FY 2019 SBIR Phase II RFA.pdf

Small Business Innovation Research Program Phase II

FY 2019 Request for Applications (RFA)

APPLICATION DEADLINE: March 14, 2019

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 Assistance Listings under the Catalog of Federal Domestic Assistance number 10.212 Small Business Innovation Research (see https://beta.sam.gov/).

DATES: Applications must be received by 5 p.m. Eastern Time on March 14, 2019.

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) 2019 from previous SBIR Program Phase I awardees. This RFA is being released prior to the passage of an appropriations act for FY 2019.

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://beta.sam.gov/ mailto:Policy@nifa.usda.gov

Table of Contents

PART I—FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority B. Purpose and Priorities C. SBIR Phase II topic areas D. Potential Commercial Outcome E. 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 B. Cost Sharing or Matching

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

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 (SBIR) 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).

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

B. Purpose and Priorities

The purpose of a research application is to provide a written statement that contains sufficient information to persuade members of the research and business community that the proposed activities are a sound approach to an innovation that answers both a scientific question and has a strong potential to be commercialized. The reviewers advise the USDA-NIFA SBIR professional staff which applications are worthy of support under the stated USDA-NIFA evaluation criteria.

The application should be self-contained and written with care and thoroughness and should be reviewed carefully by the applicant and by others knowledgeable on the subject prior to submission. Applicants need to ensure the application contains information essential for a comprehensive evaluation of the application. Examples of information would be intellectual property, preliminary data, etc.

The aim of Phase II applications is to continue the R&D developed under Phase I with a goal to commercialize and bring the innovation to market as the Phase II project completes. Phase II will require a more comprehensive application, outlining the proposed effort in detail and the commercialization strategy for the effort. USDA-NIFA recognizes that Phase 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 completing the commercialization of SBIR research or technology.

For Phase II applications, a small business must not propose large-scale demonstration projects, or classified research. 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, however the prototype will have to comply https://www.nifa.usda.gov/sbir with Federal Regulations (7 CFR 3403) for disposition at the end of the grant and cannot be used for Phase III activities. The prototype however should be used as a model to manufacture new versions of the innovation for sale to a commercial market.

Literature surveys should be completed prior to the Phase II application and cannot 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 USDA SBIR program currently has no specific procurement focus; consequently, 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.

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).

• 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;

• Strategic Goal 3: Promote American Agricultural Products and Exports and specifically addresses Objective 3.1;

• Strategic Goal 4: Facilitate Rural Prosperity and Economic Development and specifically addresses Objective 4.1;

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

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

• 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.

C. SBIR Phase II topic areas

USDA-NIFA is soliciting applications for the SBIR Phase II program under the following topic areas:

Program Code/Program Code Name Forests and Related Resources – Topic Area 8.1 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@usda.gov

Plant Production and Protection – Biology – Topic Area 8.2 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 https://www.usda.gov/sites/default/files/documents/usda-strategic-plan-2018-2022.pdf mailto:ccleland@usda.gov biotic stresses, and developing new genotypes of existing crop plants with characteristics that facilitate crop utilization in new commercial applications. Program contact: Robert Nowierski rnowierski@usda.gov

Animal Production and Protection– Topic Area 8.3 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@usda.gov

Conservation of Natural Resources (formerly Air, Water and Soils) – Topic Area 8.4 The Conservation of Natural Resources topic area aims to develop 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. Program contact: Karelyn Cruz karelyn.cruz@usda.gov

Food Science and Nutrition – Topic Area 8.5 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@usda.gov

Rural and Community Development – Topic Area 8.6 The Rural Development topic area aims to fund the development of new technology, or for the 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@usda.gov

Aquaculture – Topic Area 8.7 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@usda.gov

Biofuels and Biobased Products – Topic Area 8.8 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:

Charles Cleland ccleland@usda.gov

Small and Mid-Size Farms – Topic Area 8.12 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@usda.gov mailto:rnowierski@usda.gov mailto:rsmith@usda.gov mailto:karelyn.cruz@usda.gov mailto:jwilliams@usda.gov mailto:Toija.Riggins@usda.gov mailto:Gene.W.Kim@usda.gov mailto:ccleland@usda.gov mailto:debodaghe@usda.gov

Plant Production and Protection – Engineering – Topic Area 8.13 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@usda.gov

In addition to the areas listed above, 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 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.

