FY 21 Small Business Research Innovation -Phase I.pdf

Small Business Innovation Research Program Phase I

MODIFICATION:

This RFA is an updated version of the FY 2020 solicitation. It includes only the references to FY 2021 funding;

Page 1- Application deadline; Page 2- Application deadline; Page 7- Budget cap;

Page 8- Topic Area 8.1 Program contact; Page 10- Topic Area 8.2 Program contact;

Page 11- Topic Area 8.3 Program contact; Page 13- Topic Area 8.4 Program contact;

Page 14- Topic Area 8.5 Program contact; Page 16- Topic Area 8.6 Program contact;

Page 18- Topic Area 8.7 Program contact; Page 20- Topic Area 8.8 Program contact;

Page 22- Topic Area 8.12 Program contact; Page 24- Topic Area 8.13 Program contact;

Page 27- Budget cap; Page 32- Contact information;

Page 33- Contact information; Page 34- Letter of Intent Number;

Page 36- Narrative line spacing; Page 46- Application deadline;

Page 48- NIFA peer review process; Page 55- Contact information

Page 63- Agency contacts

Fiscal Year (FY) 2021 Request for Applications (RFA)

APPLICATION DEADLINES:

FY 2021 Applications are Due October 22, 2020

ELIGIBILITY: See Part III, A of RFA

NATIONAL INSTITUTE OF FOOD AND AGRICULTURE; U.S. DEPARTMENT OF

AGRICULTURE

Small Business Innovation Research Program Phase I

PHASE I ANNOUNCEMENT

Assistance Listing (AL). The Small Business Innovation Research (SBIR) program Phase I is listed in the beta.SAM.gov Assistance Listings [formerly known as the Catalog of Federal Domestic Assistance (CFDA)] number 10.212.

Table 1: Key Dates and Deadlines Task Description Deadline

Application: 5:00 P.M. Eastern, FY 2021: October 22, 2020

Letter of Intent: Not Required Applicants Comments: Within six months from the issuance of this notice

(NIFA may not consider comments received after the sixth month)

STAKEHOLDER INPUT:

The National Institute of Food and Agriculture (NIFA) seeks comments on all request for applications (RFAs) so it can deliver programs efficiently, effectively, with integrity, and with a focus on customer service. NIFA considers comments, to the extent possible when developing RFAs and use comments to help meet the requirements of Agricultural Research, Extension and Reform Act of 1998 (7 U.S.C. 7613(c)(2)). Applicants may submit written comments to Policy@usda.gov (email is for comments only). Please use the following subject line: Response to the Small Business Innovation Research Program Phase II RFA.

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EXECUTIVE SUMMARY

This notice identifies the objectives for the Small Business Innovation Research (SBIR) Program Phase II projects, deadlines, funding information, eligibility criteria for projects and applicants, and application forms, and associated instructions.

The USDA SBIR program focuses on transforming scientific discovery into products and services with commercial potential and/or societal benefit. Unlike fundamental research, the USDA SBIR program supports small businesses in the creation of innovative, disruptive technologies and enables the application of research advancements from conception into the market.

Different from most other investors, the USDA SBIR Program funds early or "seed" stage research and development that has a commercial potential. The program provides equity-free funding and entrepreneurial support at the earliest stages of company and technology development.

NIFA requests applications for the Small Business Innovation Research (SBIR) Program Phase II for fiscal year (FY) 2021 from previous SBIR Program Phase I awardees. This RFA is being released prior to the passage of an appropriations act for FY 2021. Enactment of additional continuing resolutions or an appropriations act may affect the availability or level of funding for this program and may delay the start date of Phase II grants.

TABLE OF CONTENTS

PART I—FUNDING OPPORTUNITY DESCRIPTION………………………………

A. Legislative Authority and Background B. Purpose and Priorities C. SBIR Phase I topic areas D. Potential Commercial Outcome

PART II—AWARD INFORMATION

A. Available Funding B. Types of Applications C. Project Types D. Responsible and Ethical Conduct of Research

PART III—ELIGIBILITY INFORMATION

A. Eligible Applicants B. Cost Sharing or Matching

PART IV—APPLICATION AND SUBMISSION INFORMATION

A. Electronic Application Package B. Small Business Administration (SBA) Registration C. Content and Form of Application Submission D. Funding Restrictions E. Submission Dates and Times F. Other Submission Requirements

PART V—APPLICATION REVIEW REQUIREMENTS

A. General B. Evaluation Criteria C. Conflicts of Interest, Confidentiality D. Proprietary Information E. Rights in Technical Data F. Copyrights G. Patents and Inventions H. Research Involving Special Considerations I. Grantee Commitments J. Additional Information K. Organizational Management Information L. Application Disposition

PART VI—AWARD ADMINISTRATION

A. General B. Award Notice C. Administrative and National Policy Requirements D. Expected Program Outputs and Reporting Requirements

