Small Business Innovation Research

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.
Examples of Funded Projects

Fiscal Year 2016: (A) Small Business Innovation Research (SBIR) - Phase I: (1) Developing the Use of the Dietary Inflammatory Index among Children (C-DII) (2) Sweet Baits to Manage Mosquitoes in Rural Environments (3) Cracking Kyphosids: Developing Culture of High-Value Herbivores for Sustainable Seafood (4) Autonomous, low-energy separation of n-butanol produced from lignocellulosic resources (5) New Technology with Miniaturized Handheld Grain Combine for Eliminating Increasing Costs of Outdated Practices for Pre-Harvest Sampling (B) Small Business Innovation Research (SBIR) - Phase II: (1) New Ammonium-free Water Formulation for Fire Retardants for the Management of Wildland Fires (2) Advanced DPP technology for rapid animal-side detection of bovine tuberculosis (3) Advanced, High Efficiency Ventilation Fans For Animal Housing (4) ALARM: Next-generation food-borne pathogen detection Aztech Phase II: Educational software for rural schools serving English learners.

Fiscal Year 2017: (A) Small Business Innovation Research (SBIR) - Phase I: (1) Transparent Wood Composites for Energy Efficiency Applications (2) Development of rapid, point-of-use dry chemistry dip-stick assays for food quality. (3) BYOP - Brew your own pheromone: A bio-based production method for insect pheromones using yeast cell factories (4) Low Cost, Dust Resistant Poultry House Heat Exchanger (5) Broadcast Seeder Implement for Seeding Cover Crops in Standing Cash Crops (B) Small Business Innovation Research (SBIR) - Phase II: (1) Upgrading Animal Manure Biogas to High-Value Chemicals Using Biological Fermentation (2) Deriving a new biobased product from wastewater: Production of a slow release algal-based fertilizer. (3) Dynamic Metabolic Control for the Production of Limonene (4) Development of statistical models required to implement a longleaf pine decision support system.

Fiscal Year 2018: : (A) Small Business Innovation Research (SBIR) - Phase I: SBIR Phase I projections are to solicit proposals in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms.

SBIR anticipates funding projects in these areas, however cannot project what the titles or projects will specifically focus on at this time. Pertinent details to be provided by Program at a future date. (B) Small Business Innovation Research (SBIR) - Phase II: SBIR Phase II projections are to solicit proposals in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms.

SBIR anticipates funding projects in these areas, however cannot project what the titles or projects will specifically focus on at this time. Pertinent details to be provided by Program at a future date.


Agency - Department of Agriculture

Established in 1862, the Department of Agriculture serves all Americans through anti-hunger efforts, stewardship of nearly 200 million acres of national forest and rangelands, and through product safety and conservation efforts. The USDA opens markets for American farmers and ranchers and provides food for needy people around the world.

Office - None.

Section # 153 - Additional Websites: http://nifa.usda.gov/funding-opportunity/small-business-innovation-research-program-phase-i http://nifa.usda.gov/funding-opportunity/small-business-innovation-research-program-phase-ii.



Selected Recipients for this Program


RecipientAmount Start DateEnd Date
Benson Hill Biosystems, Inc. $ 99,867   2018-07-152020-03-14
Geo-spider, Incorporated $ 99,921   2018-07-012020-02-29
Seedllinked Llc $ 99,475   2018-07-012019-12-31
Nutrient Recovery And Upcycling Llc $ 585,819   2017-09-012019-08-31
Gross-wen Technologies, Inc. $ 600,000   2017-09-012019-08-31
Tda Research, Inc. $ 600,000   2017-09-012019-08-31
Vrm Labs Inc $ 600,000   2017-09-012019-08-31
Montana Bioagriculture Inc. $ 599,999   2017-09-012019-08-31
Dunn's Fish Farms, Inc. $ 600,000   2017-09-012019-08-31
Jun Innovations, Inc. $ 596,592   2017-09-012019-08-31



