleland@nifa.usda.gov) Telephone: (202) 401- 6852 mailto:KCARDWELL@nifa.usda.gov mailto:ccleland@csrees.usda.gov

Fax: (202) 401- 6070

8.1 Forests and Related Resources

8.4 Air, Water, and Soil

8.7 Aquaculture

Dr. Denis Ebodaghe (debodaghe@nifa.usda.gov) Telephone: (202) 401-4385 Fax: (202) 401-6070

8.12 Small and Mid-Size Farms

Dr. Brent Elrod (belrod@nifa.usda.gov) Telephone: (202) 690-3468 Fax: (202) 401-6070

8.6 Rural Development

Dr. William Goldner (wgoldner@nifa.usda.gov) Telephone: (202) 401- 1719 Fax: (202) 401- 6070

8.8 Biofuels and Biobased Products

Dr. Shing Kwok (skwok@nifa.usda.gov) Telephone: (202) 401 - 6060 Fax: (202) 401- 6070

8.2 Plant Production and Protection- Biology

Ms. Mary Ann Rozum (mrozum@nifa.usda.gov) Telephone: (202) 401 - 4533 Fax: (202) 401- 6070

8.4 Air, Water, and Soil

Dr. Robert Smith (rsmith@nifa.usda.gov) Telephone: (202) 401 - 4892 Fax: (202) 401 - 6070

8.3 Animal Production and Protection

Dr. Jodi Williams (jwilliams@nifa.usda.gov) Telephone: (202) 720-6145 Fax: (202) 401-6070

8.5 Food Science and Nutrition

Questions of a general nature about this SBIR solicitation should be sent to sbir@nifa.usda.gov or can be directed to:

Mr. Scott Dockum (sdockum@nifa.usda.gov) Telephone: (202) 720-6346 Fax: (202)401-6070 Program Coordinator

Mr. Elden Hawkes (sbir@nifa.usda.gov) Telephone: (202) 401-6516 Fax: (202)401-6070 mailto:DEBODAGHE@nifa.usda.gov mailto:belrod@nifa.usda.gov mailto:wgoldner@csrees.usda.gov mailto:skwok@nifa.usda.gov mailto:mrozum@nifa.usda.gov mailto:rsmith@nifa.usda.gov mailto:jwilliams@nifa.usda.gov mailto:sbir@csrees.usda.gov mailto:sdockum@nifa.usda.gov

Program Specialist

1.6 Stakeholder Input

The National Institute of Food and Agriculture (NIFA) seeks your comments about this RFA. We will consider the comments when we develop the next RFA for the program, if applicable, and we’ll use them to meet the requirements of section 103(c)(2) of the Agricultural Research, Extension, and Education Reform Act of 1998 (7 U.S.C. 7613(c)(2)). Submit written stakeholder comments by the deadline set forth in the DATES portion of this Notice via e-mail to: Policy@nifa.usda.gov. (This e-mail address is intended only for receiving comments regarding this RFA and not requesting information or forms.) In your comments, please state that you are responding to the Small Business Innovation Research Phase II solicitation.

mailto:Policy@nifa.usda.gov

2.0 APPLICATION PREPARATION INSTRUCTIONS AND

REQUIREMENTS

2.1 Application Requirements

Applications must address only scientific and rural development research activities. A small business must not propose technical assistance, demonstration projects, classified research, or patent applications. Many of the research projects supported by the SBIR program lead to the development of new products based upon the research results obtained during the project. However, projects that seek funding solely for product development where no research is involved (i.e. the funds are needed to permit the development of a product based on previously completed research) will not be accepted. Research may be carried out through the construction and evaluation of a laboratory prototype, where necessary.

Literature surveys should be completed prior to the Phase II application and should not be proposed as part of the R&D effort. Phase II Applicants must respond to a topic area listed under section 8.0 that corresponds to the Phase I work that was previously funded.

The purpose of a research application is to provide a written statement that contains sufficient information to persuade members of the research community who review the application and then advise the USDA SBIR professional staff that the proposed research is a sound approach to an important scientific and/or rural development question and is worthy of support under the stated USDA evaluation criteria (see section 4.0). The application should be self-contained and written with the care and thoroughness accorded papers for publication. Each application should be reviewed carefully by the applicant prior to submission and by others knowledgeable on the subject to ensure inclusion of data essential for comprehensive evaluation.