PART VII. OTHER INFORMATION

A. Use of Funds and Changes in Budget B. Confidential Aspects of Applications and Awards C. Regulatory Information D. Materials Available on the Internet

APPENDIX I: AGENCY CONTACTS

APPENDIX II: GLOSSARY OF TERMS

APPENDIX III: DEFINITIONS

TABLE OF TABLES

Table 1: Key Dates and Deadlines Table 2. Steps to Obtain Application Materials Table 3: Help and Resources Table 4: Key Application Instructions

PART I—FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority and Background

The National Defense Authorization Act for Fiscal Year 2017 (Pub. L. 114–328, §1834(a) Extension of SBIR and STTR programs) amended the SBIR Small Business Act (15 U.S.C. 638) and extended its implementation through September 30, 2022. Policy is provided by the Small Business Administration (SBA) through the SBIR Policy Directive. A main purpose of the legislation is to stimulate technological innovation and increase private sector commercialization. The USDA SBIR program is therefore in a unique position to meet both the goals of USDA and the purpose of the SBIR legislation by transforming scientific discovery and innovation into both social and economic benefit, and by emphasizing private sector commercialization.

The SBIR program is Congressionally mandated and intended to support scientific excellence and technological innovation through the investment of federal research funds to build a strong national economy by stimulating technological innovation in the private sector; strengthening the role of small business in meeting federal research and development needs; increasing the commercial application of federally supported research results; and fostering and encouraging participation by socially and economically disadvantaged and women-owned small businesses.

B. Purpose and Priorities

Because the USDA program currently has no specific procurement focus, the USDA offers ten

(10) solicitation topic areas that are intended to permit a broad spectrum of eligible and innovative science- and technology-based small businesses to compete for funding. The topics are detailed within this solicitation.

This program is administered by the National Institute of Food and Agriculture (NIFA) of the United States Department of Agriculture (USDA).

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.

The USDA NIFA SBIR program is carried out in three separate phases. This program solicitation is only for the preparation and submission of Phase I applications. The aim of a Phase I project should be to demonstrate technical feasibility of the proposed innovation and thereby bring the innovation closer to commercialization. Proposals should describe the development of an innovation that demonstrates the following characteristics:

1. Involves a high degree of technical risk – for example, has never been attempted and/or successfully achieved and, is still facing technical hurdles (that the USDA-funded R&D work is intended to overcome).

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2. Has the potential for significant commercial impact and/or societal benefit, as evidenced by: having the potential to disrupt the targeted market segment; having good product-market fit (as validated by customers); removing barriers to entry for competition;

offering potential for societal benefit (through commercialization under a sustainable business model).

3. Phase I awards may not exceed $100,000, or $106,500 with Technical and Business

Assistance (TABA) for a period normally not to exceed eight (8) months.

4. The Phase I application should concentrate on research that will significantly contribute to proving the scientific or technical feasibility of the approach or concept, describe the potential market for the innovation and will be a prerequisite to further USDA SBIR support in Phase II.

Phase II applications continue the R&D developed under Phase I to commercialize the innovation. Phase II will require a more comprehensive application, outlining the proposed effort in detail and the commercialization strategy for the effort. Only prior Phase I grant recipients are eligible to submit a Phase II application at the conclusion of the Phase I grant period. USDA NIFA SBIR typically announces the Phase II RFA in late November or early December with a deadline in early March. USDA NIFA recognizes that Phase I and II awards may not be sufficient in either dollars or time for the firm to complete the total R/R&D and the commercialization activities required to bring the project results to a marketplace. Therefore, completion of the research under these circumstances may have to be carried into Phase III.

Phase III refers to work that derives from, extends, or logically concludes effort(s) performed under prior SBIR funding, but is funded by sources other than the SBIR Program. Phase III work is typically oriented towards commercialization of the SBIR innovation or technology.

In addition, the SBIR program is aligned with the following USDA strategic goals (https://www.usda.gov/sites/default/files/documents/usda-strategic-plan-2018-2022.pdf).

1. Strategic Goal 2: Maximize the Ability of American Agricultural Producers To Prosper by Feeding and Clothing the World and specifically addresses Objectives 2.1, 2.2, and 2.3.

2. Strategic Goal 3: Promote American Agricultural Products and Exports and specifically addresses Objective 3.1.

3. Strategic Goal 4: Facilitate Rural Prosperity and Economic Development and specifically addresses Objective 4.1.

4. Strategic Goal 5: Strengthen the Stewardship of Private Lands Through Technology and Research and specifically addressed Objectives 5.1, 5.2, and 5.3.

5. Strategic Goal 6: Ensure Productive and Sustainable Use of our National Forest System Lands and specifically Objectives 6.1, 6.2, and 6.3.

