FY 2018 SBIR Phase II.pdf

Small Business Innovation Research Program Phase II

FY 2018 Request for Applications (RFA)

APPLICATION DEADLINE: March 8, 2018

ELIGIBILITY: See Part III, A of RFA

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

AGRICULTURE

Small Business Innovation Research Program Phase II

CATALOG OF FEDERAL DOMESTIC ASSISTANCE: This program is listed in the Catalog of Federal Domestic Assistance under 10.212 Small Business Innovation Research (see https://www.cfda.gov/).

DATES: Applications must be received by 5 p.m. Eastern Time on March 8, 2018.

Applications received after this deadline will normally not be considered for funding (see Part IV, C of this RFA). Comments regarding this request for applications (RFA) are requested within six months from the issuance of this notice. Comments received after that date will be considered to the extent practicable.

STAKEHOLDER INPUT: We at the National Institute of Food and Agriculture (NIFA) seek your comments about this RFA. We will consider your 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 your written stakeholder comments by the deadline set forth in the DATES portion of this notice via email to Policy@nifa.usda.gov. (This email address is only for receiving comments regarding this RFA and not for requesting information or forms.) In your comments, please state that you are responding to the Small Business Innovation Research Program – Phase II RFA.

EXECUTIVE SUMMARY: NIFA requests applications for the Small Business Innovation Research (SBIR) Program Phase II for fiscal year (FY) 2018 from previous SBIR Program Phase I awardees. This RFA is being released prior to the passage of an appropriations act for FY 2018.

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.

This notice identifies the objectives for SBIR Phase II projects, deadline dates, funding information, eligibility criteria for projects and applicants, and application forms and associated instructions needed to apply for a SBIR Phase II grant.

https://www.cfda.gov/ mailto:Policy@nifa.usda.gov

Table of Contents

PART I—FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority B. Purpose and Priorities C. Three-phase Program D. Potential Commercial Outcome and Commercialization Assistance Training Program

PART II—AWARD INFORMATION

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

PART III—ELIGIBILITY INFORMATION

A. Eligible Applicants

PART IV—APPLICATION AND SUBMISSION INFORMATION

A. Required Registrations and Electronic Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Other Submission Requirements Including Supplementary Information

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—AGENCY CONTACTS

PART VIII—OTHER INFORMATION

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

PART I—FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority

The Small Business Innovation Research program was established under the Small Business Innovation Development Act of 1982 (Pub. L. 97-219) with the purpose of strengthening the role of innovative small business concerns in Federally-funded research and development (R&D).

The program was reauthorized through numerous extensions, the most recent of which extends the SBIR program through 2022 (Pub. L. 114-328).

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.

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

B. Purpose and Priorities

The purpose of the SBIR Program is to strengthen the role of innovative small business concerns (SBCs) in Federally-funded research or research and development (R/R&D). Specific program purposes are to: (1) stimulate technological innovation; (2) use small business to meet Federal R/R&D needs; (3) foster and encourage participation by socially and economically disadvantaged small businesses (SDBs), and by women-owned small businesses (WOSBs), in technological innovation; and (4) increase private sector commercialization of innovations derived from Federal R/R&D, thereby increasing competition, productivity and economic growth.

SBIR Phase II applications must address only scientific and rural development research activities that can be commercialized. A small business must not propose technical assistance, large scale 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 (see Part I, B.) 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 http://www.nifa.usda.gov/sbir information to persuade members of the research and business community who review the application and then advise the USDA NIFA SBIR professional staff that the proposed activities are a sound approach to an important scientific and/or rural development question and is worthy of support under the stated USDA NIFA evaluation criteria. 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.

USDA-NIFA is soliciting applications for the SBIR Phase II program under the following topic areas (preceding each topic area description is the Program Code/Program Code Name):

Program Code/Program Code Name

8.1 Forests and Related Resources

The Forests and Related Resources topic area aims to address the health, diversity, and productivity of the Nation’s forests to meet the needs of present and future generations through the development of environmentally sound approaches to increase productivity of forest lands, improve sustainability and develop value-added materials derived from forest resources.