2.2 USDA SBIR Application Submission Overview

For all FY 2015 Phase II applications, the USDA SBIR program will require electronic application submission through Grants.gov (www.grants.gov). Submission through Grants.gov requires the use of forms located at the Grants.gov Website. Applications not submitted electronically are not eligible to be considered for a Phase II SBIR award and will not be reviewed.

Please note that NIFA has developed both this Program Solicitation and a NIFA document titled “A Guide for Preparation and Submission of NIFA Applications via Grants.gov,” also known as the “NIFA Grants.gov Application Guide,” to assist in completing the application forms. Both of these documents are needed to complete the application process. Sections 2.0 and 3.0 of this program solicitation provides additional information that is specific to the USDA SBIR program. Applicants are advised to refer to this program solicitation and NIFA Grants.gov Application Guide to determine if specific information is required during the submission of the forms on Grants.gov.

Steps to Obtain Application Package Materials

To receive application materials:

1. You must download and install a version of Adobe Reader compatible with Grants.gov to access, complete, and submit applications. For basic system requirements and download instructions, see http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html. Grants.gov has a test package that will help you determination whether your current version of Adobe Reader is compatible.

http://www.grants.gov/ http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html

2. To obtain the application package from Grants.gov, go to http://www.grants.gov/web/grants/applicants/apply-for-grants.html. Under Step 1 click on “Download a Grant Application Package,” and enter the funding opportunity number USDA- NIFA-SBIR-004815 in the appropriate box and click “Download Package.” From the search results, click “Download” to access the application package.

Contained within the application package is the “NIFA Grants.gov Application Guide.” This guide contains an introduction and general Grants.gov instructions, information about how to use a Grant Application Package in Grants.gov, and instructions on how to complete the application forms.

2.2.1 Resources

If you require assistance to access the application package (e.g., downloading or navigating Adobe forms) or submitting the application, refer to resources available on the Grants.gov website (http://www.grants.gov/web/grants/applicants/applicant-resources.html). Grants.gov assistance is also available at:

Grants.gov customer support 800-518-4726 Toll-Free or 606-545-5035

Business Hours: 24 hours a day, 7 days a week. Closed on federal holidays.

Email: support@grants.gov

Grants.gov iPortal: Top 10 requested help topics (FAQs), Searchable knowledge base, self-service ticketing and ticket status, and live web chat (available 7 am - 9 p.m. ET).

Get help now!

Have the following information available when contacting Grants.gov:

• Funding Opportunity Number (FON)

• Name of agency you are applying to

• Specific area of concern

See http://www.nifa.usda.gov/funding/electronic.html for additional resources for applying electronically.

Any program-specific questions concerning the USDA SBIR program, such as the appropriateness of your proposed research or work plan, should be directed to the NPL responsible for the topic area where you wish to submit your application, see section 1.5 and 8.0. For general questions you can also contact the USDA SBIR office at sbir@nifa.usda.gov or 202-401-4002.

2.2.2 Registration Procedures for Companies

Information related to the steps necessary to submit an application through Grants.gov can be found at http://www.grants.gov/applicants/organization_registration.jsp. The registration procedure for companies or individual proprietorships intending to submit a grant application through Grants.gov requires several steps and must be finished prior to submitting an application. The registration process can take up to one month to complete so it is critical that companies begin this process as soon as possible. Companies that have previously registered with Grants.gov must contact Grants.gov to ensure that all company registrations are updated and complete prior to submission. Grants.gov requires all companies to update their registration on an annual basis. For more information http://www.grants.gov/web/grants/applicants/apply-for-grants.html http://www.grants.gov/web/grants/applicants/applicant-resources.html http://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/%23url=2014 mailto:support@grants.gov https://grants-portal.psc.gov/Welcome.aspx?pt=Grants http://www.nifa.usda.gov/funding/electronic.html http://www.grants.gov/applicants/organization_registration.jsp regarding the Grants.gov registration process go to http://www.grants.gov/web/grants/register.html.