6. Strategic Goal 7: Provide All Americans Access to a Safe, Nutritious, and Secure Food Supply and specifically Objectives 7.1, 7.2, and 7.3.

https://www.usda.gov/sites/default/files/documents/usda-strategic-plan-2018-2022.pdf

C. SBIR Phase I topic areas

Applicants are encouraged to submit applications that address the research priorities stated for each topic area described in this RFA (see topic areas 8.1 through 8.13 below). Applicants should pay attention to specific instructions located within each of the topic area descriptions when developing their application. Each topic area description provides background information, research priorities and other key information. Although applicants should apply to the topic area they deem most appropriate, USDA NIFA reserves the right to shift applications between topic areas when necessary to achieve the most effective review. If an application is shifted from one topic area to another, NIFA will notify the applicant. Questions regarding the suitability of research for a specific topic area should be directed to the appropriate National Program Leader (NPL) identified in the topic area below.

Forests and Related Resources – Topic Area 8.1

Contact Dr. Patrick Cassidy, NPL for SBIR Forests and Related Resources at patrick.cassidy@usda.gov or (202) 906-0614 regarding questions about the suitability of research topics or to arrange a telephone consultation.

Background

The Forests and Related Resources topic area aims to address the health, diversity and productivity of the Nation’s forests and grasslands to meet the needs of present and future generations through the development of environmentally sound approaches to increase productivity of forest lands, improve sustainability of forest resources, and develop value-added materials derived from woody resources. New technologies are needed to enhance the protection of the Nation’s forested lands and forest resources and help to ensure the continued existence of healthy and productive forest ecosystems. Proposals focused on sustainable bioenergy and development of value-added biofuels from woody biomass, and on the influence of climate change on forest health and productivity are strongly encouraged. Proposals that utilize nanotechnology in their approach to developing new wood-based products or that utilize wood-based nano-materials are also encouraged.

To meet the identified needs in forestry and wood utilization, the program’s long-term goals (10 years) are to achieve increased utilization of woody resources for value-added products from wood; healthy and sustainable forest ecosystems that are more resilient to wildfires and the impact of pathogens and insects; improved environmental and economic methods of sustainable harvesting; and improved growth and yield of forest species that will lead to more efficient use of forested lands.

Research Priorities:

Examples of appropriate subtopics for research applications from small businesses include, but are not limited to the following:

1. Growth and Yield

Improving growing stock, tissue culture, genetic manipulation or vegetative reproduction of mailto:patrick.cassidy@usda.gov forest trees, and other means of increasing the regenerative abilities of forests; developing systems to increase the survival of newly planted trees through mechanical, physical or chemical means that are environmentally safe and through improved nutrient/water utilization; reducing the adverse impact of pathogens and insects by developing better methods to monitor infestations and improved control strategies for combating insects and pathogens that attack important woody species.

2. Increasing the Utility of Forest-Grown Material

Research to improve the yield of lumber, pulp fiber and specialty chemicals from trees;

utilizing a greater percentage of the tree through improved techniques of production, for the creation of new or improved reconstituted products; developing better methods for manufacturing wood-based products and testing products for performance and durability;

and developing improved methods for the production of paper.

3. Reducing Ecological Damage by Forest Operations Research to reduce soil erosion, compaction, water degradation or other alterations caused by harvesting and/or other forest operations, provisions for the economic recovery of resources from forests while raising potential productivity and reducing impacts to the ecological structure of the area of operation.

4. Urban Forestry Research to promote the growth of forested land in urban areas, such as greenways, parks, and strategically planted urban trees, to address problems of forest fragmentation, the introduction of invasive species, and the impact of urban forested land on air and water quality and quality of life improvements.

5. Climate Change

Research to address the issue of ecosystem adaptation to climate change, ways to enhance carbon sequestration and reduce greenhouse gas emissions, development of decision support tools for forest managers and markets for forest ecosystem services.

6. Developing Technology that Facilitates the Management of Wildfires on Forest Lands

Research that provides systems for detecting and managing wildfires; systems for reducing fuel loads in forests; tools and equipment for improving the efficacy and safety of fire fighters on the ground and in the air; and communication and navigation systems for improving the coordination of fire management activities.

7. Sustainable Bioenergy and Development of Value-Added Products from Forest

Resources Research for development of improved methods for the conversion of forest biomass into cellulosic biofuels (e.g. ethanol, biobutanol, jet aviation) and biobased products, including intermediate chemicals; development of new wood-based composite materials; development of local scale energy conversion projects that generate electricity and/or useful heat; and development of technologies that will mitigate carbon release from combustion.

Other Key Information

1. Applicants are strongly encouraged to contact the NPL regarding the suitability of research topics.

2. Applications that deal with the development of biofuels derived from non-woody agricultural crops should be submitted under topic area 8.8 Biofuels and Biobased Products.