D. Potential Commercial Outcome

In addition to supporting scientific R&D, another program goal is to provide incentives and opportunities for small business firms to convert USDA-NIFA sponsored research into technological innovations in the private sector. All proposed Phase II projects should have a commercial outcome; therefore, the application requires an extensive commercialization plan.

Instructions on how to complete the commercialization plan are described in section 8. SBIR/Small Business Technology Transfer Program (STTR) Information, Field 7 of this RFA. Additionally if a Phase II applicant has received a prior Phase II grant from the USDA-NIFA SBIR Program, the applicant is required to provide USDA-NIFA with an update on the commercialization activities of the prior project (See Part IV, B. Section 8. SBIR/Small Business Technology Transfer Program (STTR) Information; Field 8. Documentation of Prior SBIR Phase II Awards).

mailto:rmelnick@usda.gov

E. Potential Commercial Outcome and Commercialization Assistance Training Program

Where Phase II applications are evaluated as having approximately equal technical merit, NIFA will consider optional letters of support or contingent commitment letters. In such instances, Phase II applicants with strong letters of support or contingent commitment letters for non-SBIR follow-on funding to pursue further development of the commercial potential during Phase III may receive special consideration as a point of merit in the review and evaluation process.

To receive the consideration described above, applicants must submit letters of support or contingent commitment letters between the small business firm and the entity as part of their Phase II application. The letters must be signed by both parties, set forth the specific amount of Phase III funds, and 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 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 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.

Special Instructions for Technical and Business Assistance Costs: The John S. McCain National Defense Authorization Act for Fiscal Year 2019 permits SBIR Phase II awardees to enter into agreements with one or more vendors to provide Technical and Business Assistance (TABA).

TABA allows an additional $50,000 supplement to the award and is aimed at improving the commercialization success of SBIR awardees. It may be obtained from entities such as public or private organizations; including from an agency of or other entity established or funded by a State that facilitates or accelerates the commercialization of technologies or assists in the creation and growth of private enterprises that are commercializing technology. TABA may include access to a network of scientists and engineers engaged in a wide range of technologies or access to technical and business literature available through on-line databases. This also includes product sales, IP protections, market research, market validation, development of regulatory plans and manufacturing plans.

The goal of TABA is to assist SBIR awardees in:

1. Making better technical decisions on SBIR projects;

2. Solving technical problems that arise during SBIR projects;

3. Minimizing technical risks associated with SBIR projects; and

4. Commercializing the SBIR product or process.

An SBIR firm may acquire TABA services described above on its own. Firms must request this authority from USDA and demonstrate in its SBIR Phase II proposal that the vendor(s) or entity(ies) selected can provide the specific TABA services needed. In addition, costs must be included in the application. The TABA vendors/provider(s) may not be the requesting firm, an affiliate of the requesting firm, an investor of the requesting firm, or a subcontractor or consultant of the requesting firm otherwise required as part of the paid portion of the research effort (e.g.

research partner or research institution). The applicant may use TABA funds for commercialization efforts that would require certification or registration of the innovation, if the certification or registration process requires a research or analytical effort that is outside the scope of the SBIR project. However, the costs for certification and registrations that require research and analytical efforts may be counted towards the SBIR one-half (1/2) cap for sub-awards. See part I. E (A).

To request TABA services please see Part IV, B.6. for further details and instructions.

