USDA Small Business Innovation Research

(SBIR) Phase I Commercialization

Assistance Program (CAP)

FY 2012 Request for Applications

APPLICATION DEADLINE: June 15, 2012

U.S. Department of Agriculture

National Institute of Food and Agriculture

NATIONAL INSTITUTE OF FOOD AND AGRICULTURE; U.S. DEPARTMENT OF
AGRICULTURE

USDA Small Business Innovation Research Phase I Commercialization Assistance

Program

INITIAL ANNOUNCEMENT

CATALOG OF FEDERAL DOMESTIC ASSISTANCE: This program is listed in the

Catalog of Federal Domestic Assistance under 10.212.

DATES: Applications must be received by close of business (COB) on June 15, 2012 (5:00
p.m. Eastern Time). Applications received after this deadline will normally not be considered
for funding. Comments regarding this request for applications (RFA) are requested within six
months from the issuance of this notice. Comments received after that date will be considered to
the extent practicable.

STAKEHOLDER INPUT: The National Institute of Food and Agriculture (NIFA) is requesting
comments regarding this RFA from any interested party. These comments will be considered in
the development of the next RFA for the program, if applicable, and will be used to meet the
requirements of section 103(c)(2) of the Agricultural Research, Extension, and Education
Reform Act of 1998 (7 U.S.C. 7613(c)(2)). This section requires the Secretary to solicit and
consider input on a current RFA from persons who conduct or use agricultural research,
education and extension for use in formulating future RFAs for competitive programs. Written
stakeholder comments on this RFA should be submitted in accordance with the deadline set forth
in the DATES portion of this Notice.

Written stakeholder comments should be submitted by mail to: Policy and Oversight Division;
Office of Grants and Financial Management; National Institute of Food and Agriculture; USDA;
STOP 2299; 1400 Independence Avenue, SW; Washington, DC 20250-2299; or via e-mail to:
[email protected]. (This e-mail address is intended only for receiving comments regarding
this RFA and not requesting information or forms.) In your comments, please state that you are
responding to the USDA Small Business Innovation Research Phase I Commercialization
Assistance Program RFA.

EXECUTIVE SUMMARY: NIFA announces the availability of grant funds and requests
applications for the USDA Small Business Innovation Research (SBIR) Phase I Commercial
Assistance Program (CAP) for fiscal year(s) (FYs) 2012, 2013, and 2014 to provide support
services for a commercialization assistance program open to all SBIR Phase I winners. The
amount available for support of this program in FYs 2012, 2013 and 2014 is approximately
$150,000.

This notice identifies the objectives for SBIR Phase I CAP projects, the eligibility criteria for
projects and applicants, and the application forms and associated instructions needed to apply for
a SBIR Phase I CAP grant. NIFA additionally requests stakeholder input from any interested
party for use in the development of the next RFA for this program.

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 Table of Contents

PART I—FUNDING OPPORTUNITY DESCRIPTION.............................................................4

A. Legislative Authority and Background ................................................................................4
B. Purpose and Priorities ..........................................................................................................4

PART II—AWARD INFORMATION ........................................................................................6

A. Available Funding ...............................................................................................................6
B. Types of Applications..........................................................................................................6
C. Project Types ......................................................................................................................6

PART III—ELIGIBILITY INFORMATION ..............................................................................7

A. Eligible Applicants ..............................................................................................................7
B. Cost Sharing or Matching ....................................................................................................7

PART IV—APPLICATION AND SUBMISSION INFORMATION ..........................................8

A. Electronic Application Package ...........................................................................................8
B. Content and Form of Application Submission......................................................................9
C. Submission Dates and Times .............................................................................................11
D. Funding Restrictions .........................................................................................................12
E. Other Submission Requirements ........................................................................................12

PART V—APPLICATION REVIEW REQUIREMENTS ........................................................13

A. General .............................................................................................................................13
B. Evaluation Criteria ............................................................................................................13
C. Conflicts of Interest and Confidentiality ............................................................................13
D. Organizational Management Information ..........................................................................14

PART VI—AWARD ADMINISTRATION ..............................................................................15

A. General .............................................................................................................................15
B. Award Notice ....................................................................................................................15
C. Administrative and National Policy Requirements .............................................................16
D. Expected Program Outputs and Reporting Requirements ...................................................17