Plant Production and Protection (Biology) – Topic Area 8.2

Contact Dr. Robert Nowierski, NPL for SBIR Plant Production and Protection (Biology) at robert.nowierski@usda.gov or (202) 552-9084 regarding questions about the suitability of

The objective of this topic area is to examine novel ways of enhancing crop production and protection by applying biological approaches to develop new methods for plant improvement, apply traditional plant breeding methods and new technologies to develop new food and non-food crop plants, develop plant characteristics that reduce the harmful impact of plant pests and biotic stresses, as well as new genotypes of existing crop plants with characteristics that allow for their use in new commercial applications.

but are not limited to the following:

1. Plant improvement

Improved crop production using traditional plant breeding and biotechnology, including but not limited to, molecular biology, and mutagenesis, genomics, tissue culture, and/or embryogenesis to produce crops with new or improved quality, yield, agronomic, horticultural, value- added, and/or economic traits. Topics may include, but not limited to:

a. Improvement of commercial floriculture production

Biological and/or technological approaches to improve the competitiveness of U.S.

production of flowering potted plants, bedding plants, seasonal crops, annuals, perennials, and cut flowers.

b. Development of new crops Development of new crop plants as sources of food, non-food industrial or ornamental products.

mailto:robert.nowierski@usda.gov

2. Pollinators and crop production Projects that address the health and success of domesticated and natural pollinators of economically important crops.

3. Plant protection against abiotic and/or biotic stresses Reduced the impact of plant pathogens, arthropod pests, and abiotic stress on crop plants;

and increasing plant resistance to plant pathogens, arthropod pests, and abiotic stress.

Topics may include, but are not limited to:

a. Improved plant disease diagnostics Accurate, rapid, and cost-effective identification of causal agents in specialty crop plants at the earliest possible stage relative to manifestation of disease.

b. Bio-Based approaches To protect organically-grown and conventional crops from insect and nematode pests and diseases using bio-based approaches, including the development of decision aid systems that are information extensive and time sensitive.

2. Phase I applications involving the development of transgenic crops would benefit by the inclusion of a brief description of the proposed path to commercialization, including an understanding of what will be needed to clear regulatory consideration. Phase II applications involving the development of transgenic crops should have an expanded section on how regulatory considerations will be met and market entry attained.

3. Applications that deal with non-biological engineering technologies should be submitted to topic area 8.13 Plant Production and Protection-Engineering.

4. Applications that deal with the genetic improvement and production of woody biomass feedstock crops should be submitted to the 8.1 Forest and Related Resources topic area.

5. Applications that deal with the genetic improvement and production of algae should be submitted to the 8.7 Aquaculture topic area.

Animal Production and Protection – Topic Area 8.3

Contact Dr. Robert M. Smith, NPL for SBIR Animal Production and Protection at robert.m.smith@usda.gov or (202) 445-3468 regarding questions about the suitability of mailto:robert.m.smith@usda.gov

The Food and Agriculture Organization (FAO) of the United Nations predicts that feeding the world’s growing population will require a doubling of global food production by 2050.

Fulfilling this need will require new technologies to improve both productivity and efficiency of food animals. The Animal Production and Protection topic area aims to develop innovative, marketable technologies that will provide significant benefit to the production and protection of agricultural animals. New technologies for rapid detection, point-of-care, treatment and prevention of disease are needed to improve productivity and enhance the biosecurity of our herds and flocks. Better technologies are also needed to develop and enhance alternatives to the use of antibiotics since pathogen resistance and human sensitivity to residue food products derived from animals have become of increasing concern. To meet increasing consumer demand for value-added animal products, innovative technologies are needed to address the challenges presented by non-conventional management systems and strategies. And there is an urgent need for technologies that decrease the impact of animal agriculture on the environment and optimize use of our natural resources. Technological advances in animal production and protection will not only enhance the safety of the Nation’s food supply and contribute to environmental stewardship, they will also allow American producers to remain competitive in the global marketplace and contribute to global food security.

Development of marketable technologies designed for use in agriculturally important animals that will:

1. Improve production efficiency

Areas of interest include improved fertility; increased feed efficiency; and translation of genomic information into practical use and benefit.

2. Improve the safety and/or quality of end products derived from animals

These technologies must be applicable in the pre-harvest environment.

3. Improve animal health and well-being

Examples of these technologies include new rapid, more accurate, point-of-care oriented and competitively-priced diagnostics, therapeutics, vaccines and other immunization methods, biosecurity management tools, traceability methods, and animal handling methods and developing alternatives to the use of antibiotics.

4. Improve the productivity of animals in modified conventional or alternative animal production systems Examples include non-confinement housing, pasture-based feeding systems, and organic systems.

5. Mitigate the impacts of animal agriculture on the natural environment

Areas of interest include technologies that decrease greenhouse gas emissions or reduce the excretion of phosphorus and nitrogen but does not include manure management.

topics.

2. Applications that deal with post-harvest technologies for products derived from animals will not be accepted for review under this program area. Applications that deal with post-harvest technologies for foods derived from animals should be submitted under topic area 8.5 Food Science and Nutrition.

3. Applications dealing with aquaculture species should be submitted under topic area 8.7

Aquaculture.

