+------------+---------------------------------------------------------+
|            | ![](media/image1.png){width="1.1666666666666667in"      |
|            | height="0.8166666666666667in"}                          |
|            |                                                         |
|            | **Program Solicitation**                                |
|            |                                                         |
|            | **Small Business Innovation**                           |
|            |                                                         |
|            | **Research Program**                                    |
|            |                                                         |
|            | **Fiscal Year 2008**                                    |
|            |                                                         |
|            | **Phase I Closing Date: September 12, 2007**            |
|            |                                                         |
|            | **Telephone: 202-401-4002**                             |
|            |                                                         |
|            | **Email:** <sbir@csrees.usda.gov>                       |
|            |                                                         |
|            | **Internet:**                                           |
|            | [www.csrees.usd                                         |
|            | a.gov/fo/sbir](http://www.csrees.usda.gov/fo/sbir.html) |
|            |                                                         |
|            | **Catalog of Federal Domestic Assistance Number         |
|            | (CFDA)**                                                |
|            |                                                         |
|            | [10.212 Small Business Innovation Research]{.underline} |
|            |                                                         |
|            | **CSREES Funding Opportunity Number**                   |
|            |                                                         |
|            | [USDA-CSREES-SBIR-000891]{.underline}                   |
+------------+---------------------------------------------------------+
| **United   |                                                         |
| States     |                                                         |
| Department |                                                         |
| of         |                                                         |
| Agr        |                                                         |
| iculture** |                                                         |
+------------+---------------------------------------------------------+
| ![](media  |                                                         |
| /image2.pn |                                                         |
| g){width=" |                                                         |
| 0.56875in" |                                                         |
| height="0. |                                                         |
| 8006944444 |                                                         |
| 444445in"} |                                                         |
+------------+---------------------------------------------------------+
| **C        |                                                         |
| ooperative |                                                         |
| State      |                                                         |
| Research,  |                                                         |
| Education, |                                                         |
| and        |                                                         |
| Extension  |                                                         |
| Service**  |                                                         |
|            |                                                         |
| **C        |                                                         |
| ompetitive |                                                         |
| Programs** |                                                         |
|            |                                                         |
| **S        |                                                         |
| BIR-08-1** |                                                         |
+------------+---------------------------------------------------------+

## CONTENTS

[CONTENTS 2](#contents)

[Acronym List 4](#acronym-list)

[IMPORTANT CHANGES IN THE USDA SBIR Fiscal Year (FY) 2008 PROGRAM
SOLICITATION
5](#important-changes-in-the-usda-sbir-fiscal-year-fy-2008-program-solicitation)

[1.0 GENERAL PROGRAM DESCRIPTION 8](#general-program-description)

[1.1 Introduction 8](#introduction)

[1.2 Three-phase Program 8](#three-phase-program)

[1.3 Potential Commercial Outcome 9](#potential-commercial-outcome)

[1.4 Eligibility 9](#eligibility)

[1.5 Agency Contacts 10](#agency-contacts)

[2.0 DEFINITIONS 12](#definitions)

[2.1 Ad hoc Reviewers 12](#ad-hoc-reviewers)

[2.2 Applicant 12](#applicant)

[2.3 Authorized Departmental Officer
12](#authorized-departmental-officer)

[2.4 Authorized Organizational Representative
12](#authorized-organizational-representative)

[2.5 Budget Period 12](#budget-period)

[2.6 Commercialization 12](#commercialization)

[2.7 CSREES 12](#csrees)

[2.8 Department 12](#department)

[2.9 Essentially Equivalent Work 12](#essentially-equivalent-work)

[2.10 Funding Agreement 13](#funding-agreement)

[2.11 Grant 13](#grant)

[2.12 Grantee 13](#grantee)

[2.13 Historically Underutilized Business Zone (HUBZone)
13](#historically-underutilized-business-zone-hubzone)

[2.14 Innovation 13](#innovation)

[2.15 Intellectual Property 13](#intellectual-property)

[2.16 Joint Venture 14](#joint-venture)

[2.17 Manufacturing Related 14](#manufacturing-related)

[2.18 Outcomes 14](#outcomes)

[2.19 Outputs 15](#outputs)

[2.20 Peer Review Group 15](#peer-review-group)

[2.21 Principal Investigator/Project Director (PI/PD)
15](#principal-investigatorproject-director-pipd)

[2.22 Professional Employer Organization
15](#professional-employer-organization)

[2.23 Program Solicitation 15](#program-solicitation)

[2.24 Prototype 15](#prototype)

[2.25 Project period 15](#project-period)

[2.26 Research or Research and Development (R/R&D)
15](#research-or-research-and-development-rrd)

[2.27 Research Project Grant 16](#research-project-grant)

[2.28 SBIR Participants 16](#sbir-participants)

[2.29 SBIR Technical Data 16](#sbir-technical-data)

[2.30 SBIR Technical Data Rights 16](#sbir-technical-data-rights)

[2.31 Small Business Concern (SBC) 16](#small-business-concern-sbc)

[2.32 Small and Mid-Size Farms 16](#small-and-mid-size-farms)

[2.33 Socially and Economically Disadvantaged Small Business Concern
16](#socially-and-economically-disadvantaged-small-business-concern)

[2.34 Subcontract 17](#subcontract)

[2.35 United States 17](#united-states)