Program Accomplishments

Fiscal Year 2016: (A) Small Business Innovation Research (SBIR) - Phase I: SBIR Phase I proposals were solicited in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms. A total of 483 Phase I applications were reviewed and 78 projects were funded for a success rate of 15%. A total of $21,813,069 was awarded for this program. A total of $ $7,680,168 will be obligated on the Phase I projects. (B) Small Business Innovation Research (SBIR) - Phase II: SBIR Phase II proposals were solicited in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms. Phase II projects are funded based if a Phase I company successfully demonstrated feasibility of the SBIR funded innovation. Phase I companies are only allowed to apply for Phase II funding one (1) time. A total of 65 Phase II applications were reviewed and 34 projects were funded for a success rate of 53%. A total of $19,679,276 was awarded for the Phase II projects. Fiscal Year 2017: (A) Small Business Innovation Research (SBIR) - Phase I: SBIR Phase I proposals were solicited in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms. A total of 526 Phase I applications were reviewed and 88 projects were funded for a success rate of 17%. A total of $22,206,532 was awarded for this program. A total of $ $8,703,225 will be obligated on the Phase I projects. (B) Small Business Innovation Research (SBIR) - Phase II: SBIR Phase II proposals were solicited in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms. Phase II projects are funded based if a Phase I company successfully demonstrated feasibility of the SBIR funded innovation. Phase I companies are only allowed to apply for Phase II funding one (1) time. A total of 55 Phase II applications were reviewed and 26 projects were funded for a success rate of 47%. A total of $15,482,865 was awarded for the Phase II projects. Fiscal Year 2018: (A) Small Business Innovation Research (SBIR) - Phase I: SBIR Phase I projections are to solicit proposals in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms. A total of $20,434,492 was awarded for this program. It is projected that approximately $7,000,000 to $8,000,000 will be available to be fund FY 2018 Phase I projects. (B) Small Business Innovation Research (SBIR) - Phase II: SBIR Phase II projections are to solicit proposals in ten (10) different topic areas: (1) Forests and Related Resources; (2) Plant Production and Protection ? Biology; (3) Plant Production and Protection ? Engineering; (4) Animal Production and Protection; (5) Air, Water and Soils; (6) Food Science and Nutrition; (7) Rural and Community Development; (8) Aquaculture, (9) Biofuels and Biobased Products; and (10) Small and Mid-Size Farms. It is projected that approximately $13,000,000 to $15,000,000 will be available to be fund FY 2018 Phase II projects.

Uses and Use Restrictions

The selected areas for research are Forests and Related Resources; Plant Production and Protection-Biology; Animal Production and Protection; Air, Water and Soils; Food Science and Nutrition; Rural and Community Development; Aquaculture; Biofuels and Biobased Products; 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 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 in either of the two preceding fiscal years are eligible to submit Phase II proposals.

Phase II projects are limited to $450,000 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. Fee: A reasonable fee, not to exceed seven percent of total Federal funds awarded is permitted under this program, but applicants are encouraged to minimize fee requests due to the small amount of funds available.

All fees are subject to negotiation with USDA.

Indirect Costs: If available, the current rate negotiated with the cognizant Federal negotiating agency should be used.

Indirect costs may not exceed the negotiated rate.

If no rate has been negotiated, a reasonable dollar amount in lieu of indirect costs may be requested, which will be subject to approval by USDA.

In the latter case, if an application is recommended for funding, an indirect cost rate application must be submitted to support the amount of indirect costs requested.

NIFA will request an indirect cost rate application and provide instructions, as necessary. An applicant may elect not to charge indirect costs and, instead, use all grant funds for direct costs.

Further detailed instructions are provided in the SBIR RFA (solicitation).

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

The System for Award Management (SAM) combines eight federal procurement systems, including CCR, and the Catalog of Federal Domestic Assistance into one new system. CCR activities are conducted through SAM (the CCR website will redirect users to SAM). Dun and Bradstreet Universal Numbering System (DUNS) Number and System for Award Management (SAM): Each applicant (unless excepted under 2 CFR 25.110(b) or (c), or has an exception approved by the Federal awarding agency under 2 CFR 25.110(d)) is required to: (i) Be registered in SAM before submitting its application; (ii) Provide a valid DUNS number in its application; and (iii) Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. It also must state that the Federal awarding agency may not make a Federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant. Applicants must furnish the information required in the Competitive 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.? SPECIAL NOTE: Please refer to the Competitive Request for Applications (RFAs) for further specific and pertinent details. The most current RFAs are available as follows: 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 RFAs are generally released annually. Hence, the RFAs provide the most current and accurate information available. Any specific instructions in the Competitive RFAs supersede the general information provided in the CFDA database. 2 CFR 200, Subpart E - Cost Principles applies to this program.