Conservation of Natural Resources – Topic Area 8.4

Contact Dr. James Dobrowolski, National Program Leader for SBIR Conservation of Natural Resources at james.dobrowolski@usda.gov or (202) 420-8918 regarding questions about the suitability of research topics or to arrange a telephone consultation.

The objective of this topic area is the conservation of soil, water, air and other natural resources on landscapes that produce agricultural, natural and forest/rangeland goods and services. The goal of the program is to commercialize innovative technologies that are developed with the purpose to conserve, monitor, improve and/or protect the quality and/or quantity of natural resources while sustaining optimal farm and forest productivity and profitability. We encourage new technologies and innovations that will help improve soil health, reduce soil erosion, improve water and air quality, improve nutrient management and conserve and use water more effectively.

but are not limited to, the following:

1. Water Quality and Quantity

Develop new and innovative technologies to improve water management and conservation at the farm- and watershed-scales, and monitor the quality of surface water and groundwater resources for biotic and abiotic pollutants. Create improved technologies focused on the use of nontraditional water sources (treated wastewater, agricultural return flows and produced water from minerals extraction) for agricultural irrigation, and improve irrigation technologies to provide superior timing, distribution and cost-effective delivery of water and chemicals for the optimal growth of crops.

2. Soil Health mailto:james.dobrowolski@usda.gov

Develop new technologies for measuring soil physical, chemical and biological properties including, but not limited to, soil nutrient content, microbial functional activity related to nutrient cycling, methods to remediate degraded soils and methods for monitoring and preventing soil erosion by wind and water.

3. Air Resources

Develop new and improved technologies to monitor air quality and reduce air pollution stemming from agricultural enterprises, including manures from livestock and poultry production systems.

4. Nutrient Management Develop new and improved technologies and macro- and micronutrient management practices that help maximize plant productivity while minimizing negative environmental impacts.

1. Applicants are strongly encouraged to contact the NPL regarding the suitability of research topics.

2. Applications that include software development or other data-intensive technologies are encouraged to apply for topics related to the Priority Research Areas listed above.

3. Applications that address animal manure or carcass waste for the production of biofuels and biobased products should be submitted to the 8.8 Biofuels and Biobased Products topic area.

4. Applicants should demonstrate that the proposed technology is innovative and not redundant with what is currently available. If similar technologies exist, please provide a comparison table contrasting your technology with others.

5. Technologies for the rapid detection of food borne hazards (microorganisms, chemicals, toxins) during pre- and post-harvest processing and distribution should be submitted to the

8.5 Food Science and Nutrition topic area.

Food Science and Nutrition – Topic Area 8.5

Contact Dr. Mallory Koenings, NPL for SBIR Food Science and Nutrition at Mallory.Koenings@usda.gov or (202) 604-1985 regarding questions about the suitability of

The Food Science and Nutrition topic area aims to fund projects that support research focusing on developing new and improved processes, technologies, or services that address emerging food safety, food processing and nutrition issues. The program will fund projects to: 1) increase the understanding of the physical, chemical, and biological properties of food; 2) mailto:Mallory.Koenings@usda.gov improve methods for the processing and packaging of food products to improve the quality, safety and nutritional value of foods, and to reduce food waste; 3) develop technologies for rapid and sensitive detection of pathogens and toxins in foods, and 4) develop programs or products that increase the consumption of healthy foods and reduce obesity, or alleviate urban and rural food deserts. The outcome of a successful project is a proof of concept for a marketable product or patented process.

The long-term goals (10 years) of the program are to commercialize the production of useful new food products, processes, materials, and systems that reduce foodborne illness, obesity, enhance the nutritional quality and value of foods and/or bridge socioeconomic gaps in access to healthy foods.

1. Food Safety

Developing technologies for the detection or mitigation of foodborne hazards (microorganisms, chemicals, toxins) during pre- and post-harvest processing and distribution.

2. Food Quality-Engineering Developing innovative processing and packaging technologies or materials that reduce post-harvest losses in foods while maintaining safety, quality and/or extending shelf life of the product.

3. Food Quality-Science

Understanding the physical, biological, and chemical interactions and functionality of food in order to develop affordable food ingredients and/or food formulations that contribute to the development of high-quality foods.

4. Nutrition-Education

Developing and implementing effective programs for educators and parents to foster healthy nutritional choices to combat obesity among children.

5. Nutrition-Science

Improve functionality and efficacy of foods, nutrients and/or dietary bioactive components in promoting health.

6. Nutrition, Food Safety and Quality Data Tools Development of software tools and technologies that collect and analyze nutrient data, food safety and food quality data to enable producers, consumers and retailers make healthy choices and/or alleviate food deserts.

2. Improvements of current commercial methods should address high false positive and high false negative rates associated with nucleic acid-based methods for detection of food-borne pathogens in produce and high false negative rates associated with immunoassays for detection of Salmonella.