Program contact: Charles Cleland ccleland@nifa.usda.gov

8.2 Plant Production and Protection – Biology

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, applying traditional plant breeding methods and new technologies to develop new food and non-food crop plants, developing plant characteristics that reduce the harmful impact of plant pests and biotic stresses, and developing new genotypes of existing crop plants with characteristics that allow for their use in new commercial applications. Program contact: Robert Nowierski rnowierski@nifa.usda.gov

8.3 Animal Production and Protection

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. Program contact: Robert Smith rsmith@nifa.usda.gov

8.4 Air, Water and Soils

The Air, Water and Soils topic area aims to develop technologies for conserving and protecting air, water and soil resources while sustaining optimal farm productivity. Climate variability is a major focal points of this topic area. Program contact: Karelyn Cruz karelyn.cruz@nifa.usda.gov

8.5 Food Science and Nutrition

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. Program contact: Jodi Williams jwilliams@nifa.usda.gov

8.6 Rural Development

The Rural Development topic area aims to fund the development of new technology, or for the mailto:ccleland@nifa.usda.gov mailto:rnowierski@nifa.usda.gov mailto:rsmith@nifa.usda.gov mailto:karelyn.cruz@nifa.usda.gov mailto:jwilliams@nifa.usda.gov utilization of existing technology, that address important economic and social development issues or challenges in rural America. 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. Program contact: Toija Riggins Toija.Riggins@nifa.usda.gov

8.7 Aquaculture

The Aquaculture topic area aims to develop new technologies that will enhance the knowledge and technology base necessary for the expansion of the domestic aquaculture industry as a form of production agriculture. Program contact: Gene Kim Gene.W.Kim@nifa.usda.gov

8.8 Biofuels and Biobased Products

The objective of this topic area is to promote the use of biofuels and non-food biobased products by developing new or improved technologies that will lead to increased production of biofuels, industrial chemicals, and other value-added products from agricultural materials. Program contact: Toby Ahrens toby.ahrens@nifa.usda.gov

8.12 Small and Mid-Size Farms

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). Program contact: Denis Ebodaghe debodaghe@nifa.usda.gov

8.13 Plant Production and Protection – Engineering

The objective of this topic area is to enhance crop production by creating and commercializing engineering technologies that enhance system efficiency and profitability and protect crops from pests and pathogens in economically and environmentally sound ways. Program contact: Rachel Melnick rmelnick@nifa.usda.gov

In addition to the areas listed above, the USDA NIFA reports to the Small Business Administration (SBA) and Congress on innovations that support Agriculturally-related Manufacturing Technology, and Energy Efficiency and Alternative and Renewable Energy Technologies. USDA NIFA recognizes that these two areas have relevance to all areas listed in this program solicitation. The USDA NIFA encourages applicants to address these technologies, as appropriate, within their applications for reporting purposes back to the SBA and Congress.

Agriculturally-related Manufacturing Technology On February 26, 2004, the President issued Executive Order 13329 (69 FR 9181) entitled “Encouraging Innovation in Manufacturing.” In response to this Executive Order, USDA NIFA encourages applicants that deal with some aspect of agriculturally-related manufacturing technology to notify USDA NIFA in the application for reporting purposes to SBA and Congress.

Since manufacturing impacts all aspects of agriculture and rural development, applications dealing with manufacturing could be submitted to any of the USDA NIFA SBIR topic areas.

Energy Efficiency and Alternative and Renewable Energy In an effort to find alternatives to fossil fuels and to reduce overall energy usage, the USDA established research on energy efficiency, and alternative and renewable energy as areas of research that can be submitted to any of the USDA NIFA SBIR topic areas. Such research mailto:Toija.Riggins@nifa.usda.gov mailto:Gene.W.Kim@nifa.usda.gov mailto:toby.ahrens@nifa.usda.gov mailto:debodaghe@nifa.usda.gov mailto:rmelnick@nifa.usda.gov includes: development of new energy crops; improved methods for producing biofuels, such as ethanol, butanol and biodiesel; producing hydrogen and other fuel gases from agricultural waste, and more efficient use of energy in agricultural production and in rural communities. Energy issues impact all aspects of agriculture and rural development and thus applications dealing with energy efficiency and alternative and renewable energy could be submitted to any of the topic areas. Applications that meet this priority are encouraged to notify USDA NIFA within the application. Applications selected for an award will have this information, if applicable, reported to SBA and Congress.