Aplication 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.

An environmental impact statement is required for this program.

This program is excluded from coverage under E.O.

12372.

Application Procedures

2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards applies to this program. The National Institute of Food and Agriculture (NIFA) only accepts electronic applications which are submitted via Grants.gov in response to specific Requests for Applications (RFA). Applicants must complete the Grants.gov registration process. For information about the pre-award phase of the grant lifecycle application processes see: http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html. Further, applicants must follow the instructions provided in the NIFA Grants.gov Application Guide, which can be assessed as follows: Adobe NIFA Applications. 2 CFR part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards and 2 CFR part 400 USDA?s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards apply to this program. SPECIAL NOTE: Please refer to the Competitive Request for Applications (RFAs) for further specific and pertinent details. The most current RFAs are 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 RFAs are generally released annually. Hence, the RFAs provide the most current and accurate information available. Any specific instructions in the Competitive RFAs supersede the general information provided in the CFDA database.

Award Procedures

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. 7613) 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. 2 CFR Part 200 ? Subpart C and Appendix I apply to this program. 2 CFR Part 400 applies to this program. SPECIAL NOTE: Please refer to the Competitive Request for Applications (RFAs) for further specific and pertinent details. The most current RFAs are 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 RFAs are generally released annually. Hence, the RFAs provide the most current and accurate information available. Any specific instructions in the Competitive RFAs supersede the general information provided in the CFDA database.

Deadlines

Not Applicable.

Authorization

This program solicitation is issued pursuant to the Small Business Innovation Development Act of 1982, Public Law 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 Public Law 99-591, 100 Stat. 3341., 15 U.S.C 638.

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 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 Request for Applications (RFAs) for further specific and pertinent details. The most current RFA 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.

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. 2 CFR Part 200 ? Subparts D & E apply to this program.

Renewals

Specific details are provided in the Request for Applications (RFA), which are generally published annually. The most current RFA 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.

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. NIFA 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 2 CFR Part 200, Subpart D applies to this program.. In accordance with statutory time limits, project periods, including no-cost extensions of time, are not to exceed five (5) years for SBIR Phase II projects. Further details are provided in the Award document Form NIFA-2009 and the NIFA General Terms and Conditions Grants and Cooperative Agreements (dated October 2016) at: https://nifa.usda.gov/resource/nifa-general-terms-and-conditions-grants-and-cooperative-agreements-october-2016. SPECIAL NOTE: Please refer to the Competitive Request for Applications (RFAs) for specific and pertinent details. The most current RFAs are 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 RFAs are generally released annually. Hence, the RFAs provide the most current and accurate information available. Any specific instructions in the Competitive RFAs supersede the general information provided in the CFDA database. See the following for information on how assistance is awarded/released: NIFA utilizes the Automated Standard Application for Payments (ASAP), a secure, web-based electronic payment and information system that allows federal agencies to administer funds. Currently, ASAP is the only payment source for new NIFA grantees.

Post Assistance Requirements

Reports

REEport GRANT REPORTING: All grant reporting must be completed using the Research, Education, and Extension project online reporting tool (REEport).

Initial reporting (item a.

below) is to be submitted through the REEport system.

Annual progress and final reporting (items b.

and c.

below) also is to be done through the REEport system.

Information on REEport can be found on NIFA?s web site at https://nifa.usda.gov/tool/reeport and the REEport software can be found at http://portal.nifa.usda.gov.

a. Initial Documentation in the REEport Database-- Research, Education, and Extension project online reporting tool (REEport) All projects must be documented in REEport.

The NIFA contact for all REEport documentation is: REEport National Institute of Food and Agriculture U.S.

Department of Agriculture STOP 2213 1400 Independence Avenue, S.W. Washington, D.C.

20250-2213 Telephone: (202) 690-0009 E-mail: electronic@nifa.usda.gov b. Annual Progress Reports. All projects must report annually into REEport.