All companies that are submitting an application to any SBIR solicitation are required to register with the SBIR company registry. Information related to the steps necessary to register with the SBIR company registry through SBA.gov can be found at http://www.sbir.gov/registration.

2.2.3 Special Considerations

Complete, error-free applications must be submitted via Grants.gov by 5:00 p.m. Eastern Time on February 26, 2015. Applications submitted after this deadline will result in the application being excluded from review.

Applicants must allow additional time for electronic submission and plan ahead to allow time for correction of technical errors identified by Grants.gov. It is recommended that applicants begin submitting their completed application at least one day prior to the deadline. USDA SBIR will rarely accept late applications. Exceptions are made for delays due to natural disasters or technical problems experienced by Grants.gov. Documentation of the problem will be required. Exceptions made for technical problems will be for Grants.gov system failures or when the applicant can document a reasonable effort to overcome Grants.gov submission problems prior to the deadline. Applicants who have problems with their submissions to Grants.gov must call the Grants.gov help desk to resolve the problems and keep a record of the following:

1. Grants.gov Tracking Numbers

2. Case numbers provided by Grants.gov

3. Any correspondence with Grants.gov regarding the submission problem

4. Any correspondence with SAM and Dunn and Bradstreet during the registration process

Once the application is successfully submitted to Grants.gov the applicant must forward the information above via email to sbir@nifa.usda.gov. Information obtained from the case number and correspondence will be used to verify if the submission problem was due to a Grants.gov system failure or due to a problem with the applicant. This information will be used to determine the final decision to accept or not accept a late application.

Throughout the program solicitation, the following is specified, “Attachment Format – (PDF Format is Required).” All attachments must be submitted in the Portable Document Format (PDF). Applications that do not follow the guidelines for attachments are not eligible to be considered for a Phase II SBIR award and will not be reviewed. Additionally applicants should refer to Part III, 3.1 of the NIFA Grants.gov Application Guide for attachment requirements. It is the responsibility of the applicant to correctly submit the attachments in the correct format. Grants.gov will not check the application for adherence to this requirement at the time of submission.

THE USDA SBIR PROGRAM WILL ONLY ACCEPT ATTACHMENTS IN PDF.

Throughout the full announcement, the following is specified, “Attachment Format – (PDF Format is Required).” Applicants should note that the attachments must be in the correct PDF format and must not be password protected and the file name not contain any special characters as identified in section 3.1 of the NIFA Application Guide. It is the responsibility of the applicant to correctly submit the attachments in the correct format. Grants.gov will not check the application for adherence to this requirement at the time of submission.

http://www.grants.gov/web/grants/register.html http://www.sbir.gov/registration

Applicants must request a federal budget that is reasonable and must not exceed a ceiling of $500,000.00 for 24 months. If an applicant requests a fee, the combined total of “Section I - Total Direct and Indirect Costs” and “Section J – Fee” on the Research & Related (R&R) Budget form must not exceed the ceiling of this full announcement. Budget requests that exceed the ceiling of this full announcement will be excluded from review.

Applicants must ensure that the budget provided in the R&R Budget forms matches the requested budget amount found in field 15 (a) on the SF–424 form and that this number does not exceed the budget ceiling.

Applications with a budget request over the ceiling on either of these forms will be excluded from review.

Grants.gov provides online tools to assist if you do not own PDF-generating software. You will find PDF conversion software at http://test.grants.gov/web/grants/support/technical-support/software/pdf-conversion-software.html.

PDF documents submitted as a part of the application must also adhere to the following guidelines:

• margins not less than 1 inch; 2.5 cm on all sides;

• type no smaller than 12 point font size regardless of whether it is single or double spaced;

• Font type should be Times New Roman, Geneva, Helvetica, Arial;

• Tables and graphics may be included; text for captions, headings and graphic explanations must not be smaller than 9 point and must be the same font type as the rest of the application; and

• All documents must be submitted without file protection.

