FY22-SBIR-2-RFA-508.pdf

REQUEST FOR APPLICATIONS

Small Business Innovation Research Program Phase II

FUNDING YEAR: Fiscal Years 2022 and 2023

APPLICATION DEADLINE: Fiscal Year 2022, April 6, 2022 Fiscal Year 2023, March 2, 2023

ANTICIPATED FUNDING: Fiscal Year 2022 $19,500,000 Fiscal Year 2023 $19,500,000

FUNDING OPPORTUNITY NUMBER: USDA-NIFA-SBIR-008801

ASSISTANCE LISTING NUMBER: 10.212

LETTER OF INTENT DEADLINE: Not Required

INITIAL ANNOUNCEMENT

National Institute of Food and Agriculture United States Department of Agriculture

Assistance Listing: The Small Business Innovation Research (SBIR) program Phase II is listed in the beta.SAM.gov Assistance Listings number 10.212.

Table 1 Key Dates and Deadlines

Application: FY 2022, 5:00 P.M. Eastern Time, April 6, 2022 FY 2023, 5:00 P.M. Eastern Time, March 2, 2023

Applicants Comments: Within six months from the issuance of this notice (NIFA may not consider comments received after the sixth month)

Advancing Diversity, Equity, Inclusion, and Accessibility. NIFA recognizes research, education, and extension efforts will have the greatest impacts when equity is grounded in the programs. NIFA is committed to enhancing diversity, equity, inclusion, and accessibility of programs and encourages individuals, institutions, and organizations from underserved communities to apply to funding opportunities as lead, co-lead, or subaward recipient(s), and to engage as leaders in the peer panel review process to support the development of strong networks and collaborations. NIFA encourages applications that engage diverse communities and have broad impacts through research, education, extension, and integrated activities to address current and future challenges.

Stakeholder Input. The National Institute of Food and Agriculture (NIFA) seeks comments on all request for applications (RFAs) so it can deliver programs efficiently, effectively, with integrity, and with a focus on customer service. NIFA considers comments, to the extent possible when developing RFAs and use comments to help meet the requirements of Section 103(c)(2) of the Agricultural Research, Extension, and Education Reform Act of 1998 (7 U.S.C.

7613(c)(2))Applicants may submit written comments to Policy@usda.gov (email is for comments only). Please use the following subject line: Response to the Small Business Innovation Research Program Phase II RFA.

https://nifa.usda.gov/resource/agricultural-research-extension-and-education-reform-act-1998 https://nifa.usda.gov/resource/agricultural-research-extension-and-education-reform-act-1998 https://uscode.house.gov/view.xhtml?req=(title:7%20section:7613%20edition:prelim)%20OR%20(granuleid:USC-prelim-title7-section7613)&f=treesort&edition=prelim&num=0&jumpTo=true https://uscode.house.gov/view.xhtml?req=(title:7%20section:7613%20edition:prelim)%20OR%20(granuleid:USC-prelim-title7-section7613)&f=treesort&edition=prelim&num=0&jumpTo=true mailto:Policy@usda.gov

EXECUTIVE SUMMARY

The USDA Small Business Innovation Research (SBIR) program focuses on transforming scientific discovery into products and services with commercial potential and/or societal benefit.

Unlike fundamental research, the USDA SBIR program supports small businesses in the creation of innovative, and/or disruptive technologies and enables the application of research advancements from conception into the market.

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

NIFA requests applications for the SBIR program Phase II for fiscal year (FY) 2022 from previous SBIR program Phase I awardees. This RFA is being released prior to the passage of an FY 2022 appropriations act. Enactment and implementation of appropriations or authorizing legislation may affect the availability or level of funding for this program and may delay the start date of Phase II grants for FY 2022.

This notice identifies the objectives for the SBIR program Phase II projects, deadlines, funding information, eligibility criteria for projects and applicants, and application forms, and associated instructions.

Table of Contents

INITIAL ANNOUNCEMENT

EXECUTIVE SUMMARY

Table of Contents Table of Tables

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. Application Restrictions C. Project Types D. Ethical Conduct of Funded Projects

PART III. ELIGIBILITY INFORMATION

A. Eligibility Requirements B. Cost Sharing or Matching

PART IV. APPLICATION AND SUBMISSION

A. Method of Application B. Small Business Administration (SBA) Registration C. Content and Form of the Application D. Funding Restrictions E. Submission Dates and Times

PART V. APPLICATION REVIEW REQUIREMENT

A. NIFA’s Evaluation Process

PART VI. AWARD ADMINISTRATION

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

PART VII. OTHER INFORMATION

APPENDIX I: AGENCY CONTACTS

APPENDIX II: GLOSSARY OF TERMS

Table of Tables

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

PART I. FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority The National Defense Authorization Act for Fiscal Year 2017 (Pub. L. 114–328, §1834(a) Extension of SBIR and STTR programs) amended the SBIR Small Business Act (15 U.S.C.

