Small Business Innovation Research (SBIR) Program / Small Business Technology Transfer (STTR) Program

The National Institute of Food and Agriculture (NIFA) administers the U.S. Department of Agriculture's (USDA) Small Business Innovation Research (SBIR) and Technology Transfer (STTR) programs, both of which focus on projects that enhance American agr

The USDA SBIR/STTR programs focus on transforming scientific discovery into products and services with commercial potential and/or societal benefit. Unlike fundamental research, the USDA SBIR/STTR programs support small businesses in the creation of innovative, disruptive technologies and enable the application of research advancements from conception into the market. The STTR program aims to foster technology transfer through formal cooperative research and development between small businesses and nonprofit research institutions. The aim of a Phase I project should be to demonstrate technical feasibility of the proposed innovation and thereby bring the innovation closer to commercialization. Proposals should describe the development of an innovation that demonstrates the following characteristics: 1.) Involves a high degree of technical risk - for example, has never been attempted and/or successfully achieved and is still facing technical hurdles (that the USDA-funded R & D work is intended to overcome). 2.) Has the potential for significant commercial impact and/or societal benefit as evidenced by having the potential to disrupt the targeted market segment; having good product-market fit (as validated by customers); removing barriers to entry for competition; and offering potential for societal benefit (through commercialization under a sustainable business model). 3.) Phase I awards may not exceed the listed maximum award amount for each topic area (listed with specific Program Code) with a project period normally not to exceed eight (8) months for SBIR and twelve (12) months for STTR. 4.) The Phase I application should concentrate on research that will significantly contribute to proving the scientific or technical feasibility of the approach or concept, describe the potential market for the innovation, and be a prerequisite to further USDA SBIR/STTR support in Phase II. The aim of SBIR/STTR 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. Notice of Funding Opportunities (NOFOs) are generally released annually. See the program NOFO for specific and detailed information. Specific instructions in the NOFOs supersede the general information provided in the Assistance Listing. The programs and associated NOFOs listed under Assistance Listing 10.212 are: 1.) SBIR/STTR Phase I: https://www.nifa.usda.gov/grants/funding-opportunities/small-business-innovation-research-small-business-technology-transfer 2.) SBIR/STTR Phase II: https://www.nifa.usda.gov/grants/funding-opportunities/small-business-innovation-research-small-business-technology

Phase I is open to any eligible small independent US business. Phase II is open only to previous Phase I awardees. The SBIR/STTR Phase I and Phase II NOFOs outline the specific eligibility requirements that are in place to ensure that the funds go only to small, independent US businesses. 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. See the program NOFO for more details about the SBIR/STTR eligibility requirements.

The selected areas for research are: 1.) Forests and Related Resources; 2.) Plant Production and Protection (Biology) 3.) Animal Production and Protection; 4.) Management of Natural Resources; 5.) Food Science and Nutrition; 6.) Rural and Community Development; 7.) Aquaculture; 8.) Biofuels and Biobased Products; 9.) Small and Mid-size Farms; and 10.) Plant Production and Protection (Engineering). Phase I projects are supported to determine the scientific or technical feasibility of ideas submitted by small business applicants on the selected research areas. Phase II awards are made to firms with approaches that appear sufficiently promising as a result of Phase I studies. Only those small businesses previously receiving Phase I awards are eligible to submit Phase II proposals.

The selected areas for research are: 1.) Forests and Related Resources; 2.) Plant Production and Protection (Biology) 3.) Animal Production and Protection; 4.) Management of Natural Resources; 5.) Food Science and Nutrition; 6.) Rural and Community Development; 7.) Aquaculture; 8.) Biofuels and Biobased Products; 9.) Small and Mid-size Farms; and 10.) Plant Production and Protection (Engineering). Phase I projects are supported to determine the scientific or technical feasibility of ideas submitted by small business applicants on the selected research areas. Phase II awards are made to firms with approaches that appear sufficiently promising as a result of Phase I studies. Only those small businesses previously receiving Phase I awards are eligible to submit Phase II proposals.

The proposed duration of Phase I projects should normally not exceed eight (8) months for SBIR and twelve (12) months for STTR. The proposed duration of Phase II projects will not normally exceed twenty-four (24) months. See the program RFAs for more information length and time phasing of assistance.

All NOFOs are published on Grants.gov. Applicants must complete the SAM.gov and Grants.gov registration process prior to applying. See the program NOFO for any program specific pre-application requirements.

General application instructions are listed in the NIFA Grants Application Guide. Program-specific instructions are listed in the Notice of Funding Opportunity (NOFO). The NOFO overrides the Application Guide if there is a discrepancy between the two documents. Applicants must apply electronically through Grants.gov; no other method or response is accepted. The application forms package for this funding opportunity must be accessed through Grants.gov. Part III of the NIFA Grants Application Guide explains how to access a specific application forms package. Parts II and III of the NIFA Grants Application Guide contain resources to assist grant applicants and detailed information regarding the Grants.gov registration process. NIFA evaluates each application in a two-part process. First, each application is screened to ensure that it meets the administrative requirements set forth in the NOFO. All administrative requirements must be met in order for the application to proceed to the next level of review. Second, a scientific peer-review process will be used to technically evaluate applications that have met the administrative requirements using a review panel. After each peer review panel has completed deliberations, the responsible NIFA program staff will either recommend an application for support from available funds or decline an application due to insufficient funds or unfavorable review. See the program NOFO for more information.

Within the limit of funds authorized, the NIFA awarding official will make grants to eligible applicants whose applications are judged most meritorious under the procedures set forth in the NOFO. After the award is finalized, a formal notification in the form of a Notice of Award (NoA), signed by the Authorized Departmental Officer, will be provided to the applicant organization for successful applications. The NoA is the authorizing document and will be sent via email to the recipient's Authorized Representative. The NoA will provide pertinent instructions and information including, at a minimum, the information described in 2 CFR 200.211 (see NIFA's Terms and Conditions).

Section 094 - Deadlines: Dates for specific deadlines are announced in the NOFO each fiscal year. Information is also available via our website and may be obtained via the Grants.gov website. Respective links are provided below: http://www.nifa.usda.gov/ http://www.grants.gov Section 095 - Range of Approval/Disapproval Time: From 30 to 60 days. Contact the National Program Leader (NPL), as indicated per CFDA Section # 152 - Headquarters Office regarding dates for specific deadlines, start and end dates, and range of approval/disapproval time. Information is also available via our website and may be obtained via the Grants.gov website. NIFA's respective links regarding general information are provided below: http://nifa.usda.gov/ http://www.grants.gov. SPECIAL NOTE: Please refer to the Competitive Notice of Funding Opportunity (NOFOs) for further specific and pertinent details. The most current NOFO is available via: SBIR Phase I https://nifa.usda.gov/funding-opportunity/small-business-innovation-research-program-phase-i SBIR Phase II: https://nifa.usda.gov/funding-opportunity/small-business-innovation-research-program-phase-ii

Specific details are provided in the Notice of Funding Opportunity (NOFO), which are generally published annually.

Phase I applications may be revised and resubmitted during a later funding cycle, provided the subject matter of the proposal is not changed, and the topic area under which the proposal was originally submitted is still listed in the solicitation. Phase I grantees may apply for a Phase II grant only once for each Phase I project funded. Note: Change "Phase I grantees may apply for a Phase II grant only once for each Phase I project funded." to read as "Only those small businesses previously receiving Phase I awards are eligible to submit Phase II proposals" 2 CFR Part 200 - Subparts D & E apply to this program.