Content provided by the Catalog of Federal Domestic Assistance
10.212 Small Business Innovation Research
COOPERATIVE STATE RESEARCH, EDUCATION AND EXTENSION SERVICE, DEPARTMENT OF AGRICULTURE
Small Business Innovation Development Act of 1982, Public Law 97-219, as amended, Public Law 99-443; Public Law 102-564.
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:
USES AND USE RESTRICTIONS:
The selected areas for research are forests and related resources; plant production and protection; animal production and protection; air, water, and soils; food science and nutrition; rural and community development; aquaculture; industrial applications; and marketing and trade. 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 $300,000 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.
Applicant Eligibility: Small businesses which: (a) Are organized for profit, independently owned or operated, are not dominant in the proposed research field, have their principal places of business located in the United States, have a number of employees not exceeding 500 in all affiliated firms owned or controlled by a single parent concern, and meet the other regulatory requirements outlined in 13 CFR Part 121, as amended; (b) are at least 51 percent owned, or in the case of a publicly owned business, at least 51 percent of its voting stock is owned, by U.S. citizens or lawfully admitted permanent resident aliens; (c) are the primary source of employment for the principal investigator of the proposed effort at the time of award and during the actual conduct of proposed research; (d) are the primary performer of the proposed research effort. Because this program is intended to increase the use of small business firms in Federal research or research and development, the term "primary performer" means that a minimum of two-thirds of the research or analytical work, as determined by budget expenditures, must be performed by the proposing organization under Phase I grants. For Phase II awards, a minimum of one-half of the research or analytical effort must be conducted by the proposing firm.
Pre-application Coordination: Publication by the Small Business Administration listing all agencies participating in the program, their Small Business Innovation Research coordinators, proposed dates for their solicitations, and proposed topic areas. This program is excluded from coverage under OMB Circular No. A-102 and E.O. 12372.
Formula and Matching Requirements: There are no matching requirements.
POST ASSISTANCE REQUIREMENTS:
Reports: Final performance and final financial status reports for Phase I grants must be submitted 30 and 90 days, respectively, after the expiration date of the grant. Final performance and final financial status reports for Phase II grants must be submitted 90 days after the expiration date of the grant.
Account Identification: 12-1500-0-1-352.
This program was designed to strengthen the role of small, innovative firms in Federally-funded research and development. The nine categories of research supported under this program are: Forests and Related Resources; Plant Production and Protection; Animal Production and Protection; Air, Water, and Soils; Food Science and Nutrition; Rural and Community Development; Aquaculture; Industrial Applications; and Marketing and Trade.
REGULATIONS, GUIDELINES, AND LITERATURE:
7 CFR Part 3403, Small Business Innovation Research Grants Program, Administrative Provisions, 62 FR26168, May 12, 1997; 7 CFR Part 3015, USDA Uniform Federal Assistance Regulations; 7 CFR Part 3017, Government wide Debarment and Suspension (Non-procurement) and Government wide Requirements for Drug- Free Workplace (Grants); 7 CFR Part 3018, New Restrictions on Lobbying.
Regional or Local Office:
EXAMPLES OF FUNDED PROJECTS:
Bolted Wood Framing System; Development of Floating Permeable Covers to Control Emissions from Livestock Waste Lagoons; Production of Organic Acids by Simultaneous Fermentation and Adsorption; Software for Evaluating the Impact of Forest Management Plans on Wildlife; Bioprocessing Wheat Midds and Screenings to Improve Protein.
CRITERIA FOR SELECTING PROPOSALS:
(a) The scientific and technical quality of the proposed research plan and its relevance to the stated objectives, with special emphasis on innovativeness and originality; (b) importance of the problem or opportunity and anticipated commercial potential of the proposed research, if successful; (c) adequacy of the objectives to show incremental progress toward proving the feasibility of approach; (d) qualifications of the principal investigator, other key staff and consultants, and the probable adequacy of available or obtainable instrumentation and facilities to carry out the proposed work; (e) the technical, economic, and/or social importance of the problem or opportunity and anticipated commercial potential if research is successful; and (f) reasonableness of the budget requested for the work proposed.