638(m)) to September 30, 2022.

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

B. Purpose and Priorities The Small Business Administration (SBA), through the SBIR Policy Directive, provides policy guidance for this program. A main purpose of the legislation is to stimulate technological innovation and increase private sector commercialization among small business concerns and enable them to undertake and to obtain the benefits of research and development in order to maintain and strengthen the competitive free enterprise system and the national economy. The USDA SBIR program Assistance Listing 10.212, is therefore in a unique position to meet both the goals of USDA and the purpose of the SBIR legislation by transforming scientific discovery and innovation both social and economic benefit, and by emphasizing private sector commercialization.

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 demonstrate 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. Handling of baseline data and data collection will be addressed in the Data Management Plan (DMP) in accordance with the Part IV(B) of this RFA.

The aim of SBIR 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.

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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 with Federal Regulations (7 CFR 3403) for disposition at the end of the grant and cannot be used for Phase III activities. The prototype 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, C.)

that corresponds to the Phase I work that was previously funded.

The USDA SBIR program currently has no specific procurement focus, as a consequence USDA offers ten 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. These ten solicitation topic areas provide an opportunity to pursue the following USDA priorities:

1. Addressing climate change via climate-smart agriculture and forestry

2. Advancing racial justice, equity, and opportunity

3. Creating more and better market opportunities

4. Tackling food and nutrition insecurity

The SBIR program Phase II is aligned with the following USDA Strategic Goals:

1. Strategic Goal 2: Maximize the Ability of American Agricultural Producers to Prosper by Feeding and Clothing the World;

2. Strategic Goal 3: Promote American Agriculture Products and Exports

3. Strategic Goal 4: Facilitate Rural Prosperity and Economic Development;

4. Strategic Goal 5: Strengthen the Stewardship of Private Lands Through Technology and

Research;

5. Strategic Goal 6: Ensure Productive and Sustainable Use of Our National Forest System

Lands; and

6. Strategic Goal 7: Provide all Americans Access to a Safe, Nutritious, and Secure Food

Supply.

Additional requirements on expected performance goals, indicators and targets may be required as a condition of award.

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

C. SBIR Phase II Topic Areas

Forests and Related Resources – Topic Area 8.1 Contact Dr. Diomides Zamora, NPL for SBIR Forests and Related Resources at Diomides.Zamora@usda.gov or 202-590-6049

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.

Plant Production and Protection – Biology – Topic Area 8.2 Contact Dr. Kari Perez, NPL for SBIR Plant Production and Protection (Biology) at Kari.Perez@usda.gov or 816-550-8047

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 facilitate crop utilization in new commercial applications.

Animal Production and Protection– Topic Area 8.3 Contact Dr. Robert M. Smith, NPL for SBIR Animal Production and Protection at Robert.M.Smith@usda.gov or 202-445-3468 or Dr. Frank Siewerdt, NPL for SBIR Animal Production and Protection at Frank.Siewerdt@usda.gov or 816-329-9746.

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.

Conservation of Natural Resources– Topic Area 8.4 Contact or Dr. Sandeep Kumar, NPL for SBIR Conservation of Natural Resources at Sandeep.Kumar@usda.gov or 816-832-7235 or Dr. James Dobrowolski, NPL for SBIR Conservation of Natural Resources at James.Dobrowolski@usda.gov or 202-420-8918

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.

Food Science and Nutrition – Topic Area 8.5 Contact Dr. Lydia Kaume, NPL for SBIR Food Science and Nutrition at Lydia.Kaume@usda.gov or 816-642-4607 mailto:Diomides.Zamora@usda.gov mailto:Kari.Perez@usda.gov mailto:Frank.Siewerdt@usda.gov mailto:Sandeep.Kumar@usda.gov mailto:James.Dobrowolski@usda.gov mailto:Lydia.Kaume@usda.gov

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.

Rural and Community Development – Topic Area 8.6 Contact Dr. Keith Harris, NPL for SBIR Rural and Community Development at Keith.Harris@usda.gov or 816-916-0332

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.

Aquaculture – Topic Area 8.7 Contact Dr. Timothy Sullivan, NPL for SBIR Aquaculture at Timothy.Sullivan@usda.gov or 816-527-5434

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.