PART VII—AGENCY CONTACT ..........................................................................................18

PART VIII—OTHER INFORMATION....................................................................................19

A. Access to Review Information...........................................................................................19
B. Use of Funds; Changes ......................................................................................................19
C. Confidential Aspects of Applications and Awards .............................................................20
D. Regulatory Information .....................................................................................................20
E. Definitions .........................................................................................................................20

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PART I—FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority and Background

The Small Business Innovation Research Program Reauthorization Act of 2000, Public Law 106-
554, amended section (q) of the Act (15 U.S.C. 638). The Act allows discretionary technical
assistance to SBIR awardees.

(a) Agencies may enter into agreements with vendors to provide technical assistance to SBIR
awardees, which may include access to a network of scientists and engineers engaged in a
wide range of technologies or access to technical and business literature available through
on-line data bases. Each agency may select a vendor for a term not to exceed 3 years. The
vendor must be selected using competitive and merit-based criteria. The purpose of this
technical assistance is to assist SBIR awardees in:

(i) Making better technical decisions on SBIR projects;

(ii) Solving technical problems that arise during SBIR projects;
(iii) Minimizing technical risks associated with SBIR projects; and
(iv) Commercializing the SBIR product or process.

(b) Phase I awards: Each agency may provide up to $4,000 of SBIR funds for the technical
assistance described above in the SBIR SBA Policy Directive. The amount will be in
addition to the award and will count as part of the agency's SBIR funding.

B. Purpose and Priorities

The USDA SBIR program provides grants to qualified small business firms to support
innovative research projects that address important problems facing American Agriculture or
Rural America. The USDA SBIR program is carried out in three separate phases. Small business
firms initially apply for an eight month Phase I grant to conduct a technical feasibility study. If
Phase I is completed successfully, the small business may apply for a two year Phase II grant to
continue the research effort. Phase III is the commercialization phase where the small business
uses non-SBIR funds to commercialize the product/service developed during Phases I and II.

The USDA SBIR CAP program will provide support to successful applicants to provide
commercialization assistance to SBIR Phase I winners from FYs 2012, 2013 and 2014. The goals
of the commercialization training program are:

1) Enhance the commercialization skills of SBIR Phase I grant recipients through

introductory commercialization training that can be obtained by the grant recipients at a
time and place that is convenient to them;
2) Help enhance the ability of SBIR Phase I grant recipients to write competitive
commercialization plans; and
3) Monitor the impacts of commercialization training on Phase I grant recipients.

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The USDA SBIR program typically funds 60 Phase I projects per year and expects these services
to be provided to the Phase I grantees during the months of September to December of each year.

The required support services demand expertise in: (1) knowledge of USDA SBIR topic areas
and related markets/industry (2) commercialization by small businesses in USDA SBIR topic
areas and related markets/industry; and (3) thorough knowledge of the federal SBIR program.
This expertise is required to support the USDA’s goal of fostering successful commercialization
of product(s)/service(s) funded under the USDA SBIR program.

This announcement is only for program 8.14: Phase I CAP. Applications for other topic
areas will be excluded from review.

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PART II—AWARD INFORMATION

A. Available Funding

There is no commitment by USDA to fund any particular application or to make a specific

number of awards. Funding is available to make one award for work conducted in FY 2012,
2013, and 2014.

Awards issued as a result of this RFA will have designated the Automated Standard Applications
for Payment System (ASAP), operated by the Department of Treasury’s Financial Management
Service, as the payment system for funds. For more information see
http://www.nifa.usda.gov/business/method_of_payment.html.

B. Types of Applications

In FY 2012 applications may be submitted to the SBIR Phase I CAP Program as:

(1) New application. This is a project application that has not been previously submitted to the
SBIR Phase I CAP Program. All new applications will be reviewed competitively using the
selection process and evaluation criteria described in Part V—Application Review
Requirements.

C. Project Types

Projects funded under this announcement will be for three (3) years at a maximum of $150,000
($50,000 per year).

