Small Business Innovation Research (10.212)

Program

10.212 Small Business Innovation Research

Federal Agency

Agency: Department of Agriculture
Office: National Institute of Food and Agriculture

Authorization

This program solicitation is issued pursuant to the Small Business Innovation Development Act of 1982, Pub. L. No. 97-219, as amended (15 U.S.C. 638) and Section 630 of the Act making appropriations for Agriculture, Rural Development and Related Agencies� programs for fiscal year ending September 30, 1987, and for other purposes, as made applicable by Section 101(a) of Pub. L. No. 99-591, 100 Stat. 3341., 15 U.S.C 638.

Program Number

10.212

Last Known Status

Active

Objectives

To stimulate technological innovation in the private sector, strengthen the role of small businesses in meeting Federal research and development needs, increase private sector commercialization of innovations derived from USDA-supported research and development efforts, and foster and encourage participation, by women-owned and socially disadvantaged small business firms in technological innovation.

Types of Assistance

PROJECT GRANTS

Uses and Use Restrictions

The selected areas for research are Forests and Related Resources; Plant Production and Protection-Biology; Animal Production and Protection; Soil and Water Resources; Food Science and Nutrition; Rural and Community Development; Aquaculture; Industrial Applications; Marketing and Trade; Wildlife; Animal Manure Management, Small and Mid-size Farms, Plant Production and Protection-Engineering. The Small Business Innovation Research Program is carried out in three separate phases: Phase I projects are supported to determine the scientific or technical feasibility of ideas submitted by proposes 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 in either of the two preceding fiscal years are eligible to submit Phase II proposals. Phase II projects are limited to $350,000 for a period normally not to exceed 24 months; Phase III is to be conducted by the small business concern (including joint ventures and limited partnerships), and will be non-SBIR funded through the exercising of a follow-on funding commitment. The purpose of Phase III is to stimulate technological innovation and the national return on investment from research through the pursuit of commercialization objectives resulting from the USDA-supported work carried out in Phases I and II. Grant funds must be used for allowable costs necessary to conduct approved fundamental and applied research, extension and education objectives to address food and agricultural sciences. Fully discretionary.

Eligibility Requirements

Applicant Eligibility

Applicant Eligibility (1) is organized for profit, with a place of business located in the United States, which operates primarily within the United States, or which makes a significant contribution to the United States economy through the payment of taxes or use of American products, materials or labor; (2) is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there can be no more than 49 percent participation by foreign business entities in the joint venture; (3) is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, except in the case of a joint venture, where each entity in the venture must be 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in the United States; and (4) has, including its affiliates, not more than 500 employees. The term "affiliates" is defined in greater detail in 13 CFR 121.103. The term "number of employees" is defined in 13 CFR 121.106.

Beneficiary Eligibility

Small businesses.

Credentials/Documentation

A Data Universal Number System (DUNS) number must be obtained - A DUNS number is a unique number that identifies an organization. It has been adopted by the Federal government to help track how Federal grant money is distributed. If your organization does not have a DUNS number, call the special Dun & Bradstreet hotline at 1-866-705-5711 to receive one free of charge. You will receive a DUNS number within several days of your request. Please note, individual proprietorships (i.e. farmers, ranchers) can request and receive a DUNS number, but must register with Grants.gov as an organization, not as an individual.

Registration with Central Contractor Registry (CCR) is required - The CCR is the central government repository for organizations working with the Federal government. If your organization is not already registered, identify the primary contact who should register your organization. When your organization registers with CCR, it will be required to designate an e-Business Point of Contact (e-Business POC). The e-Business POC authorizes individuals to submit grant applications on behalf of the organization and creates a special password called a Marketing Partner ID Number (M-PIN) to verify individuals authorized to submit grant applications for the organization. Visit the CCR Web site at http://www.ccr.gov to begin this process. It may take several days to collect the information needed for your organization�s registration. The CCR Assistance Center can be reached at 888-227-2423. This information collection is approved under OMB Control No. 0524-0039, �NIFA Application Kit for Research and Extension Programs.�

Applicants must furnish the information required in the request for applications (RFAs). Successful applicants recommended for funding must furnish the information and assurances requested during the award documentation process. These include, but are not limited to the following:

Organizational Management Information - Specific management information relating to an applicant shall be submitted on a one time basis, with updates on an as needed basis, as part of the responsibility determination prior to the award of a grant identified under this RFA, if such information has not been provided previously under this or another NIFA program. NIFA will provide copies of forms recommended for use in fulfilling these requirements as part of the preaward process. Although an applicant may be eligible based on its status as one of these entities, there are factors which may exclude an applicant from receiving Federal financial and nonfinancial assistance and benefits under this program (e.g., debarment or suspension of an individual involved or a determination that an applicant is not responsible based on submitted organizational management information). This information collection is approved under OMB Circular Control No. 0524-0026, �Assurance of Compliance with the Department of Agriculture Regulations Assuring Civil Rights, Compliance and Organization Information.�. This program is excluded from coverage under OMB Circular No. A-87.