Biofuels and Biobased Products – Topic Area 8.8 Contact Dr. David Songstad, NPL for Biofuels and Biobased Products at David.Songstad@usda.gov or 816-412-7422

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.

Small and Mid-Size Farms – Topic Area 8.12 Contact Dr. Denis Ebodaghe, National Program Leader for SBIR Small and Mid-Size Farms at Denis.Ebodaghe@usda.gov or 202-445-5460

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).

Plant Production and Protection – Engineering – Topic Area 8.13 Contact Dr. Victoria Finkenstadt, National Program Leader for SBIR Plant Production and Protection Engineering at Victoria.Finkenstadt@usda.gov or -816-520-8456 or Dr. Steven Thomson NPL for SBIR Plant Production and Protection (Engineering) at Steven.J.Thomson@usda.gov or 816-908-3310

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 mailto:Keith.Harris@usda.gov mailto:Timothy.Sullivan@usda.gov mailto:Victoria.Finkenstadt@usda.gov pests and pathogens in economically and environmentally sound ways. In addition to the areas listed above, USDA NIFA recognizes Agricultural-related manufacturing technology and energy efficiency and alternative and renewable energy as two crosscutting priorities with relevance to all areas listed in this program solicitation. The USDA NIFA encourages applicants to address these priorities, as appropriate, within their applications. However, these are not meant to be standalone topic areas.

Agricultural-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 the submission of applications that deal with some aspect of agricultural-related manufacturing technology. Since manufacturing affects all aspects of agriculture and rural development, applications dealing with manufacturing could be submitted to any of the 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 a high priority. 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 affect 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.

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 Part IV, C.

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, C. Field 8. SBIR/Small Business Technology Transfer Program (STTR) Information; Field 8. Documentation of Prior SBIR Phase II Awards).

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 2020 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, C. for further details and instructions.

PART II. AWARD INFORMATION

A. Available Funding USDA NIFA plans to fund approximately forty (40) percent of the Phase II applications within each of the ten (10) topic areas identified in this RFA. The anticipated amount available for SBIR in FY 2022 is approximately $19,500,000 and for FY 2023 is approximately $19,500,000.

This RFA is being released prior to the passage of an FY 2022 appropriations act. Enactment and implementation of appropriations or authorizing legislation may affect the availability or level of funding for this program.

USDA is not committed to fund any particular application or to make a specific number of awards. The Automated Standard Application for Payments, operated by the Department of Treasury, Bureau of Fiscal Service, is the designated payment system for awards resulting from this RFA.

Awards are based on the level of funding provided to the program in FY 2021. For FY 2021, Phase II awards will not exceed $600,000 (not including TABA), with the maximum award available $650,000 (including TABA) for a period of 24 months with a start date of September 1, 2021.

B. Application Restrictions NIFA will evaluate applications using the criteria described in Part V of this RFA. Applications for FY 2022 are limited to the following applications types:

1. 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. Project Types Phase II applications may not request more than $600,000 (not including TABA), with the maximum award available $650,000 (including TABA) for a period normally not to exceed 24 months. In special cases, NIFA can allow a period of performance up to 36 months but applicants may not request more than $600,000 (not including TABA). The planned period of performance dates are listed below, however these dates may change due to the enactment of continuing resolutions or an appropriations act.

FY 2022 ~ Phase II, Start Date: 9/1/2022, End Date: 8/31/2024

D. Ethical Conduct of Funded Projects 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 https://www.fiscal.treasury.gov/fsservices/gov/pmt/asap/asap_home.htm https://www.fiscal.treasury.gov/fsservices/gov/pmt/asap/asap_home.htm https://www.ecfr.gov/cgi-bin/text-idx?SID=3f96ab05cf1fc2d2713e5e46755e7696&mc=true&node=pt2.1.422&rgn=div5#se2.1.422_12 recipients must, upon request, make available to NIFA the policies, procedures, and documentation to support the conduct of the training. See Responsible and Ethical Conduct of Research for further information.

Reporting Waste, Fraud and Abuse - In the event a company or individual suspects any waste, fraud and/or abuse, the company or individual can contact the USDA Office of Inspector General (OIG)'s hotline or at 800-424-9121.

https://nifa.usda.gov/responsible-and-ethical-conduct-research https://nifa.usda.gov/responsible-and-ethical-conduct-research https://www.usda.gov/oig/hotline.htm

PART III. ELIGIBILITY INFORMATION

A. Eligibility Requirements 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 2022 RFA. This includes those awardees identified via a “novated” or “successor-in-interest” revised funding agreement.