3. New rapid detection tests should be designed to detect at least 1 cfu/25g of food using approaches that reduce or eliminate enrichment and should be designed to allow for sampling of large volumes of food.

4. Projects on novel screening methods for threat agents need strong letters of support from the appropriate Federal agency that will be the end user of the technology.

5. Projects that promote value-added products and processes are encouraged.

6. Projects that address functional foods to promote health are encouraged.

7. Projects that exclusively focus on nutritional supplements rather than food ingredients will not be considered.

8. Projects that focus on technologies for improving cost benefit and model-based analyses, including distribution, warehousing, and retailing systems as they relate to the economy are acceptable.

9. Applicants who have received previous SBIR funding should address outcomes for those projects.

10. Projects should include appropriate collaborations with experts in the field of investigation (i.e, a food scientist or nutritionist as a part of the development team for the project).

Rural and Community Development – Topic Area 8.6

Contact Dr. Richard Elrod, NPL for SBIR Rural and Community Development at Richard.Elrod@usda.gov or (202) 445-5456 regarding questions about the suitability of

The objective of this topic area is to improve the quality of life in rural America by creating and commercializing technologies that address important economic and social development issues or challenges in rural America. Projects must explicitly discuss the specific rural problem or opportunity that will be examined and how the proposed science-based technology will successfully address the problem or opportunity. Applications must also include an objective to assess the impacts of the proposed project on the environment or the socio-economic mailto:Richard.Elrod@usda.gov development of rural areas. The applications need not be centered on agriculture but may be focused on any area that has the potential to provide significant benefit to rural Americans.

USDA seeks a balanced portfolio that appropriately mixes high risk, high reward innovations with new applications of existing technologies.

1. Development of services, information, and managerial systems that improve the efficiency and effectiveness of Local Governments and Public and Private Institutions.

Topics may include educational programs, including virtual platforms, apps and gaming, which address the specific needs of people in rural areas (e.g., development of entrepreneurship and workforce skills); use of big data in community development planning; new housing designs or ways to improve function and outcomes of existing designs; improved health care delivery, including mobile or virtual health applications;

innovative transportation and communication technologies and services that increase access to services for rural people; and marketing of new information and technologies to rural audiences.

2. Development of technologies and services that protect or enhance the environment while promoting economic development.

Topics may include science-based innovations that explore the vast natural resources and amenities in rural communities with a focus on renewable energy. Examples may include technologies and services for harnessing big data to synthesize and communicate new knowledge for rural people, to help them make predictive decisions, and to foster data-driven innovation in agriculture, ecosystem protection, sustainable practices, food loss and waste reduction, energy conservation, and alternative energy source development – such as wind and solar energy (excluding biofuels).

3. Reducing the vulnerabilities of rural communities from hazards (excluding intentional acts such as terrorism).

Procedures and data-enabled solutions are needed to make rural communities more sustainable to natural or unintentional hazards such as food-borne illnesses, food contamination, droughts, wildfires, hurricanes, climate variability, through better preparation, forecast and warning, response and rebuilding phases of hazard mitigation, including communication.

4. Development of technologies and services that specifically address the needs of youth, the elderly, disabled persons, military veterans, and the low-income sector of the rural population.

Efforts are needed that will enhance human capital development, build earnings capacity, increase labor force participation and/or promote job creation to the most vulnerable populations in rural communities, use augmented reality and promote workforce development in rural communities, and promote food security, including issues of access to adequate amounts and quality of foods.

5. Increasing opportunities for employment and income generation in rural communities.

Topics may include, but are not limited to, creative place making, recreational economies, rural tourism, agri-tourism, e-commerce innovations that connect producers with markets, and off-farm value-added agricultural development.

6. Expanding broadband access in rural communities.

Rural broadband access is a major expansion opportunity. Topics may include, but are not limited to, exploration of white space and other spectrum in rural communities; technologies that increase rural bandwidth, connection speed, quality, and reach; initiatives that increase awareness, adoption, and diffusion of broadband among rural people; and opportunities to increase investment in rural broadband infrastructure.

2. Because this topic area addresses impact on rural communities, community letters of support are highly encouraged.

3. If funded, projects are expected to be science-based and enhance the environmental and economic vitality of rural communities. Therefore, applications must contain an objective to assess the impacts of the proposed project on the environment or the socio-economic development of rural areas.

4. Projects are expected to provide evidence of the rural market to be served. Moreover, PDs should identify any barriers to commercialization and discuss how they propose to address them during this and all future phases.

5. Applications dealing with on-farm production agriculture research should be submitted to topic area 8.12 Small and Mid-Size Farms.

6. Applications dealing with the development of biofuels and biobased products should be submitted to topic area 8.8 Biofuels and Biobased Products.