Application and Award Process

Preapplication Coordination

All RFAs are published on the Agency�s website and Grants.gov. Applicants must complete the Grants.gov registration process. Please see the following Grants.gov link for more information: http://www.grants.gov/applicants/get_registered.jsp. This program is excluded from coverage under E.O. 12372. An environmental impact statement is required for this program. This program is excluded from coverage under E.O. 12372.

Application Procedure

This program is excluded from coverage under OMB Circular No. A-102. OMB Circular No. A-110 applies to this program. Applications should be submitted as outlined in the RFA. Applications must follow the instructions provided per Grants.Gov and in the Agency guide to submitting applications via Grants.gov.

Award Procedure

Applications are subjected to a system of peer and merit review in accordance with section 103 of the Agricultural Research, Extension and Education Reform Act of 1998 (7 U.S.C. 1613) by a panel of qualified scientists and other appropriate persons who are specialists in the field covered by the proposal. Within the limit of funds available for such purpose, the NIFA Authorized Departmental Officer (ADO) shall make grants to those responsible, eligible applicants whose applications are judged most meritorious under the procedures set forth in the RFA.

Reviewers will be selected based upon training and experience in relevant scientific, extension, or education fields, taking into account the following factors: (a) The level of relevant formal scientific, technical education, or extension experience of the individual, as well as the extent to which an individual is engaged in relevant research, education, or extension activities; (b) the need to include as reviewers experts from various areas of specialization within relevant scientific, education, or extension fields; (c) the need to include as reviewers other experts (e.g., producers, range or forest managers/operators, and consumers) who can assess relevance of the applications to targeted audiences and to program needs; (d) the need to include as reviewers experts from a variety of organizational types (e.g., colleges, universities, industry, state and Federal agencies, private profit and non-profit organizations) and geographic locations; (e) the need to maintain a balanced composition of reviewers with regard to minority and female representation and an equitable age distribution; and (f) the need to include reviewers who can judge the effective usefulness to producers and the general public of each application.
Evaluation Criteria will be delineated in the RFA.

Deadlines

Not Applicable.

Range of Approval/Disapproval Time

Section :094 - Deadlines:
Dates for specific deadlines are announced in the RFA 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 180 days.

Appeals

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.

Renewals

Specific details are provided in the Request for Applications (RFA) each fiscal year.

Assistance Considerations

Formula and Matching Requirements

This program has no statutory formula.

This program has no matching requirements. Funds are awarded competitively.

No formula grants are awarded under this authority.

CSREES does not require matching or cost sharing support for this program.

MOE requirements are not applicable to this program.

Length and Time Phasing of Assistance

Phase I grants are normally limited to 8 months. Phase II grants are normally limited to 2 years. Method of awarding/releasing assistance: by letter of credit.

Post Assistance Requirements

Reports

Grantees also are required to submit annual and summary progress reports via NIFA's Current Research Information System (CRIS). This reporting requirement was approved under OMB Control No. 0524-0042, �NIFA Current Research Information System (CRIS).� CRIS is an electronic, web-based inventory system that facilitates both grantee submission of project outcomes and public access to information on Federally-funded projects. Cash reports are not applicable. Grantees also are required to submit annual and summary progress reports via NIFA's Current Research Information System (CRIS). This reporting requirement was approved under OMB Control No. 0524-0042, �NIFA Current Research Information System (CRIS).� CRIS is an electronic, web-based inventory system that facilitates both grantee submission of project outcomes and public access to information on Federally-funded projects. A final �Financial Status Report� (SF-269) or �Federal Financial Report� (SF-425) is due within 90 days of the expiration date of the grant and should be submitted to the Awards Management Branch, Office of Extramural Programs at the address listed below, in accordance with instructions contained in 2 CFR 3430.55 (also refer to Section 3015.82 of the Uniform Federal Assistance Regulations).

Awards Management Branch
Office of Extramural Programs
National Institute of Food and Agriculture (NIFA)
U.S. Department of Agriculture (USDA)
STOP 2271
1400 Independence Avenue, SW
Washington, DC 20250-2271
Telephone: (202) 401-4986. Grantees also are required to submit annual and summary progress reports via NIFA's Current Research Information System (CRIS). This reporting requirement was approved under OMB Control No. 0524-0042, �NIFA Current Research Information System (CRIS).� CRIS is an electronic, web-based inventory system that facilitates both grantee submission of project outcomes and public access to information on Federally-funded projects.