PART II—AWARD INFORMATION

A. Available Funding

This RFA is being released prior to the passage of an appropriations act for FY 2019. 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, 2019. 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 2019, 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

In accordance with sections 2, 3, and 8 of 2 CFR Part 422, institutions that conduct USDA-funded extramural research must foster an atmosphere conducive to research integrity, bear primary responsibility for prevention and detection of research misconduct, and maintain and effectively communicate and train their staff regarding policies and procedures. In the event an application to NIFA results in an award, the Authorized Representative (AR) assures, through acceptance of the award that the institution will comply with the above requirements. Award recipients shall, upon request, make available to NIFA the policies, procedures, and documentation to support the conduct of the training. See https://nifa.usda.gov/responsible-and-ethical-conduct-researchSee https://nifa.usda.gov/responsible-and-ethical-conduct-research for further information.

https://www.fiscal.treasury.gov/fsservices/gov/pmt/asap/asap_home.htm https://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 2019 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 or a future Phase II 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.

Only awardees in Phase I are eligible to participate and submit a Phase II application. This includes those awardees identified via a “novated” or “successor-in-interest” revised funding agreement.

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).

SBIR/STTR program eligibility requirements are in place to ensure that the funds go only to small, independent businesses within the United States. The regulations include restrictions about

(1) the type of firm, (2) its ownership structure, and (3) the firm’s size in terms of the number of employees. The purpose of the requirement regarding type of firm is to target the awards to firms with an economic interest in developing the idea or research into a commercial application. The purpose of the ownership requirement is to limit the program to independent firms controlled by United States citizens or permanent resident aliens as a way of maximizing the likelihood that the funding will stimulate innovative activity within the United States economy. The purpose of the size restriction (number of employees of the firm and its affiliates) is to limit program funding to small business concerns, which have a unique capacity for innovation and are more likely to be constrained by lack of access to such funding.

TYPE OF FIRM

• An SBIR/STTR small business awardee must be a business concern – it must be organized as a for-profit concern and meet all of the other requirements for a “business concern” in 13 C.F.R. § 121.105.

• Non-profit entities are not eligible.

• If an awardee is a joint venture, each party to the joint venture must be a concern that satisfies all program eligibility requirements.

OWNERSHIP & CONTROL

A majority (more than 50%) of your firms’ equity (e.g., stock) must be directly owned and controlled by one of the following:

1) One or more individuals who are citizens or permanent resident aliens of the US,

2) Other for-profit small business concerns (each of which is directly owned and controlled by individuals who are citizens or permanent resident aliens of the US).

3) A combination of (1) and (2) above.

4) Multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these, so long as no one such firm owns or controls more than 50% of the equity. Note: This option is allowed only for SBIR awards from agencies that are using the authority provided in § 5107 of the SBIR/STTR Reauthorization Act (majority‐VC‐ owned authority), 15 U.S.C. § 638(dd)(1).

Note: If an Employee Stock Ownership Plan owns all or part of the concern, each stock trustee and plan member is considered an owner. If a trust owns all or part of the concern, each trustee and trust beneficiary is considered an owner.

For more information on SBIR eligibility go to https://www.sbir.gov/sites/default/files/elig_size_compliance_guide.pdf

A potential grantee that is a subsidiary must show that the parent company or parent companies are also a small business entity as described above. The parent companies must be a small business and located within the United States. The parent company or parent companies must provide documentation supporting their small business status (the documentation should be included in, Other Attachments, of the Research and Related (R&R) Other Project Information form as directed by Part IV of this RFA). If the parent company or one of the parent companies is a nonprofit organization or an organization outside of the United States, then the subsidiary is not eligible to submit an SBIR application.

Joint ventures, limited partnerships and venture capital 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/Principal Investigator (PD/PI) must be with the small business concern at the time of award and during the conduct of the proposed project. Eligible primary employment means that more than one-half (51%) of the PD’s/PI’s time is spent in the employ of the small business during the award period of performance. Primary employment with the small business precludes the applicant as a full-time employee with another organization or academic institution. While the PD/PI must work more than one-half (51%) of his/her time for the small business during the entire grant period, there is no time requirement for the PD’s/PI’s work on the proposed research. Prior Federal Employees must provide documentation that post termination requirements from Federal Service has been completed at time of submission.