Aquaculture – Topic Area 8.7

Contact Dr. Timothy Sullivan, NPL for SBIR Aquaculture at Timothy.Sullivan@usda.gov, regarding questions about the suitability of research topics or to arrange a telephone consultation.

mailto:Robert.M.Smith@usda.gov

The Aquaculture topic area funds research projects with the overall goal of leading to improved production efficiency and increased competitiveness of private sector, commercial aquaculture in the United States. This topic area aims to develop new technologies that will enhance the knowledge and technology base necessary for the expansion of the domestic aquaculture industry. Seafood production from the wild is under increased pressure due to overfishing, and therefore aquaculture is increasingly an important source of farmed seafood and an important contributor to food security. Studies on commercially important species of fish, shellfish and aquatic plants from both freshwater and marine environments are included. In this context, new technologies are needed to improve production efficiency, protect aquaculture species against disease, and ensure the quality of farmed seafood.

To address identified needs or constraints that limit U.S. aquaculture, the following are provided as examples of appropriate subtopics for research applications from small businesses, including, but not limited to, the following:

1. Reproductive Efficiency

Novel or innovative approaches to improve reproductive efficiency in aquaculture species including: greater control of maturation, ovulation and fertilization; improved gamete and embryo storage; improved larval rearing techniques; enhanced reproductive performance of broodstock; improved methods for cryopreservation of sperm and embryos; and methods to control sex determination.

2. Genetic Improvement

Novel or innovative approaches to improve production efficiency through genetic improvement of aquaculture species including: genetic mechanisms of sex determination;

genetic basis for inheritance of commercially important traits, such as growth, temperature tolerance, and disease susceptibility; identification of major genes affecting performance;

application of molecular biology and genomics and the integration of this technology into breeding programs; and performance evaluation of aquaculture species and utilization of crossbreeding and hybridization.

3. Integrated Aquatic Animal Health Management

Novel or innovative approaches to reducing losses due to aquatic animal health in aquaculture production systems, including: physiological stress related to the aquatic production system environment; genetic, environmental, and nutritional components of aquatic health management; control of predation in aquaculture production systems;

development of new vaccines or immunization procedures to enhance resistance to infectious diseases and parasites; development of diagnostic tests for specific diseases that pose a health hazard; and development of improved treatment methods for acute or chronic health problems caused by specific infectious or non- infectious agents, parasites, injuries and chemical and toxic agents.

4. Improved Production Systems and Management Strategies

Novel or innovative approaches to improve existing or alternative production system design and management strategies including: development of biological, engineering and economic design criteria and models; enhancement of water quality in existing production systems through aeration, flow patterns, etc.; characterization, handling and treatment of effluent from aquaculture production systems; improved harvesting methods and strategies;

and improved operating efficiencies for recirculation systems.

5. Algal Production Systems

Novel or innovative approaches to improve the efficiency of algal production and feedstock logistics including: identification of new (or improved) species with improved nutritional profile for use in aquaculture feed, human food, or food supplements; development of improved bioreactor technology; and development of new methods for harvesting algal biomass.

1. Applicants are strongly encouraged to contact the NPL regarding the suitability of research topics.

2. For aquaponics, unless the focus is on developing significant technological improvements, proposals that deal with applying current aquaponics technology should be submitted to 8.12 Small and Mid-Size Farms

3. Applications that deal with the development of new food products derived from aquaculture species should be submitted under topic area 8.5 Food Science and Nutrition.

4. Applications that deal with biomass conversion or development of new products from algae should be submitted to the 8.8 Biofuels and Biobased Products topic area.

Biofuels and Biobased Products – Topic Area 8.8 Contact Dr. Timothy Conner, NPL for Biofuels and Biobased Products at Timothy.Conner@usda.gov or (816) 926-1816 regarding questions about the suitability of

The objective of this topic area is to promote the use of non-food biobased products and biofuels by developing new or improved technologies that will lead to increased competitiveness of value-added products from agricultural materials. This research will lead to new opportunities to diversify agriculture and enhance agriculture’s role as a reliable supplier of raw materials to industry. Historically, appropriate research areas have included: development of improved technology for converting agriculturally derived raw materials into useful industrial products;

development of new products from new industrial crops; and improving the effectiveness or cost-competitiveness of industrial products derived from agricultural materials in comparison to non-agriculturally derived products. In order to enhance the impact of the program, acceptance of applications will be limited to select Research Priority Areas.

mailto:Timothy.Conner@usda.gov

Examples of appropriate subtopics for research applications from small businesses include, but are not limited to, the following:

1. New Non-food Biobased Products from New Industrial Crops

Identification of markets and development of new biobased products and processes from new industrial crops or microbes. These products should be economically competitive and have environmental sustainability benefits compared to similar products on the market.

2. New Processes for the Manufacture of Industrial Products, Chemicals, or Biofuels New processes for the production of biobased industrial products, chemicals, or biofuels that will be competitive with the cost and performance of equivalent petroleum-based products.