ANY PROPOSALS CONTAINING NON-PDF DOCUMENTS WILL BE AT RISK OF BEING

EXCLUDED FROM NIFA REVIEW. Incomplete applications will also be excluded from NIFA review.

Page Limitations

Applications submitted electronically via Grants.gov consist of forms and PDF attachments. Page limitations for certain attachments must be followed, see section 2.3.2 APPLICATIONS THAT DO

NOT FOLLOW THE PAGE LIMITS OUTLINED IN SECTION 2.3.2 ARE NOT ELIGIBLE TO

BE CONSIDERED FOR A PHASE II SBIR AWARD AND WILL BE EXCLUDED FROM NIFA

REVIEW. Applicants must ensure that the abstract and project narrative attachments meet the required page limits regardless of whether the document is single or double spaced.

Changes, Additions or Corrections

Modifications to the application will not be accepted after the closing date of this program solicitation. Under some circumstances, changes, additions, or corrections may be necessary to an application submitted to the USDA SBIR program via Grants.gov before the specified program solicitation closing date. Modifications to applications will require a resubmission of the entire application package and the applicant must notify the program at sbir@nifa.usda.gov of the resubmission.

Submitting changes to Grants.gov without contacting the program could significantly delay your application submission and may result in the application not being reviewed.

2.3 Application Guidelines

Those who wish to submit an application to the USDA SBIR program should submit the following components and associated attachments via Grants.gov.

http://test.grants.gov/web/grants/support/technical-support/software/pdf-conversion-software.html http://test.grants.gov/web/grants/support/technical-support/software/pdf-conversion-software.html

If there is a discrepancy between the program solicitation and the NIFA Grants.gov Application Guide, the information contained in this program solicitation is overriding.

Below are instructions for completing each field within each of the forms required in the application package. Page limitations indicated in bold are appropriate for a given section/attachment.

2.3.1 SF-424 R&R Cover Sheet

Information related to the questions on this form is dealt with in detail in Part V, 2 of the NIFA Grants.gov Application Guide unless otherwise noted below.

Field 4. Make sure to include the application number of the previous submission at the top of this section.

Field 5. Please note: the USDA SBIR program’s official correspondence will be with either the PD or AOR.

Field 12. Proposed Project Start Date and End Date – The proposed duration of Phase II projects should normally not exceed 24 months, except in special, justified circumstances. In most circumstances, the following dates should be used for these fields:

Start End Phase II 9/1/2015 8/31/2017

Field 17. Complete Certification – Please refer to the NIFA Grants.gov Application guide for information on the Certifications that are being agreed to by checking this box.

NOTE: An applicant who is delinquent on Federal debts must attach explanatory information detailing all relevant particulars concerning the Federal debt in PDF format in Field 12 of the R&R Other Project Information form (Other Attachments).

Field 20. Pre-application – This is not applicable to the USDA SBIR program. No attachments should be added.

2.3.2 R&R Other Project Information

Information related to the questions on this form is dealt with in detail in Part V, 4 of the NIFA Grants.gov Application Guide unless otherwise noted below.

Field 7. Project Summary/Abstract - (PDF Format is Required)

1 PAGE is the Page Limit for the Summary/Abstract.

In the technical abstract, include a brief description of the problem or opportunity, project objectives, and a description of the effort. Provide another paragraph discussing the anticipated results and potential commercial applications of the proposed research. The project summary/abstract of successful applications may be published by USDA and, therefore, should not contain proprietary information.

It is the responsibility of the applicant to review the attachment for page limit and PDF compliance before submission. Applicants must ensure that the abstract attachment meets the required page limit even if single or double spaced. Applications that exceed required page limits will be excluded from review.

Field 8. Project Narrative - (PDF Format is Required)

20 PAGES is the Page Limit for the Project Narrative.

NOTE: Applicants must submit their attachments within the required page limits identified in this program solicitation. The USDA SBIR Program encourages applicants to only include information pertaining to the items listed below. Applicants must not include additional information such as cover sheets, table of contents, reference listings, budgets, and appendixes unless the applicant intends for these to be considered in the page count. It is the responsibility of the applicant to review the attachment for page limit and PDF compliance before submission.