Audits

This program is excluded from coverage under OMB Circular No. A-133. Periodic audits should be made as part of the recipient's systems of financial management and internal control to meet the terms and conditions of grants and other agreements. This program is also subject to audit by the cognizant Federal audit agency and the USDA Office of Inspector General. Federal audits will be made in accordance with the policies of the Federal Acquisition Regulations, 48 CFR Part 42, to ensure that funds have been applied efficiently, economically, and effectively.

Records

In accordance with the Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-profit Organizations [2 CFR 215, Subpart C, Section 215.53, (OMB Circular A-110)] grantees shall maintain separate records for each grant to ensure that funds are used for authorized purposes. Grant-related records are subject to inspection during the life of the grant and must be retained at least three (3) years. Records must be retained beyond the three-year period if litigation is pending or audit findings have not been resolved.

Program Accomplishments

Fiscal Year 2008: TO BE PROVIDED BY PROGRAM UNIT AT A FUTURE DATE. Fiscal Year 2009: TO BE PROVIDED BY PROGRAM UNIT AT A FUTURE DATE. Fiscal Year 2010: TO BE PROVIDED BY PROGRAM UNIT AT A FUTURE DATE.

Financial Information

Account Identification

12-1500-0-1-352.

Obligations

(Project Grants) FY 08 $15,443,175; FY 09 est $15,833,247; FY 10 est $13,209,699 - The difference between the appropriation and obligation numbers reflects legislative authorized set-asides deducted as appropriate, and in some cases the availability of obligational authority from prior years.

Range and Average of Financial Assistance

If minimum or maximum amounts of funding per competitive project grant or cooperative agreement are established, these will be announced in the annual program announcement or Request for Application (RFA).

Regulations, Guidelines and Literature

7 CFR Part 3430, Competitive and Noncompetitive Non-formula Grant Programs � General Grant Administrative Provisions and Program-Specific Administrative Provisions; 7 CFR Part 3015, USDA Uniform Federal Assistance Regulations; 7 CFR Part 3017, Government wide Debarment and Suspension (Nonprocurement) ; 7 CFR Part 3018, New Restrictions on Lobbying; 7 CFR Part 3019, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit Organizations; and 7 CFR Part 3021� USDA implementation of Governmentwide Requirements for Drug-free Workplace (Financial Assistance).

Related Programs

Not Applicable.

Information Contacts

Regional or Local Office

None.

Headquarters Office

USDA, NIFA, National Program Leader, Competitive Programs, SBIR 1400 Independence Avenue, SW, STOP 2240,, Washington , District of Columbia 20024 Phone: 202-401-5823; 401-6852; 401-1719 Fax: (202) 401-6070

Web Site Address

http://www.nifa.usda.gov/

Examples of Funded Projects

Fiscal Year 2008: Lactation Modeling Tools and Information Base for Dairy Herd Management and Research; Hybrid System for Ultrasound Signal, Spectral, and Image Analyses to Enhance Meat Quality Evaluation in Food Animals; and One-Step Biodiesel Production from Yellow Grease. Fiscal Year 2009: Lipid-based ELISA Test for Detection of Dairy Cattle with Johne's Disease; Solar Optical Waveguide System for Value Added Transplant Production; and Next Generation Root-Pest Resistance Research and Screening Tool. Fiscal Year 2010: It is anticipated similar projects will be funded in Fiscal Year 2010.

Criteria for Selecting Proposals

(a) The proposing firm must qualify as a small business concern as specified in the SBIR solicitation; (b) The proposal must meet the Proposal Content and Format requirements as described in subsection 3.3 of the SBIR solicitation; (c) Proposals must be limited to one research problem (see subsection 3.1 of the SBIR solicitation); (d) The proposed budget must be within the dollar limit identified in subsection 1.2 of the SBIR solicitation; (e) The proposed duration of Phase I projects should normally not exceed 8 months, except in special, justified circumstances, and the duration of Phase II projects should normally not exceed 24 months. Where a proposed research project requires more than 8 months to complete in Phase I, a longer grant period, not to exceed 20 months, may be considered. An applicant of a Phase I project with an anticipated duration beyond 8 months should specify and justify the length of duration in the proposal at the time of its submission to USDA in order for it to be considered; (f) Proposals must cover scientific research activities only (see subsection 3.1 of the SBIR solicitation); (g) The proposed Phase I research must fall within a solicited topic area; (h) A proposal must contain adequate scientific/technical information to state clearly the research plan and objectives. USDA reserves the right not to submit for review any proposal which it finds to have insufficient scientific/technical information; (i) A resubmitted proposal must address concerns of the previous review panel. USDA reserves the right not to submit for review any proposal found not to be responsive to the previous review; and (j) Is it clear that the project director will work a minimum of 51 percent of his/her time for the small business firm during the period of the grant and that the small business firm will conduct a minimum of two-thirds of the research effort?.