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PART III—ELIGIBILITY INFORMATION

A. Eligible Applicants

Applications may be submitted by private companies, Small Business Development Centers and
Universities. Award recipients may subcontract to organizations not eligible to apply provided
such organizations are necessary for the conduct of the project.

An applicant’s failure to meet an eligibility criterion by the time of an application deadline may
result in the application being excluded from consideration or, even though an application may
be reviewed, will preclude NIFA from making an award.

B. Cost Sharing or Matching

NIFA does not require cost-sharing or matching support for SBIR Phase I CAP projects.

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PART IV—APPLICATION AND SUBMISSION INFORMATION

A. Electronic Application Package

Only electronic applications may be submitted via Grants.gov to NIFA in response to this RFA.
Applicants are advised to submit early to the Grants.gov system.

New Users of Grants.gov

Prior to preparing an application, it is suggested that the PD/PI first contact an Authorized
Representative (AR) (also referred to as Authorized Organizational Representative or AOR) to
determine if the organization is prepared to submit electronic applications through Grant.gov. If
the organization is not prepared (e.g., the institution/organization is new to the electronic grant
application process through Grants.gov), then the one-time registration process must be
completed PRIOR to submitting an application. It can take as much as two weeks to complete
the registration process so it is critical to begin as soon as possible. In such situations the AR
should go to “Get Registered” on the Grants.gov left navigation bar (or go to
http://www.grants.gov/applicants/get_registered.jsp) for information on registering the
institution/organization with Grants.gov. A quick reference guide listing the steps is
available as a 4-page PDF document at the following website:
http://www.grants.gov/assets/Grants.govRegistrationBrochure.pdf. Item 2. below mentions
the “NIFA Grants.gov Application Guide.” Part II.1. of the NIFA Grants.gov Application Guide
contains additional explanatory language regarding the registration process.

Steps to Obtain Application Package Materials

The steps to access application materials are as follows:

1. In order to access, complete and submit applications, applicants must download and
install a version of Adobe Reader compatible with Grants.gov. This software is
essential to apply for NIFA Federal assistance awards. For basic system requirements
and download instructions, please see
http://www.grants.gov/help/download_software.jsp. To verify that you have a
compatible version of Adobe Reader, Grants.gov established a test package that will
assist you in making that determination. Grants.gov Adobe Versioning Test Package:
http://www.grants.gov/applicants/AdobeVersioningTestOnly.jsp.

2. The application package must be obtained via Grants.gov, go to http://www.grants.gov,

click on “Apply for Grants” in the left-hand column, click on “Step 1: Download a
Grant Application Package and Instructions,” enter the funding opportunity number
USDA-NIFA-SBIR-003770 in the appropriate box and click “Download Package.”
From the search results, click “Download” to access the application package.

Contained within the application package is the “NIFA Grants.gov Application Guide: A
Guide for Preparation and Submission of NIFA Applications via Grants.gov.” This
Guide contains an introduction and general Grants.gov instructions, information about
how to use a Grant Application Package in Grants.gov, and instructions on how to
complete the application forms.

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 If assistance is needed to access the application package (e.g., downloading or
navigating Adobe forms), or submitting the application then refer to resources
available on the Grants.gov Web site first (http://www.grants.gov/). Grants.gov
assistance is also available as follows:

Grants.gov customer support

1-800-518-4726 Toll-Free or 606-545-5035
Business Hours: 24 hours a day, 7 days a week. Closed on Federal Holidays.
Email: [email protected]

Grants.gov iPortal: Top 10 requested help topics (FAQs), Searchable knowledge

base, self service ticketing and ticket status, and live web chat (available 7:00
A.M. - 9:00 P.M. ET). Get help now!

Please have the following information available when contacting Grants.gov, to

help expedite your inquiry:

• Funding Opportunity Number (FON)

• Name of Agency You Are Applying To
• Specific Area of Concern

See http://grants.gov/applicants/app_help_reso.jsp or
http://www.nifa.usda.gov/funding/electronic.html for additional resources for applying
electronically.

B. Content and Form of Application Submission

Electronic applications should be prepared following Parts V and VI of the document entitled “A
Guide for Preparation and Submission of NIFA Applications via Grants.gov.” This guide is part
of the corresponding application package (see Section A. of this Part). The following is
additional information needed in order to prepare an application in response to this RFA. If
there is discrepancy between the two documents, the information contained in this RFA is
overriding.