(1) Responsiveness to USDA SBIR Program Priorities – Please indicate if the application has a connection to agriculturally-related manufacturing technology or alternative and renewable energy, see section 8.0. Provide a brief explanation of how the application is related to the area indicated.

(2) Prior USDA Support – USDA is interested in documenting examples of SBIR projects that are developing new technologies based on earlier USDA-supported research and development projects awarded to the proposing small business, university, or government scientist collaborators by other USDA research and development programs, such as the Agricultural Food and Research Initiative (AFRI). If any such support exists, it should be documented in this section by listing the PD, application title, organization that received the award, and the USDA program that awarded the project.

(3) Identification and Significance of the Problem or Opportunity – Clearly state the specific technical problem or opportunity addressed and its importance.

(4) Background and Rationale – Indicate the overall background and technical approach to the problem or opportunity as identified in the Phase I project. Describe the part that the proposed Phase II research plays in providing needed results to scale up the research and development and commercialization. As a part of this section, it is critical that applications adequately cite relevant scientific literature. Moreover, all citations provided must be properly referenced in the Bibliography & References Cited attachment (see 2.3.2 – Field 9).

(5) Relationship with Research or Research and Development – Discuss the results of the Phase I project. Include a discussion of the overall background of the Phase I project, a list of the Phase I technical objectives, a presentation of a detailed description of the Phase I results, a clear interpretation of the results, and conclusions as to the feasibility of the project. This section is where the Phase II applicant establishes technical feasibility by presenting results from Phase I.

Therefore, this section should provide an adequate discussion of Phase I results. The applicant should also state the anticipated results of the proposed approach if the project is successful. In Phase II proposals, this section should constitute a substantial portion of the project narrative.

(6) Technical Objectives – State the specific objectives of the research or R&D effort. Include the technical questions needed to establish the technical feasibility of the proposed approach.

(7) Work Plan – The work plan must provide an explicit, detailed description of the research or research and development approach. The plan should list the tasks to be performed, provide details of the methodology that would be used to research each task, including statistical analysis, if applicable, and indicate how and where the work will be carried out. The work plan should be linked with the technical objectives of the research and the questions the effort is designed to answer. This section should constitute a substantial portion of the project narrative.

(8) Related Research or Research and Development – Describe significant research or R&D activities that are directly related to the proposed effort, including any conducted by the project director or by the proposing small business concern, how the proposed effort expands on the related work, and any planned coordination with outside sources. The applicant must persuade reviewers that he or she is aware of related research in the selected subject. It is critical that the applicant make a convincing case that the proposed research builds upon previous research and, if successful, will lead to the development of new product, process, service, or technology or to substantial improvement of an existing product, process, service, or technology.

(9) Potential Post Application – In Phase II, commercialization potential is more important and thus a more extensive commercialization plan must be presented (see Section 2.3.8).

(10) Satisfying the Public Interest – Specify how the proposed research will satisfy one or more of the following USDA strategic goals: (more information can be found at www.usda.gov/ocfo/usdasp/usdasp.htm)

a. Strategic Goal 1: Assist Rural Communities to Create Prosperity so They Are Self- Sustaining, Repopulating, and Economically Thriving

b. Strategic Goal 2: Ensure Our National Forests and Private Working Lands11 Are Conserved, Restored, and Made More Resilient to Climate Change, While Enhancing Our Water Resources

c. Strategic Goal 3: Help America Promote Agricultural Production and Biotechnology Exports as America Works to Increase Food Security

d. Strategic Goal 4: Ensure that All of America’s Children Have Access to Safe, Nutritious, and Balanced Meals

Field 10 Facilities & Other Resources - (PDF Format is Required)

Describe the types, location, and availability of instrumentation and physical facilities necessary to carry out the work proposed.

Field 11 Equipment Documentation - (PDF Format is Required)

Describe the types, location, and availability of equipment necessary to carry out the work proposed.

Items of equipment to be purchased must be fully justified under this section. When purchasing equipment or a product under the SBIR funding agreement, the small business should purchase only American-made items whenever possible.