(A) Size

An SBIR awardee, combined with its affiliates, must not have more than 500 employees. The small business concern must be the primary performer of the proposed research effort. In Phase II, a minimum of one-half (50%) of the research or analytical work, as determined by budget expenditures, must be performed by the proposing organization.

(B) 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, agencies may allow that particular portion of the R/R&D work to be performed or https://www.sbir.gov/sites/default/files/elig_size_compliance_guide.pdf obtained outside of the United States. Upon award, the Phase II awardee may request an exception as described in the award terms and conditions and submit to USDA-NIFA for approval.

(C) Benchmark

A small business firm that submits a Phase II application and has received more than 15 SBIR Phase II awards during the preceding 5 fiscal years must document the extent to which it was able to secure Phase III funding/sales to develop concepts resulting from previous Phase II SBIR awards. In addition, the documentation must include the name of the awarding agency, date of award, funding agreement number, amount, topic or subtopic title, follow-on agreement amount, source and date of commitment, and current commercialization status for each Phase II award.

This information will be retained for the report required under section 105 of the Small Business Research and Development Enhancement Act of 1992.

B. Cost Sharing or Matching

NIFA does not require matching support for this program and matching resources will not be factored into the review process as evaluation criteria

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 https://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. Applicants are to provide the PDF document that indicates the registration has been completed (see Field 12. Add Other Attachments under subpart B. below).

2. 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 to access, complete, and submit applications. For basic system requirements and download instructions, see https://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 https://www.grants.gov/web/grants/applicants/download-application-package.html and enter the funding opportunity number

Funding Opportunity Number: USDA-NIFA-SBIR-006692

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 move forms amongst different Grant Application Packages but you may ONLY submit an application to the particular funding opportunity to which the Grant Application Package is associated.

https://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html https://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html http://www.sbir.gov/registration https://get.adobe.com/reader/ https://www.grants.gov/web/grants/applicants/adobe-software-%20compatibility.html https://www.grants.gov/web/grants/applicants/adobe-software-%20compatibility.html

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.

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:

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

• Email: electronic@nifa.usda.gov

• Phone: 202-401-5048

• Business hours: Monday through Friday, 7 a.m. – 5 p.m. ET, 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 9/1/2019 8/31/2021

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.

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

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.

(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 https://nifa.usda.gov/resource/application-support-templates 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 R&D 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 – For this section briefly describe the market potential for the innovation. 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).

(10) Satisfying the Public Interest – Specify how the proposed research will satisfy one or more of the USDA strategic goals identified in Part I B. (more information can be found at https://www.nifa.usda.gov/resource/nifa-strategic-plan-fy2014-fy2018).

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.

https://www.nifa.usda.gov/resource/nifa-strategic-plan-fy2014-fy2018

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 form is:

(1) 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.

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 –

Letters of Support (recommended page limit for each letter is 2 pages).or reason for not providing letters of support is required. This documentation is to be included as a PDF attachment in Field 12.

Letters of support act as an indication of market validation and technical support for the proposed innovation and add significant credibility to the proposed effort. Letters of support should demonstrate that the company has initiated dialogue with relevant stakeholders (potential customers or end users, strategic partners or investors) for the proposed innovation and that a legitimate business opportunity may exist should the technology prove feasible. The letter(s) must contain affiliation and contact information for the signatory stakeholder. Letter of support from consultants or subcontractors may be provided if they are providing a critical role in the project, such as access to facilities, equipment, or expertise. Letters and supporting documents from State, Local and Congressional representatives, are NOT considered letters of support and should not be submitted as part of the application.

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

If letters of support are not appropriate for this stage of an innovation, due to business considerations, then the applicant must clearly justify why letters of support are not being included in the application. The justification should relate to the technical and commercial considerations of the innovation proposed in 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. 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)…