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. Place Cursor Here for Definition
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.
ELIGIBILITY REQUIREMENTS:
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.
Beneficiary Eligibility: Small businesses.
Credentials/Documentation: Each prospective
grantee organization must furnish the organizational information and
assurances specified in the SBIR program solicitation. The principles to be
used in determining allowable costs of activities under this program are
contained in the Federal Acquisition Regulations, 48 CFR Part 31. This program
is excluded from coverage under OMB Circular No. A-87.
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.
Application Procedure: Formal proposal to SBIR
Program, CSREES, USDA, as outlined in the SBIR program solicitation.
Application procedures are contained in the SBIR program solicitation. This
program is excluded from coverage under OMB Circular No. A-110.
Award Procedure: The SBIR Program staff reviews
and evaluates all proposals with the assistance and advice of a peer panel of
qualified scientists and other appropriate persons who are specialists in the
field covered by the proposal.
Deadlines: Deadlines are announced in the Federal
Register and SBIR Program Solicitation for each fiscal year. The deadline for
submission of fiscal year 2002 Phase I proposals was August 31, 2001, and for
Phase II proposals was February 7, 2002.
Range of Approval/Disapproval Time: Six months
from application receipt to notification of approval/disapproval.
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: None.
ASSISTANCE CONSIDERATIONS:
Formula and Matching Requirements: There are no
matching requirements.
Length and Time Phasing of Assistance: Phase I
grants are normally limited to 6 months. Phase II grants are normally limited
to 2 years.
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.
Audits: 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: Grantees are expected to maintain
separate records for each grant to ensure that funds are used for the purpose
for which the grant was made. Records are subject to inspection during the
life of the grant and for at least 3 years after the date of submission of the
final financial status report.
FINANCIAL INFORMATION:
Account Identification: 12-1500-0-1-352.
Obligations: (Grants) FY 01 $13,807,445; FY 02
est $12,769,709; and FY 03 est $12,769,709.
Range and Average of Financial Assistance:
$46,000 to $300,000. Average: $94,990.
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.
INFORMATION CONTACTS:
Regional or Local Office: None.
Headquarters Office: SBIR Director, Cooperative
State Research, Education, and Extension Service, Department of Agriculture,
Ag Box 2243, 14th and Independence Ave., SW., Washington, DC 20250-2243.
Telephone: (202) 401-4002.
Web Site Address: http://www.reeusda.gov.
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.