An annual Progress Report is due 90 calendar days after the award?s anniversary date (i.e., one year following the month and day of which the project period begins and each year thereafter up until a final report is required).

An annual Progress Report covers the most recent one-year period.

The following information, when applicable, must be included in the Project Modifications section of the annual Progress Report. 1) A comparison of actual accomplishments with the goals established for the reporting period (where the output of the project can be expressed readily in numbers, a computation of the cost per unit of output should be submitted if the information is considered useful); (2) The reasons for slippage if established goals were not met; and (3) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or unexpectedly high unit costs. c. Final Technical Report The Final Technical Report is required within 90 calendar days after the expiration or termination of the award.

The Final Technical Report covers the entire period of performance of the award and must describe progress made during the entire timeframe of the project instead of covering accomplishments made only during the final reporting segment of the project.

In addition to supplying the information required under item b.

of this article, the final report must include the following when applicable: Identify equipment purchased with any Federal funds under the award and indicate subsequent use of such equipment. FINANCIAL REPORTING: As outlined in 2 CFR 200.327, the recipient must submit financial status reports by the frequency required in the terms and conditions of the award.

The following are the financial reporting requirements for NIFA. Federal Financial Report, Form SF-425: NIFA uses the SF-425, Federal Financial Report to monitor cash.

A ?Federal Financial Report,? Form SF-425, is due on an annual basis no later than 90 days following the end of the award anniversary date (i.e., one year following the month and day when the project period begins and each year thereafter up until a final report is required).

An annual Progress Report covers the most recent one-year period.

A final ?Federal Financial Report,? Form SF-425, is due 90 days after the expiration date of this award.

The report must be submitted to the Awards Management Division (AMD) as a pdf attachment to an email sent to awards@nifa.usda.gov. If questions are encountered regarding financial reporting requirements, please contact: Awards Management Division (AMD) Office of Grants and Financial Management (OGFM) 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 SPECIAL NOTES: (1) Refer to the Competitive Requests for Applications (RFAs) for further specific and pertinent details.

RFAs are generally released annually and provide the most current and accurate information available.

Any specific instructions in the Competitive RFAs supersede the general information provided in the CFDA database. (2) The details of the reporting requirements are included in the NIFA General Terms and Conditions Grants and Cooperative Agreements (dated October 2016). 1890 Facilities Terms and Conditions (dated May, 2017). (3) Further guidance is provided under 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards and 2 CFR Part 400, USDA?s Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards.

No cash reports are required.

PROGRESS REPORTS: See above for pertinent and specific details.

EXPENDITURE REPORTS: See above for pertinent and specific details.

PERFORMANCE MONITORING: See above for pertinent and specific details.

Audits

In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503. In accordance with 2 CFR Part 400 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart F?Audit Requirements nonfederal entities that expend financial assistance of $750,000 or more during the non-Federal entity?s fiscal year in Federal awards must have a single or program-specific audit conducted for that year in accordance with the provisions of this part. A non-Federal entity that expends less than $750,000 during the non-Federal entity?s fiscal year in Federal awards is exempt from Federal audit requirements for that year, except as noted in 200.503. Relation to other audit requirements, but records must be available for review or audit by appropriate officials of the Federal agency, pass-through entity, and Government Accountability Office (GAO). Relation to other audit requirements, but records must be available for review or audit by appropriate officials of the Federal agency, pass-through entity, and Government Accountability Office (GAO). This program is also subject to audit by the cognizant Federal audit agency and the USDA Office of Inspector General.

Records

In accordance with 2 CFR Part 400 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 200.333 Retention requirements for records. 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 (3) year period if litigation is pending or audit findings have not been resolved. 2 CFR Part 200, Subpart D applies to this program.

Financial Information

Account Identification

12-1502-0-1-352; 12-1500-0-1-352; 12-1003-0-1-271.

Obigations

(Project Grants) FY 16 $21,813,069; FY 17 est $22,206,532; and FY 18 est $20,434,492 - 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. NOTES: (1) Some of these funds are 'No Year.' (2) In terms of availability of appropriations (time), there are no time limits as to when 'no-year' funds may be obligated and expended and the funds remain available for their original purposes until expended. (3) SBIR is deducted from five (5) treasury symbols. (4) The FY 2017 Budget proposes increased funds for research. Because SBIR is a required percentage of these funds, the funding available for this program must increase to commensurate with the appropriation request. Changes in funding represent changes per the President's Budget.