Note the attachment requirements (e.g., portable document format) in Part III section 3. of
the Guide. ANY PROPOSALS THAT ARE NON-COMPLIANT WITH THE
REQUIREMENTS (i.e., content format, pdf file format, file name restrictions, and no
password protected files) WILL BE AT RISK OF BEING EXCLUDED FROM NIFA
REVIEW. Partial applications will be excluded from NIFA review. With documented
prior approval, subsequent submissions of an application will be accepted until close of
business on the closing date in the RFA.

If you do not own PDF-generating software, Grants.gov provides online tools to assist
applicants. Users will find a link to “Convert Documents to PDF”
onhttp://grants.gov/help/download_software.jsp#pdf_conversion_programs.

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For any questions related to the preparation of an application please review the NIFA
Grants.gov Application Guide and the applicable request for applications. If assistance is still
needed for preparing application forms content, contact:
• Email: [email protected]
• Phone: 202-401-5048
• Business hours: Monday through Friday, 7:00 am – 5:00 pm Eastern Time, excluding
Federal holidays.

1. SF 424 R&R Cover Sheet

Information related to the questions on this form is dealt with in detail in Part V, 2. of the NIFA
Grants.gov Application Guide.

2. SF 424 R&R Project/Performance Site Location(s)

Information related to the questions on this form is dealt with in detail in Part V, 3. of the NIFA
Grants.gov Application Guide.

3. R&R Other Project Information Form

Information related to the questions on this form is dealt with in detail in Part V, 4. of the NIFA
Grants.gov Application Guide.

a. Field 7. Project Summary/Abstract. The summary should also include the relevance of the
project to the goals of SBIR Phase I Commercialization Assistance Program. See Part V. 4.7 of
NIFA Grants.gov Application Guide for further instructions and a link to a suggested template.

b. Field 8. Project Narrative.

PLEASE NOTE: The Project Narrative shall not exceed 5 pages of written text regardless of
whether it is single or double spaced and up to 1 additional page for figures and tables. This
maximum (6 pages) has been established to ensure fair and equitable competition. The Project
Narrative must include all of the following information:
1. Background/Need of a Commercialization Project
2. Applicant Qualifications describing:
a. Knowledge of SBIR program, the topic areas and related markets/industry
b. Experience in preparation of commercialization plans and the related results
c. Experience with licensing, partnership opportunities, regulatory approvals,
financial considerations and marketing
3. Proposed Plan of Work that addresses:
a. Commercialization training
i. Recruitment of participants
ii. Training activities
iii. Tracking of training impacts on SBIR Phase I grantees
b. NIFA involvement
c. Final Reports
d. Timeline

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 Applications that are not responsive to the above Narrative requirements will be
excluded from NIFA review.

4. R&R Senior/Key Person Profile (Expanded)

Information related to the questions on this form is dealt with in detail in Part V, 5. of the NIFA
Grants.gov Application Guide. Part V, 5. of the NIFA Grants.gov Application Guide includes
information about the individuals for which a Senior/Key Person Profile must be completed, and
details about the Biographical Sketch and the Current and Pending Support including a link to a
suggested template for the Current and Pending Support.

5. R&R Personal Data – As noted in Part V, 6. of the NIFA Grants.gov Application Guide, the
submission of this information is voluntary and is not a precondition of award.

6. R&R Budget
Information related to the questions on this form is dealt with in detail in Part V, 7. of the NIFA
Grants.gov Application Guide.

7. Supplemental Information Form

Information related to the questions on this form is dealt with in detail in Part VI, 1. of the NIFA
Grants.gov Application Guide.

a. Field 2. Program to which you are applying. Enter the program code name (i.e., enter
“SBIR Phase I CAP”) and the program code (i.e., enter “8.14”).

b. Field 8. Conflict of Interest List. See Part VI, 1.6 of the NIFA Grants.gov Application
Guide for further instructions and a link to a suggested template.

C. Submission Dates and Times

Instructions for submitting an application are included in Part IV, Section 1.9 of the NIFA
Grants.gov Application Guide.