Support for biofuel projects includes the sustainable conversion of crops and agricultural residues into biofuels (conventional, cellulosic, or advanced biofuels) or coproducts that will improve the economic feasibility of production of those biofuels. Technologies must seek to minimize adverse environmental impacts such as energy use, water use, harmful byproducts, and life cycle carbon emissions in comparison to incumbent products.

2. Applications that include software development or other data-intensive technologies are encouraged to apply for topics related to the Priority Research Areas listed above.

3. Applications that deal with developing value-added biofuels (including ethanol) and biobased products from forest biomass should be submitted to the 8.1 Forest and Related Resources topic area.

4. Applications that deal with developing biofuels and bioenergy that will improve the sustainability of small and mid-size farms should be submitted to the 8.12 Small and Mid- Size Farms topic area.

5. Applications that deal with the genetic improvement or production of biomass feedstock crops except for woody biomass and algae should be submitted to the 8.2 Plant Production and Protection (Biology) topic area.

6. Applications that deal with the genetic improvement, production, or feedstock logistics of woody biomass feedstock crops should be submitted to the 8.1 Forest and Related Resources topic area.

7. Applications that deal with the genetic improvement, production, or feedstock logistics of photosynthetic algae should be submitted to the 8.7 Aquaculture topic area.

8. Applications that deal with the engineering aspects of the planting, production or post-harvest handling of biomass feedstock crops should be submitted to the 8.13 Plant Production and Protection – Engineering topic area.

9. Animal manure and carcass waste are considered acceptable feedstocks for applications to the 8.8 Biofuels and Biobased Products topic area.

10. Microbial approaches must demonstrate a credible path to industrially-relevant conversion rates, yields, and titers.

NOTE: There are no Topic Areas 8.9 through 8.11.

Small and Mid-Size Farms – Topic Area 8.12

Contact Dr. Denis Ebodaghe, National Program Leader for SBIR Small and Mid-Size Farms at Denis.Ebodaghe@usda.gov or (202) 445-5460 regarding questions about the suitability of

The Small and Mid-Size Farms topic area aims to promote and improve the sustainability and profitability of small and mid-size farms and ranches (where annual sales of agricultural products are less than $250,000 for small farms and $500,000 for mid-size farms - hereafter referred to as small farms). The vast majority of farms in this country are small and they play an important role in the agricultural sector. The viability and sustainability of small farms is important to the Nation’s economy and to the stewardship of our biological and natural resources. While some small farms are located in urban areas, most small farms are located in rural areas, and these farms are critical to sustaining and strengthening the leadership and social fabric of rural communities. Applicants are strongly encouraged to emphasize how their project would contribute to the well-being of rural communities and institutions. In particular, applicants should emphasize how the results of their project would be disseminated to other small farmers and provide benefit to the small farm community.

1. New Agricultural Enterprises

Efforts are needed to develop new agricultural enterprises that are small scale and focused on specialty farm products, both plant and animal, and on innovative ways to market these farm products through direct marketing, such as farmers markets or cooperatives where the financial return to the farmer is optimized or through specialty market outlets that offer a higher financial return. Emphasis is encouraged for organic and natural foods, specialty animal products, such as free-range poultry or natural beef, non-food specialty crops, such as medicinal herbs and value-added food, and non-food products.

mailto:Denis.Ebodaghe@usda.gov

2. Development of New Marketing Strategies Efforts are needed to develop appropriate new strategies for marketing agricultural, forestry and aqua cultural commodities and value-added products produced by small farms in local, regional, national and international markets, including the assessment of consumer demand; identification of desired product characteristics, including packaging and processing methods; development of new and innovative utilization of existing production and processing technologies; and the promotion of efficient assembling, packing, processing, advertising and shipping methods.

3. Farm Management

Efforts are needed to develop tools and skills that are appropriate for small farms that will enhance the efficiency and profitability of small farms. New tools are also needed that will enhance farm safety. Development of new risk management tools to facilitate better planning is needed. Development of improved farm level life-cycle assessment tools that help small to mid-sized farms 1) improve operations through resource efficiency and 2) quantify ecosystem services provided is needed. Innovative ways to promote agro-tourism as a way to enhance farm profitability is encouraged.

4. On Farm Natural Resources and Renewable Energy

Efforts are needed to promote improved energy efficiency and conservation in farming operations through scaled up technologies and innovations that reduce operation costs, increase efficiency and increase profits while utilizing natural resources. Particular emphasis is needed to develop better ways to utilize on farm renewable energy sources, such as wind, solar, and geothermal energy. Innovations should be scalable to multiple farm markets and not only focused on an individual farm.

5. Urban Farming

In recent years there has been increasing interest in the establishment of small farms in urban areas on roof tops, in abandoned buildings and in vacant lots. Efforts are needed to explore ways to make urban farming more energy efficient, environmentally sustainable and profitable. The most appropriate crops for urban farms need to be determined.

Procedures that would increase the establishment of new urban farms need to be developed.

2. New Technologies and Innovations that address…