The USDA NIFA SBIR Program is aligned with the USDA 2014-2018 Strategic Plan (http://www.usda.gov/documents/usda-strategic-plan-fy-2014-2018.pdf) by addressing Strategic Goal 1. (sub-goals 1.1, 1.2 and 1.3); Strategic Goal 2. (sub-goals 2.1, 2.3, and 2.4); Strategic Goal

3. (sub-goals 3.1 and 3.2); Strategic Goal 4. (sub-goals 4.1, 4.2, 4.3 and 4.4).

The USDA NIFA SBIR program is aligned with the USDA Research, Education, and Economics Action Plan (http://nifa.usda.gov/resource/ree-action-plan), and addresses Goal 1. (sub-goal 1A, 1B, 1C and 1D); Goal 2. (sub-goal 2B); Goal 3. (sub-goal 3A and 3B); Goal 4.; Goal 5. Food Safety; Goal 6. and Goal 7.

The USDA NIFA SBIR Program is aligned with the NIFA Strategic Plan (http://nifa.usda.gov/resource/nifa-strategic-plan-fy2014-fy2018) and specifically addresses Goal 1: Science- Catalyze exemplary and relevant research, education and extension programs (sub-goal 2 1.1, 1.2, 1.3, 1.4, 1.5, 1.6 and 1.7).

C. Three-phase Program

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

The SBIR Program Phase II applications require a more comprehensive application, outlining the proposed effort in detail. This RFA 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.

D. Potential Commercial Outcome and Commercialization Assistance Training Program

In addition to supporting scientific research and development, the program’s primary goal is to http://www.usda.gov/documents/usda-strategic-plan-fy-2014-2018.pdf http://nifa.usda.gov/resource/ree-action-plan http://nifa.usda.gov/resource/nifa-strategic-plan-fy2014-fy2018 provide incentive and opportunity for small business firms to convert USDA NIFA-sponsored research to technological innovations that can be adopted in the private sector or a commercial market. All proposed research must have a 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 applications, they will receive special consideration as a point of merit in the review and evaluation process where applications are evaluated as being of approximately equal technical merit. The greater 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 application.

The agreement must set forth the specific amount of Phase III funds and must indicate the dates that such funds will be made available to the small business concern. 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, 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 application. 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. The objectives do not have to be identical to those stated in the Phase II application, 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.

Applicants who are successful in receiving an award are required to participate in a Phase II Commercialization Assistance Training Program (CATP). Currently, the USDA NIFA SBIR Program expects to cover $10,000 of commercialization assistance expenses for each awarded project (this expense should not be included in the proposed budget). You are expected to cover 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 (approximately 65 to 80 hours) to complete the program requirements; you may include these expenses in the proposed budget.

PART II—AWARD INFORMATION

A. Available Funding

This RFA is being released prior to the passage of an appropriations act for FY 2018. 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 for Phase II grants.

Phase II awards will not exceed $600,000 for a period of 24 months with a start date of September 1, 2018. There is no commitment by USDA to fund any particular application or to make a specific number of awards.

The Automated Standard Applications for Payment System (ASAP), operated by the Department of Treasury’s Bureau of the Fiscal Service, is the designated payment system for awards resulting from this RFA. For more information see https://www.fiscal.treasury.gov/fsservices/gov/pmt/asap/asap_home.htm.

B. Types of Applications

In FY 2018, you may only submit a new application to the SBIR Phase II Program.

New application. This is a project application that has not been previously submitted to the SBIR Phase II Program. We will review all new applications competitively using the screening for administrative requirements, review panel evaluation of applications using evaluation criteria, and selection process described in Part V- Application Review Requirements.

C. Responsible and Ethical Conduct of Research

For information about the Responsible and Ethical Conduct of Research, see http://nifa.usda.gov/responsible-and-ethical-conduct-research.

https://www.fiscal.treasury.gov/fsservices/gov/pmt/asap/asap_home.htm http://nifa.usda.gov/responsible-and-ethical-conduct-research

PART III—ELIGIBILITY INFORMATION

A. Eligible Applicants

Only previous USDA NIFA SBIR Phase I awardees who have not previously applied for Phase II support are eligible to apply for Phase II support through this FY 2018 RFA. A Phase I project may only apply for a Phase II award once. If a Phase I awardee was unsuccessful in receiving a Phase II award with a previous application, then the awardee is not eligible to resubmit the proposal under this program solicitation. Failure to meet an eligibility criterion by the application deadline may result in the application being excluded from consideration or, even though an application may be reviewed, will preclude USDA NIFA from making an award.