Applications must be received by Grants.gov by COB on June 15, 2012 (5:00 p.m. Eastern
Daylight Time). Applications received after this deadline will normally not be considered for
funding.

Applicants who have problems with the submission of an application to Grants.gov are
encouraged to FIRST contact the Grants.gov Help Desk to resolve any problems. Keep a
record of any such correspondence. See Part IV. A. for Grants.gov contact information.

Correspondence regarding submitted applications will be sent using e-mail. Therefore, applicants
are strongly encouraged to provide accurate e-mail addresses, where designated, on the SF-424
R&R Application for Federal Assistance.

If the AR has not received correspondence from NIFA regarding a submitted application within
30 days of the established deadline, please contact the Program Contact identified in Part VII of

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the applicable RFA (for the Small Business Innovation Research program (SBIR) the Program
Contacts are specified under subsection 1.5 of the SBIR Program Solicitation) and request the
proposal number assigned to the application. Failure to do so may result in the application
not being considered for funding by the peer review panel. Once the application has been
assigned a proposal number, this number should be cited on all future correspondence.

D. Funding Restrictions

NIFA has determined that grant funds awarded under this authority may not be used for the
renovation or refurbishment of research, education, or extension space; the purchase or
installation of fixed equipment in such space; or the planning, repair, rehabilitation, acquisition,
or construction of buildings or facilities.

E. Other Submission Requirements

The applicant should follow the submission requirements noted in Part IV, section 1.9 in
the document entitled “NIFA Grants.gov Application Guide.”

For information about the status of a submitted application, see Part III., section 6. of the
NIFA Grants.gov Application Guide.

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PART V—APPLICATION REVIEW REQUIREMENTS

A. General

Each application will be evaluated in a 2-part process. First, each application will be screened to
ensure that it meets the administrative requirements as set forth in this RFA. Second, applications
that meet these requirements will be technically evaluated by a review panel.

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.

B. Evaluation Criteria

The evaluation criteria below will be used in reviewing applications submitted in response to this
RFA:

The technical approach will be evaluated on the degree to which the proposal meets the
requirements of the purpose and priorities.

(1) Demonstrated knowledge of USDA SBIR program Topic Areas and related
Markets/Industries.
(2) Relevant commercialization knowledge/experience in order to enhance the ability of the
SBIR Phase I grant recipient to write commercialization plans.
(3) Strength of Plan of Work.

C. Conflicts of Interest and Confidentiality

During the peer evaluation process, extreme care will be taken to prevent any actual or perceived
conflicts of interest that may impact review or evaluation. For the purpose of determining
conflicts of interest, the academic and administrative autonomy of an institution shall be
determined by reference to the current Higher Education Directory, published by Higher
Education Publications, Inc., 1801 Robert Fulton Drive, Suite 340, Reston, Virginia 20191.
Phone: (888) 349-7715. Web site: http://www.hepinc.com.

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Names of submitting institutions and individuals, as well as application content and peer
evaluations, will be kept confidential, except to those involved in the review process, to the
extent permitted by law. In addition, the identities of peer reviewers will remain confidential
throughout the entire review process. Therefore, the names of the reviewers will not be released
to applicants.

D. 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).

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PART VI—AWARD ADMINISTRATION

A. General

Within the limit of funds available for such purpose, the awarding official of NIFA shall award
one grant to the responsible, eligible applicant whose application is judged most meritorious
under the procedures set forth in this RFA. The date specified by the awarding official of NIFA
as the effective date of the grant shall be no later than September 30 of the Federal fiscal year in
which the project is approved for support and funds are appropriated for such purpose, unless
otherwise permitted by law. It should be noted that the project need not be initiated on the grant
effective date, but as soon thereafter as practical so that project goals may be attained within the
funded project period. All funds granted by NIFA under this RFA shall be expended solely for
the purpose for which the funds are granted in accordance with the approved application and
budget, the regulations, the terms and conditions of the award, the applicable Federal cost
principles, and the Department's assistance regulations (parts 3015 and 3019 of 7 CFR).