Range and Average of Financial Assistance

If minimum or maximum amounts of funding per competitive and/or capacity project grant, or cooperative agreement are established, these amounts will be announced in the annual Competitive Request for Application (RFA). The most current RFA 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.

Regulations, Guidelines, and Literature

As an administrator of U.S. government support, NIFA works in partnership with grantees to ensure responsible stewardship of federal funds. Our grantees and partners are required to comply with all relevant rules and regulations. The following resources are provided to NIFA?s partners and award recipients to support their adherence to federal regulations governing program performance: NIFA?s primary (main) website: https://nifa.usda.gov/regulations-and-guidelines The following represent specific documents and direct links: POLICY GUIDE NIFA?s Federal Assistance Policy Guide describes agency policies and procedures. https://nifa.usda.gov/policy-guide CERTIFICATIONS AND REPRESENTATIONS Certifications and representations provided through the NIFA application process. https://nifa.usda.gov/certifications-and-representations ACKNOWLEDGEMENT OF USDA SUPPORT BY NIFA When acknowledging USDA support in accordance with 2 CFR Part 415, grantees must use the following acknowledgement for all projects or initiatives supported by NIFA. https://nifa.usda.gov/acknowledgment-usda-support-nifa FEDERAL REGULATIONS The Code of Federal Regulations (CFR) lists all regulations published in the Federal Register. https://nifa.usda.gov/federal-regulations FOIA The Freedom of Information Act (FOIA) provides that any person has the right to request access to federal documents and information such as research data. https://nifa.usda.gov/foia NEPA POLICY AND GUIDANCE The National Environmental Policy Act (NEPA) Policy and Guidance set the standard for identifying potential environmental impacts. https://nifa.usda.gov/nepa-policy-and-guidance OGFM ISSUED CORRESPONDENCE The Office of Grants and Financial Management occasionally issues correspondence to applicants, grantees, and/or the general public for informational or clarification purposes. https://nifa.usda.gov/ogfm-issued-correspondence RESEARCH MISCONDUCT NIFA requires that all its awardees adhere to the USDA Scientific Integrity Policy and the Federal Policy on Research Misconduct. https://nifa.usda.gov/research-misconduct NIFA?S GENERAL AWARD TERMS AND CONDITIONS Award terms and conditions are determined by statutory, regulatory, and agency requirements, as well as each grant?s circumstances. Terms and conditions dictate important items related to your grant, including method of payment, reporting frequency and content, and prior approval requirements. References to the terms and conditions of awards are located on the NIFA 2009 Award Fact Sheet. NIFA's general award terms and conditions (see link below) is applicable to this program, for awards with an award date on December 26, 2014 and thereafter. https://nifa.usda.gov/resource/nifa-general-terms-and-conditions-grants-and-cooperative-agreements-october-2016.

Information Contacts

Regional or Local Office

None. Section # 153 - Additional Websites: http://nifa.usda.gov/funding-opportunity/small-business-innovation-research-program-phase-i http://nifa.usda.gov/funding-opportunity/small-business-innovation-research-program-phase-ii.

Headquarters Office

USDA, NIFA, National Program Leader, Institute of Bioenergy, Climate and Environment ? Division of Environmental Systems, 1400 Independence Avenue, SW., STOP 2210, Washington, District of Columbia, 20250-2210, Telephone: (202) 720-5229, Fax: (202) 720-3945. ADDITIONAL CONTACT: USDA, NIFA, National Program Leader, Institute of Food Safety and Nutrition, Division of Food Safety, 1400 Independence Avenue, SW., STOP 2225, Washington, District of Columbia 20250-2225 Phone: (202) 401-1954, Fax (202) 401-4888. , Washington , District of Columbia 20250-2210 Email: Policy@nifa.usda.gov Phone: (202) 720-5229

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? 2 CFR part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards and 2 CFR part 400 USDA?s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards apply to this program. Within guidelines established for the program as described in the Competitive Request for Application (RFA). The most current RFAs are 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.



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