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.

Each applicant submitting an application must qualify as a Small Business Concern (SBC) through registration with the SBA 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

1. 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.

2. Non-profit entities are not eligible.

3. 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 United States,

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 United States).

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 https://www.ecfr.gov/current/title-13/chapter-I/part-121/subpart-A/subject-group-ECFRd133f03f6d8398b/section-121.105 https://www.ecfr.gov/current/title-13/chapter-I/part-121/subpart-A/subject-group-ECFRd133f03f6d8398b/section-121.105 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.

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.

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 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.

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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 No Match Required - The SBIR has NO matching requirement. NIFA will not factor matching resources into the review process as an evaluation criterion.

PART IV. APPLICATION AND SUBMISSION

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

Documents submitted via email will not be accepted. The electronic application for this RFA and additional resources are available on Grants.gov. Table 2 provides instructions on how to obtain an electronic application. Part II § 1 of the NIFA Grants.gov Application Guide (Application Guide) contains detailed information regarding the Grants.gov registration process. We urge you to submit early to the Grants.gov system. 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.

Table 2: Steps to Obtain Application Materials

Step One: Register New Users to Grants.gov must register early with Grants.gov prior to submitting an application (Register Here).

Step Two:

Download Adobe

Download and Install Adobe Reader (see Adobe Software Compatibility for basic system requirements)

Step Three: Find Application

Using this funding opportunity number USDA-NIFA-SBIR-008801, search for application here: Opportunity Package.

Step Four: Assess Readiness

Contact an AR prior to starting an Application to assess the organization’s readiness to submit an electronic application.

Table 3: Help and Resources

Grants.gov Support NIFA Support Grants.gov Online Support Telephone support: 800-518-4726 Toll-Free or 606-545-5035 Email support: support@grants.gov Self-service customer-based support:

Grants.gov iPortalgrantapplicationquestions@usda.gov Key Information: Customer service business Hours 24/7, except federal holidays

Email: grantapplicationquestions@usda.gov

Key Information: Business hours: Monday thru Friday, 7a.m. – 5p.m. ET, except federal holidays

B. Small Business Administration (SBA) Registration Companies that submit an application to any SBIR solicitation are required to register with the SBIR company registry and obtain an SBC Control Number. All companies are also required to update their commercialization status through the SBIR company registry. Supporting documentation must be included in a company’s application as a portable document format (PDF) file and attached under Field 12 of the application. SBIR registration information is available on the SBIR Homepage.

https://www.grants.gov/ https://apply07.grants.gov/apply/opportunities/instructions/PKG00249520-instructions.pdf https://apply07.grants.gov/apply/opportunities/instructions/PKG00249520-instructions.pdf https://www.grants.gov/ http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html https://www.grants.gov/ https://www.grants.gov/ https://www.grants.gov/web/grants/register.html https://get.adobe.com/reader/ https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html https://www.grants.gov/web/grants/applicants/search-opportunity-package.html https://www.grants.gov/web/grants/support.html mailto:support@grants.gov https://grants-portal.psc.gov/Welcome.aspx?pt=Grants https://grants-portal.psc.gov/Welcome.aspx?pt=Grants mailto:grantapplicationquestions@usda.gov https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ mailto:grantapplicationquestions@usda.gov https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/

C. Content and Form of the Application The Application Guide is part of the corresponding application package for this RFA. The RFA overrides the Application Guide if there is a discrepancy between the two documents. NIFA will accept subsequent submissions to an application until the application deadline. However, applicants that do not meet the application requirements, to include partial applications, risk being excluded from NIFA’s review. NIFA will assign a proposal number to all applications that meet the requirements of this RFA. Applicants must refer to the proposal number when corresponding with NIFA. Table 4 outlines other key instructions for applicants.

Note the attachment requirements (e.g., PDF) in Part III, Section 3 of the guide. Any proposals that are non-compliant with the requirements (e.g., content format, PDF file format, file name restrictions, and no password protect 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.

The purpose of a research application is to provide a written statement that contains sufficient information to persuade members of the research community who review the application and then advise the USDA NIFA SBIR professional staff that the proposed research is a sound approach to an important scientific question and is worthy of support under the stated USDA NIFA evaluation criteria. The application is to 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.

Multiple Submission – Submission of a proposal to more than one topic area is not allowed.

NIFA will disqualify both applications. For those new to Federal financial assistance, NIFA’s Grants Overview provides highly recommended information about grants and other resources to help understand the Federal awards process.