Field 12. Other Attachments – (PDF Format is Required) See Part V, 4.12 of the NIFA Grants.gov Application Guide for instructions for documentation to be included in this field. The following are additional instructions for documentation that may be required for your application.

http://www.usda.gov/ocfo/usdasp/usdasp.htm

1. Use of Facilities or Equipment – If university facilities, private facilities, or government laboratories are being used, there must be a letter in the application from the authorized organizational representative of the university, private facility, or government laboratory describing the arrangement and testifying that the facilities will be subject to the exclusive use and control of the applicant.

2. Outside Services – Involvement of university, government, or other outside personnel in the planning and research stages of the project as consultants or through subcontracting arrangements is permitted and may be particularly helpful to small businesses that have not previously received Federal research awards. Establishment of a Cooperative Research and Development Agreement (CRADA) with a USDA laboratory or other Federal laboratory may also be beneficial to proposing firms. If the application involves outside consultants, subcontracts, or involvement with a CRADA partner, these arrangements should be described in detail. Applications must include letters from proposed consultants, subcontractors or CRADA cooperators indicating their willingness to serve in order for such participation to be considered during the application review and evaluation process (see subsection 4.3 as appropriate).

3. Letters of Support – General letters of support from potential end-users of the technology or from individuals/organizations that want to express support for the application.

4. Duration Exceeds Normal Project Period – (4) Duration Exceeds Normal Project Period – The proposed duration of Phase II projects should normally not exceed 24 months, except in special, justified circumstances.

5. Applicant is a Subsidiary – A potential grantee that is a subsidiary must show that the parent company is also a small business entity and the parent company must provide documentation supporting their small business status. The subsidiary must provide documentation to support its independent viable financial status.

6. Statement as to Delinquency on Federal Debts by Applicants for Federal Assistance – An applicant that is delinquent on Federal debts must attach, in PDF format, explanatory information detailing all relevant particulars concerning the Federal debt.

7. Non-Domestic Performance Explanation – In the budget justification, provide the purpose, the destination, method of travel, number of persons traveling, number of days, and estimated cost for each trip. If details of each trip are not known at the time of application submission, provide the basis for determining the amount requested. All Applicants MUST note that per the terms and conditions of the award “All foreign travel performed under this project must be approved in writing by USDA-NIFA prior to departure. If foreign travel is authorized under this project, the approved budget will identify funds for this purpose. Where foreign travel is contemplated subsequent to the effective date of the project, a written request must be submitted to the USDA- NIFA outlining the purpose of the proposed trip, the inclusive dates of travel, the destination, and estimated costs involved.”

2.3.3 R&R Senior/ Key Person Profile - (PDF Format is Required)

Applicants must fill out a profile for the PD and anyone who will be supported by the budget. For instructions on completing the profile part of this form, applicants must reference Part V.5 of the NIFA Grants.gov Application Guide for directions.

2.3.4 R&R Personal Data

As noted in Part V.6 of the NIFA Grants.gov Application Guide, the submission of this information is voluntary and is not a precondition of award.

2.3.5 R&R Budget - (PDF Format is Required)

Information related to the questions on this form is dealt with in detail in Part V, 7 of the NIFA Grants.gov Application Guide unless otherwise noted below. Applicants who plan to have a sub award (subcontract) will need to reference section 2.3.6 for directions.

A Research and Related Budget form must be completed for each year (or partial year) for which work is proposed under this program solicitation. Applicants must ensure that the budget provided in the R&R Budget forms matches the requested budget amount found in Field 15(a) on the SF–424 form and that this number does not exceed the budget ceiling.

Applicants must request a federal budget that is reasonable and must not exceed a ceiling of $500,000.00 for 24 months. If an applicant requests a fee, the combined total of “Section I - Total Direct and Indirect Costs” and “Section J – Fee” on the Research & Related (R&R) Budget form must not exceed the ceiling of this program solicitation. Budget requests that exceed the ceiling of this program solicitation will be excluded from review.