B. Award Notice

The award document will provide pertinent instructions and information including, at a
minimum, the following:

(1) Legal name and address of performing organization or institution to whom the Director has
issued an award under the terms of this request for applications;

(2) Title of project;

(3) Name(s) and institution(s) of PD’s chosen to direct and control approved activities;

(4) Identifying award number assigned by the Department;

(5) Project period, specifying the amount of time the Department intends to support the project
without requiring recompetition for funds;

(6) Total amount of Departmental financial assistance approved by the Director during the
project period;

(7) Legal authority(ies) under which the award is issued;

(8) Appropriate Catalog of Federal Domestic Assistance (CFDA) number;

(9) Applicable award terms and conditions (see

http://www.nifa.usda.gov/business/awards/awardterms.html to view NIFA award terms and
conditions);

(10) Approved budget plan for categorizing allocable project funds to accomplish the stated
purpose of the award; and

15
(11) Other information or provisions deemed necessary by NIFA to carry out its respective
awarding activities or to accomplish the purpose of a particular award.

C. Administrative and National Policy Requirements

Several Federal statutes and regulations apply to grant applications considered for review and to
project grants awarded under this program. These include, but are not limited to:

2 CFR Part 220 – Cost Principles for Educational Institutions (OMB Circular A-21).

2 CFR Part 225 – Cost Principles for State, Local, and Indian Tribal Governments (OMB
Circular A-87).

2 CFR Part 230 – Cost Principles for Non-profit Organizations (OMB Circular A-122).

7 CFR Part 1, subpart A—USDA implementation of the Freedom of Information Act.

7 CFR Part 3—USDA implementation of OMB Circular No. A-129 regarding debt collection.

7 CFR Part 15, subpart A—USDA implementation of Title VI of the Civil Rights Act of 1964, as
amended.

7 CFR Part 331 and 9 CFR Part 121—USDA implementation of the Agricultural Bioterrorism
Protection Act of 2002.

7 CFR Part 3015—USDA Uniform Federal Assistance Regulations, implementing OMB

directives (i.e., OMB Circular Nos. A-21, A-87, and A-122, now codified at 2 CFR Parts 220,
225 and 230), and incorporating provisions of 31 U.S.C. 6301-6308 (formerly the Federal Grant
and Cooperative Agreement Act of 1977, Pub. L. No. 95-224)), as well as general policy
requirements applicable to recipients of Departmental financial assistance.

7 CFR Part 3016 – USDA Implementation of Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments.

7 CFR Part 3017—USDA implementation of Governmentwide Debarment and Suspension

(Nonprocurement).

7 CFR Part 3018—USDA implementation of Restrictions on Lobbying. Imposes prohibitions

and requirements for disclosure and certification related to lobbying on recipients of Federal
contracts, grants, cooperative agreements, and loans.

7 CFR Part 3019—USDA implementation of OMB Circular A-110, Uniform Administrative

Requirements for Grants and Other Agreements With Institutions of Higher Education,
Hospitals, and Other Nonprofit Organizations (2 CFR Part 215).

16
7 CFR Part 3021—USDA Implementation of Governmentwide Requirements for Drug-Free
Workplace (Grants).

7 CFR Part 3052—USDA implementation of OMB Circular No. A-133, Audits of States, Local
Governments, and Nonprofit Organizations.

7 CFR Part 3407—USDA procedures to implement the National Environmental Policy Act of
1969, as amended.

7 CFR 3430—Competitive and Noncompetitive Non-formula Grant Programs--General Grant

Administrative Provisions.

29 U.S.C. 794 (section 504, Rehabilitation Act of 1973) and 7 CFR Part 15b (USDA
implementation of statute) —prohibiting discrimination based upon physical or mental handicap
in Federally assisted programs.

35 U.S.C. 200 et seq. —Bayh Dole Act, controlling allocation of rights to inventions made by
employees of small business firms and domestic nonprofit organizations, including universities,
in Federally assisted programs (implementing regulations are contained in 37 CFR Part 401).

D. Expected Program Outputs and Reporting Requirements

Grantees are to submit initial project information and annual and summary reports to NIFA’s
electronic, Web-based inventory system that facilitates both grantee submissions of project
outcomes and public access to information on Federally-funded projects. The details of these
reporting requirements are included in the award terms and conditions. Details of annual and
final technical reporting requirements also are included in the award terms and conditions.