Modifications to the application will not be accepted after the closing date of this program solicitation. Under some circumstances, changes, additions, or corrections may be necessary to an application submitted to the USDA 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@usda.gov.

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.

Letter of Intent Number- This solicitation does not require a letter of intent. Use “NA” for this field.

https://nifa.usda.gov/resource/grants-overview mailto:sbir@usda.gov

Table 4: Key Application Instructions Instruction

References

(All references are to the Application Guide)

Attachments must be in a PDF format. Part III § 3 Check the manifest of submitted files to verify attachments are in the correct format.

Part III § 6.1

Conduct an administrative review of the application before submission.

Part VII and

Follow the submission instructions. Part IV § 1.5 Provide an accurate email address, where designated, on the SF-424 R&R.

Part IV § 1.5

Contact the Grants.gov helpdesk for technical support and keep a record of the correspondence.

Contact NIFA if applicant does not receive correspondence from NIFA regarding an application within 30 days of the application deadline.

SF 424 R&R Cover Sheet. See Part V § 2 and Part V § 2.17of the Application Guide for the required certifications and assurances.

Field 5. The USDA NIFA SBIR program’s official correspondence will be with either the PD or

AR.

Field 12. Proposed Project Start Date and End Date. The proposed duration of Phase II projects should normally not exceed twenty- four months, except in special, justified circumstances. The planned period of performance dates are listed below, however these dates may change due to the enactment of continuing resolutions or an appropriations act. In most circumstances, the following dates should be used for these fields:

FY2022 ~ Phase II, Start: 9/1/2021, End: 8/31/2023

Field 17. Complete Certification. Refer to the Application Guide for information on the certifications that are being agreed to by checking this box. Note: An applicant who is delinquent on Federal debts must attach explanatory information detailing all relevant particulars concerning the Federal debt in PDF format in Field 12 of the R&R Other Project Information form (Other Attachments).

Field 20. Pre-application. This is not applicable to the USDA NIFA SBIR program. Do not add attachments.

SF 424 R&R Project/Performance Site Location(s). See Part V § 3 of the Application Guide.

R&R Other Project Information Form. See Part V § 4 of the Application Guide.

1. Field 7. Project Summary (PS)/Abstract. The PS must show how the project goals align with the project goals of SBIR. See Part V § 4.7 of the Application Guide for https://www.grants.gov/ https://apply07.grants.gov/apply/opportunities/instructions/PKG00249520-instructions.pdf https://apply07.grants.gov/apply/opportunities/instructions/PKG00249520-instructions.pdf https://apply07.grants.gov/apply/opportunities/instructions/PKG00249520-instructions.pdf instructions and suggested templates. The PS is limited to one page with line spacing not exceeding six lines of text per vertical inch, including all figures and tables.

The PS must include a description of the problem or opportunity, project objectives, and a description of the effort. The PS must also include a paragraph discussing the anticipated results and potential commercial applications of the proposed research.

NIFA may publish the PS of successful applications; therefore, the PS should not contain proprietary information.

It is the responsibility of the applicant to review the attachment for page limit and PDF compliance before submission. Applicants must ensure that the abstract attachment meets the required page limit. NIFA will not review applications that exceed the required page limits.

2. Field 8. Project Narrative (PN). The PN must not exceed a total of 20 pages of written text with 12-point font and line spacing not exceeding six lines of text per vertical inch, including all figures and tables(the font must be Times New Roman with at least 1-inch margins). Labels for figures and tables may use a font no smaller than 10 point. The page limits outlined here ensure fair and equitable competition. Appendices to the PN are allowed if they are directly germane to the proposed project and are within the page limit. Do not add appendices to circumvent the page limit. Applicants must not include additional information such as cover sheets, table of contents, reference listings, budgets, and appendices unless the applicant intends for NIFA to consider them in the page count.

The PN must include all of the following, or NIFA may not review it:

a. Responsiveness to USDA NIFA SBIR Program Priorities: Indicate if the application has a connection to agricultural–related manufacturing technology, energy efficiency and alternative and renewable energy. Provide a brief explanation of how the application is related to the area indicated.

b. 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.

c. Identification and Significance of the Problem or Opportunity: Clearly state the specific technical problem or opportunity addressed and its importance.

d. 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 to demonstrate support for your proposed research. Moreover, all citations provided must be properly referenced in the Bibliography & References Cited as a separate attachment (see Field 9). USDA NIFA has the right to decline any application where there is evidence of plagiarism

e. 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.

f. Technical Objectives: State the specific objectives of the research or research and development effort. Include the technical questions needed to establish the technical feasibility of the proposed approach.

g. 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…