Each applicant submitting an application must qualify as a Small Business Concern (SBC) for R/R&D purposes at the time of award (see Definitions in Part VIII).

A potential grantee that is a subsidiary must show that the parent company or parent companies are also a small business entity and the parent company or parent companies must provide documentation supporting their small business status (see Field 12. under Part IV , C.3.). If the parent company or one of the parent companies is a nonprofit organization, then the subsidiary is not eligible to submit an SBIR application.

Joint ventures and limited partnerships are eligible provided the entity created qualifies as a small business concern as defined in this program solicitation.

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. Eligible primary employment means that more than one-half (51% or higher) of the PD’s time is spent in the employ of the small business. Primary employment with the small business precludes the PD as a full-time employee with another organization including universities. Prior Federal Employees must provide documentation that post termination requirements have been completed at time of submission per 18 U.S.C. § 207(c)(1). These requirements apply to Phase II awards and any deviations from this requirement must be approved in writing by the USDA NIFA 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 time requirement for the PD’s work on the proposed research. Additionally any university faculty members that are proposed to work on the project will have to reduce their faculty appointment to less than 49% if they are to be employed by the company. If the faculty member is not able to reduce their time to less than 49% with the university then the faculty member can only support the project through a sub-contract or consultant agreement between the company and the university.

Additional eligibility requirements are:

(1) Size

a. A USDA NIFA SBIR awardee, combined with its affiliates, must not have more than 500 employees.

b. The small business concern must be the primary performer of the proposed research effort.

c. In Phase II, a minimum of one-half (1/2) of the research or analytical work, as determined by budget expenditures, must be performed by the proposing organization.

(2) Work in the United States

For Phase II, the R/R&D work must be performed in the United States. On rare and unique circumstances, for example, a supply, material or project requirement may not be available in the United States, USDA SBIR may allow that particular portion of the R/R&D work to be performed or obtained outside of the United States. Approval, in writing, is necessary by both a USDA SBIR NPL and the ADO for such specific conditions.

PART IV—APPLICATION AND SUBMISSION INFORMATION

A. Required Registrations and Electronic Application Package

Only electronic applications may be submitted via Grants.gov to NIFA in response to this RFA.

We STRONGLY urge you to submit early to the Grants.gov system so there is time to address any issues that may arise during the submission process. For information about the pre-award phase of the grant lifecycle see http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html.

Required Registrations:

1. Small Business Administration (SBA)

All applicants are required to update or register with the SBIR company registry and update their commercialization status through the SBIR company registry at www.sbir.gov/registration. After the registration is completed, applicants are to provide the PDF document that indicates the registration has been completed (see Field 12. Add Other Attachments under item B below).

2. New Users of Grants.gov

Prior to preparing an application, we recommend that the Project Director/Principal Investigator (PD/PI) first contact an Authorized Representative (AR, also referred to as Authorized Organizational Representative, or AOR) to determine if the organization is prepared to submit electronic applications through Grants.gov. If not (e.g., the institution/organization is new to the electronic grant application process through Grants.gov), then the one-time registration process must be completed PRIOR to submitting an application. It can take as long as four weeks to complete the registration process so it is critical to begin as soon as possible. In such situations, the AR should go to “Register,” in the top right corner of the Grants.gov web page (or go to http://www.grants.gov/web/grants/register.html), for information on registering the institution/organization with Grants.gov. Part II,1 of the NIFA Grants.gov Application Guide contains detailed information regarding the registration process. Refer to item 2, below, to locate the “NIFA Grants.gov Application Guide.”

3. Returning Grants.gov Users

If your company has already registered with Grants.gov in the past, you will need to login to your Grants.gov account and ensure all the required registrations are up to date and complete. Applicants should check their account PRIOR to submitting an application as the re-registration process can take several weeks to complete.

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 http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html http://www.grants.gov/web/grants/register.html https://get.adobe.com/reader/ to access, complete, and submit applications. For basic system requirements and download instructions, see http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. Grants.gov has a test package that will help you determine whether your current version of Adobe Reader is compatible.