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PART VII—AGENCY CONTACT

Applicants and other interested parties are encouraged to contact the SBIR Program; National
Institute of Food and Agriculture; STOP 2240; 1400 Independence Ave, SW; Washington, DC
20250-2240; telephone: (202) 401-4002; fax: (202) 401-6070; e-mail: [email protected].
Applicants may also solicit information about Narrative requirements from the SBIR mailbox at
[email protected] or by phone at (202) 401-4002.

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PART VIII—OTHER INFORMATION

A. Access to Review Information

Copies of reviews, not including the identity of reviewers, and a summary of the panel comments
will be sent to the applicant PD after the review process has been completed.

B. Use of Funds; Changes

1. Delegation of Fiscal Responsibility

Unless the terms and conditions of the award state otherwise, the awardee may not in whole or in
part delegate or transfer to another person, institution, or organization the responsibility for use
or expenditure of award funds.

2. Changes in Project Plans

a. The permissible changes by the awardee, PD(s), or other key project personnel in the approved
project shall be limited to changes in methodology, techniques, or other similar aspects of the
project to expedite achievement of the project's approved goals. If the awardee or the PD(s) is
uncertain as to whether a change complies with this provision, the question must be referred to
the Authorized Departmental Officer (ADO) for a final determination. The ADO is the signatory
of the award document, not the program contact.

b. Changes in approved goals or objectives shall be requested by the awardee and approved in
writing by the ADO prior to effecting such changes. In no event shall requests for such changes
be approved which are outside the scope of the original approved project.

c. Changes in approved project leadership or the replacement or reassignment of other key

project personnel shall be requested by the awardee and approved in writing by the ADO prior to
effecting such changes.

d. Transfers of actual performance of the substantive programmatic work in whole or in part and
provisions for payment of funds, whether or not Federal funds are involved, shall be requested
by the awardee and approved in writing by the ADO prior to effecting such transfers, unless
prescribed otherwise in the terms and conditions of the award.

e. The project period may be extended by NIFA without additional financial support, for such
additional period(s) as the ADO determines may be necessary to complete or fulfill the purposes
of an approved project, but in no case shall the total project period exceed any applicable
statutory limit or expiring appropriation limitation. Any extension of time shall be conditioned
upon prior request by the awardee and approval in writing by the ADO, unless prescribed
otherwise in the terms and conditions of award.

f. Changes in Approved Budget: Unless stated otherwise in the terms and conditions of award,
changes in an approved budget must be requested by the awardee and approved in writing by the

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ADO prior to instituting such changes, if the revision will involve transfers or expenditures of
amounts requiring prior approval as set forth in the applicable Federal cost principles,
Departmental regulations, or award.

C. Confidential Aspects of Applications and Awards

When an application results in an award, it becomes a part of the record of NIFA transactions,
available to the public upon specific request. Information that the Secretary determines to be of a
confidential, privileged, or proprietary nature will be held in confidence to the extent permitted
by law. Therefore, any information that the applicant wishes to have considered as confidential,
privileged, or proprietary should be clearly marked within the application. The original copy of
an application that does not result in an award will be retained by the Agency for a period of
three years. Other copies will be destroyed. Such an application will be released only with the
consent of the applicant or to the extent required by law. An application may be withdrawn at
any time prior to the final action thereon.

D. Regulatory Information

For the reasons set forth in the final Rule related Notice to 7 CFR part 3015, subpart V (48 FR
29114, June 24, 1983), this program is excluded from the scope of the Executive Order 12372
which requires intergovernmental consultation with State and local officials. Under the
provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35), the collection of
information requirements contained in this Notice have been approved under OMB Document
No. 0524-0039.

E. Definitions

Please refer to 7 CFR 3403, Small Business Innovation Research Grants Program, for the
applicable definitions for this NIFA grant program. The following is an additional definition
thereto.

Small Business Development Center means a nonprofit institution, as defined in section 3703(5)
(2) of 15 USC 638, and includes federally funded research and development centers, as identified
by the National Scientific Foundation in accordance with the government-wide Federal
Acquisition Regulation issued in accordance with section 421(c)(1) (2) of title 41 (or any
successor regulation thereto).

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