Applicants should note that the USDA SBIR Program requires Phase II grantees to participate in a Phase II Commercialization Assistance Training Program (CATP). Currently, the USDA SBIR Program expects to cover $10,000.00 of commercialization assistance expenses for each awarded project, except for travel costs to attend a two (2) day USDA SBIR commercialization workshop that will be held in the Washington DC area and the time needed to complete the program requirements. On average the grantee will spend approximately 65 to 80 hours completing the CATP requirements, therefore the applicant may include in the proposed budget the travel and time needed to participate and complete the CATP. The USDA budgeted amount ($10,000) must not be included in the requested budget submitted with the application since this amount is paid directly to the contractor.

Fields C1-C11. Equipment Description - Performing organizations are expected to have appropriate facilities, suitably furnished and equipped. However, funding for items of equipment may be requested provided that they are specifically identified with the dollar amount and adequately justified, see Field K of the R&R Budget.

Field D1. Domestic Travel - Applicants must include in their budget, travel expenses to the Washington DC area for a two (2) day commercialization assistance workshop. For additional information on this section applicants must reference the NIFA Grants.gov Application Guide for directions.

Field D2. Foreign Travel Costs Funds Requested - Requests for foreign travel must be approved based on the justification provided in the application. In the budget justification, provide the purpose, the destination, method of travel, number of persons traveling, number of days and estimated cost for each trip. If details of each trip are not known at the time of application submission, provide the basis for determining the amount requested. All Applicants MUST note that per the terms and conditions of the award “All foreign travel performed under this project must be approved in writing by USDA-NIFA prior to departure. If foreign travel is authorized under this project, the approved budget will identify funds for this purpose. Where foreign travel is contemplated subsequent to the effective date of the project, a written request must be submitted to the USDA-NIFA outlining the purpose of the proposed trip, the inclusive dates of travel, the destination, and estimated costs involved.”

Fields E 1-5. Participant/Trainee Support Costs - Applicants must reference the NIFA Grants.gov Application Guide for directions.

Fields F 1-10. Other Direct Costs - Applicants must reference the NIFA Grants.gov Application Guide for directions.

Field G. Direct Costs - Applicants must reference the NIFA Grants.gov Application Guide for directions.

Fields H 1-4. Indirect Costs - Applicants must reference the NIFA Grants.gov Application Guide for directions.

Field J. Fee - Applicants must reference the NIFA Grants.gov Application Guide for directions. If an applicant requests a fee, the combined total of “Section I - Total Direct and Indirect Costs” and “Section J – Fee” on the Research & Related (R&R) Budget form must not exceed the ceiling of this program solicitation.

Field K. Budget Justification – (PDF Format is Required) - A budget justification with supporting detail for each budget category as noted in items (1) through (5) of this subsection must be attached. A budget justification is required for each entity for which a Research and Related Budget Form is submitted.

(1) Salaries and Wages - Indicate the number and kind of personnel for whom salary support is sought, including job tasks. For key personnel, also indicate the number of work months of involvement to be supported with USDA funds, and explain how the level of compensation was established (e.g., the hourly rate of pay, the monthly rate of pay, or the yearly rate of pay).

(2) Equipment - Performing organizations are expected to have appropriate facilities, and be suitably furnished and equipped. However, funding for items of equipment may be requested provided that they are specifically identified with the dollar amount and adequately justified. The limit for Phase I of 10 percent does not apply to Phase II budgets; however, Phase II equipment purchases must be adequately justified. Equipment is defined as an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost of $5000 or more per unit.

Awardees are usually allowed to retain title to equipment purchased with funding provided under a SBIR funding agreement. However, in some instances, USDA may direct the awardee to vest title to a third party. Awardees should plan to lease expensive equipment. The inclusion of equipment will be carefully reviewed with respect to need and appropriateness for the research proposed.

(3) Materials and Supplies - The types of expendable materials and supplies required should be indicated in general terms with estimated costs.

(4) Travel - The type and extent of travel and its relationship to the project should be specified. Funds may be requested for field work or for travel to professional meetings. Requests for foreign travel may be approved by USDA-NIFA based on the justification provided in the application and the terms and conditions for the grant. In the budget justification, provide the purpose, the destination, method of travel, number of persons traveling, number of days, and estimated cost for each trip. If details of each trip are not known at the time of application submission, provide the basis for determining the amount requested.

(5) All Other…