2. To obtain the application package from Grants.gov, go to http://www.grants.gov/web/grants/applicants/download-application-package.html and enter the funding opportunity number

Funding Opportunity Number: USDA-NIFA-SBIR-006428

Click “Search.” On the displayed page, click the corresponding link to continue. A Grant Application Package is tied to a particular funding opportunity. You may submit an application ONLY to the particular funding opportunity to which the Grant Application Package is associated.

Contained within the application package is the “NIFA Grants.gov Application Guide.”

This RFA contains directions on when to refer to the “NIFA Grants.gov Application Guide.” This “NIFA Grants.gov Application 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.

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 (https://www.grants.gov/web/grants/support.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 (see https://grants-portal.psc.gov/Welcome.aspx?pt=Grants):

Top 10 requested help topics (FAQs), Searchable knowledge base, self-service ticketing and ticket status, and live web chat (available 7 a.m. - 9 p.m. EST).

Have the following information available when contacting Grants.gov:

• Funding Opportunity Number (FON)

• Name of agency you are applying to

• Specific area of concern

B. Content and Form of Application Submission

You should prepare electronic applications following the directions in this RFA and Parts V and VI of the NIFA Grants.gov Application Guide. The “NIFA Grants.gov Application Guide” is part of the corresponding application package (see Section A of this part). The following is additional information you need to prepare an application in response to this RFA. If there is discrepancy between the two documents, the information contained in this RFA is overriding.

http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/download-application-package.html http://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ mailto:support@grants.gov https://grants-portal.psc.gov/Welcome.aspx?pt=Grants

Note the attachment requirements (e.g., PDF) in Part III, Section 3 of the guide. ANY APPLICATIONS THAT ARE NON-COMPLIANT WITH THE REQUIREMENTS (e.g., content format, PDF file format, file name restrictions, and no password protected files) WILL BE AT RISK OF BEING EXCLUDED FROM NIFA REVIEW. Grants.gov does not check for NIFA required attachments or whether attachments are in PDF format; see Part III, Section 6.1 of the guide for how to check the manifest of submitted files. Partial applications will be excluded from NIFA review. We will accept subsequent submissions of an application until close of business on the closing date in the RFA (see Part V, 2.1 of the NIFA Grants.gov Application Guide for further information).

For any questions related to the preparation of an application, review the NIFA Grants.gov Application Guide and the applicable RFA. If assistance is still needed for preparing application forms content, contact:

• Email: electronic@nifa.usda.gov Phone: 202-401-5048

• Business hours: Monday through Friday, 7 a.m. – 5 p.m. EST, excluding federal holidays.

Modifications to the application will not be accepted after the closing date of this program solicitation unless indicated below. Under some circumstances, changes, additions, or corrections may be necessary to an application submitted to the USDA NIFA 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 contact could significantly delay your application submission and may result in the application not being reviewed.

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 specified by this RFA. See Part V, Section 2.18 of the NIFA Grants.gov Application Guide for the required certifications and assurances (e.g., Prohibition Against Entities Requiring Certain Internal Confidentiality Agreements).

Field 4. SBIR Phase II applicants must include the award number of the prior Phase I grant that was awarded.

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

Start End Phase II 9/1/2018 8/31/2020

Field 17. Complete Certification – 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 mailto:electronic@nifa.usda.gov https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ mailto:sbir@nifa.usda.gov

Field 12 of the R&R Other Project Information form (Other Attachments).

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

2. SF 424 R&R Project/Performance Site Location(s) Detailed information related to the questions on this form is available in Part V, 3 of the NIFA Grants.gov Application Guide.

3. R&R Other Project Information Form Detailed information related to the questions on this form is available in Part V, 4 of the NIFA Grants.gov Application Guide.

Field 7. Project Summary/Abstract. – (PDF Format Only) – This is required for a Phase II application submission

See Part V, section 4.7 of NIFA Grants.gov Application Guide for further instructions and a link to a suggested template. In the project 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. For your convenience a template for the project summary can be found at https://nifa.usda.gov/resource/application-support-templates.

The Summary/Abstract is limited to one page. Applications that exceed this limitation will be excluded from review.

Field 8. Project Narrative. – (PDF Format Only) – This is required for a Phase II application submission

NOTE: The Project Narrative shall not exceed 20 pages of written text using font no smaller than 12 point with at least 1-inch margins, regardless of whether it is single-or double-spaced. Labels for figures and tables may use a font no smaller than 10 point. This maximum (20 pages) is to ensure fair and equitable competition.

Applications that exceed this limitation will be excluded from review.

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.

The Project Narrative must include all of the following:

(1) Responsiveness to USDA SBIR Program Priorities– Indicate if the application has a connection to agriculturally-related manufacturing technology or alternative and renewable energy as found in Part I B. Provide a brief explanation of how the application is related to the topic area indicated.

https://nifa.usda.gov/resource/application-support-templates

(2) Prior USDA Support – USDA NIFA 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.

(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.

(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 as directed later in this RFA (see section 7. SBIR/Small Business Technology Transfer Program (STTR) Information, Field 7). For this section briefly describe the market potential for the innovation.

(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 http://www.usda.gov/documents/usda-strategic-plan-fy-2014-2018.pdf)

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 Lands 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 – see Part V, 4.10 of the NIFA Grants.gov Application Guide. Also see Field 12. for documentation regarding use of outside facilities.

Field 11 Equipment Documentation – see Part V, 4.11 of the NIFA Grants.gov Application Guide. Also see Field 12. for documentation regarding use of outside equipment.

Field 12. Add Other Attachments

The following forms MUST be provided as a PDF attachment in this field. Applicants can access these forms at https://nifa.usda.gov/resource/application-support-templates.

The following required forms are:

1. Conflicts of InterestFelony & Tax Delinquent Status (See Part V. Section 4.12 of the

NIFA Grants.gov Application Guide (Field 12 on the form) for instructions regarding mandatory Felony Convictions or Tax Delinquent Status),

2. Organizational Information (NIFA-666)

The following are additional instructions for documentation that may be required for your application.

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.

http://www.usda.gov/documents/usda-strategic-plan-fy-2014-2018.pdf https://nifa.usda.gov/resource/application-support-templates

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.

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.

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 – If the proposed duration of the proposed project exceeds 24 months, then documentation must be included to justify the need for the additional time.

5. Applicant is a Subsidiary – A potential grantee that is a subsidiary must include documentation to support its independent viable financial status and documentation from the parent company or parent companies supporting their small business 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 – 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.”

4. R&R Senior/Key Person Profile (Expanded) . Detailed information related to the questions on this form is available in Part V, section 5 of the NIFA Grants.gov Application Guide. This section of the guide includes instructions about senior/key person profile requirements including details about the biographical sketch and the current and pending support. The following is additional guidance:

• All biographical sketches must indicate the employment history of each PD and Co-PD for the last 10 years.

5. R&R Personal Data As noted in Part V, section 6 of the NIFA Grants.gov Application Guide, the submission of this information is voluntary and is not a precondition of award. Part V, section 6 also notes the importance and use of the information.

6. R&R Budget Detailed information related to the questions on this form is available in Part V, section 7 of the NIFA Grants.gov Application Guide.

A Research and Related Budget form must be completed for each 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 R&R Cover Page form and does not exceed $600,000 for 24 months.

Budget requests that exceed the ceiling of $600,000 will be excluded from review.

Fields A. and B. 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).

Field C. 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. Adequate justification must be included for any equipment purchases; the justification will be carefully reviewed with respect to need and appropriateness for the research proposed. Awardees should plan to lease expensive equipment.

Field D. Travel - Applicants must include in their budget travel expenses to the Washington DC area for a two (2) day commercialization assistance workshop. 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 of 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.

Field D. 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, F, and G - Participant/Trainee Support Costs, Other Direct Costs, and Direct Costs, respectively – Part V, 7.6 through 7.9 of the NIFA Grants.gov Application Guide includes detailed information. The following is additional information:

All Other Direct Costs - Other anticipated direct costs not included above should be itemized. Examples include, but are not limited to, subcontracts and consultants. See Field 12 “Other Attachments” of the R&R Other Project Information form for required documentation associated with subcontracts and consultants. A budget and budget justification stating sub-contractual and consulting costs and the rationale for the amount of the costs are required.