[2.36 Women-owned Small Business Concern
17](#women-owned-small-business-concern)

[3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS
18](#application-preparation-instructions-and-requirements)

[3.1 Application Requirements 18](#application-requirements)

[3.2 USDA SBIR Application Submission Overview
18](#usda-sbir-application-submission-overview)

[3.2.1 Resources 19](#resources)

[3.2.2 Registration Procedures for Companies and Individuals
20](#registration-procedures-for-companies-and-individuals)

[3.2.3 Special Considerations 21](#special-considerations)

[3.3 Application Guidelines 22](#application-guidelines)

[3.3.1 SF-424 R&R Cover Sheet 23](#sf-424-rr-cover-sheet)

[3.3.2 R&R Other Project Information 24](#rr-other-project-information)

[3.3.3 R&R Senior Key Person - (PDF Format is Required)
27](#rr-senior-key-person---pdf-format-is-required)

[3.3.4 R&R Personal Data 28](#rr-personal-data)

[3.3.5 R&R Budget - (PDF Format is Required)
28](#rr-budget---pdf-format-is-required)

[3.3.6 R&R Subaward Budget Attachment - (PDF Format is Required)
30](#rr-subaward-budget-attachment---pdf-format-is-required)

[3.3.7 CSREES Supplemental Information
30](#csrees-supplemental-information)

[3.3.8 SBIR/Small Business Technology Transfer Program (STTR)
Information
30](#sbirsmall-business-technology-transfer-program-sttr-information)

[3.3.9 Non Domestic Performance Explanation - (PDF Format is Required)
31](#non-domestic-performance-explanation---pdf-format-is-required)

[3.3.10 Commercialization Plan - DO NOT USE
31](#commercialization-plan---do-not-use)

[3.3.11 Documentation of Prior SBIR Phase II Awards - (PDF Format is
Required)
31](#documentation-of-prior-sbir-phase-ii-awards---pdf-format-is-required)

[3.3.12 NRI Proposed Type Form - DO NOT USE
31](#nri-proposed-type-form---do-not-use)

[3.3.13 Application Modification - DO NOT USE
31](#application-modification---do-not-use)

[3.3.14 CHECKLIST 32](#checklist)

[4.0 METHOD OF SELECTION AND EVALUATION CRITERIA
34](#method-of-selection-and-evaluation-criteria)

[4.1 Introduction 34](#introduction-1)

[4.2 Initial Screening Criteria 34](#initial-screening-criteria)

[4.3 Phase I Evaluation Criteria 35](#phase-i-evaluation-criteria)

[4.4 Phase I Review Process 36](#phase-i-review-process)

[4.5 Notice to Applicants 36](#notice-to-applicants)

[5.0 CONSIDERATIONS 38](#considerations)

[5.1 Awards 38](#awards)

[5.2 Reports 38](#reports)

[5.2.1 Technical Reports 38](#technical-reports)

[5.2.2 Financial Reports 38](#financial-reports)

[5.2.3 Current Research Information System (CRIS) Reports
39](#current-research-information-system-cris-reports)

[5.3 Payment Schedules 39](#payment-schedules)

[5.4 Proprietary Information 40](#proprietary-information)

[5.5 Rights in Technical Data 41](#rights-in-technical-data)

[5.6 Copyrights 41](#copyrights)

[5.7 Patents and Inventions 41](#patents-and-inventions)

[5.8 Research Involving Special Considerations
42](#research-involving-special-considerations)

[5.9 Grantee Commitments 42](#grantee-commitments)

[5.10 Additional Information 42](#additional-information)

[6.0 SUBMISSION OF APPLICATIONS 44](#submission-of-applications)

[6.1 When to Submit 44](#when-to-submit)

[6.2 What to Submit 44](#what-to-submit)

[6.3 Where to Submit 44](#where-to-submit)

[6.4 Questions Pertaining to the USDA SBIR Program or to this
Solicitation
44](#questions-pertaining-to-the-usda-sbir-program-or-to-this-solicitation)

[6.5 Information on Application Status
44](#information-on-application-status)

[7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES
45](#scientific-and-technical-information-sources)

[8.0 RESEARCH TOPIC DESCRIPTIONS AND INSTRUCTIONS
46](#research-topic-descriptions-and-instructions)

[8.1 Forests and Related Resources 47](#forests-and-related-resources)

[8.2 Plant Production and Protection -- Biology
49](#plant-production-and-protection-biology)

[8.3 Animal Production and Protection
51](#animal-production-and-protection)

[8.4 Soil and Water Resources
53](#number-range-chaptersoil-and-water-resources)

[8.5 Food Science and Nutrition 55](#food-science-and-nutrition)

[8.6 Rural Development 57](#rural-development)

[8.7 Aquaculture 59](#number-range-chapter8.7-aquaculture)

[8.8 Biofuels and Biobased Products 61](#biofuels-and-biobased-products)

[8.9 Marketing and Trade 63](#marketing-and-trade)

[8.11 Animal Manure Management 65](#animal-manure-management)

[8.12 Small and Mid-Size Farms
67](#number-range-chapter8.12-small-and-mid-size-farms)

[8.13 Plant Production and Protection - Engineering
69](#plant-production-and-protection---engineering)

[9.0 SUBMISSION FORMS AND CERTIFICATIONS
71](#submission-forms-and-certifications)

[10. 0 SAMPLE APPLICATIONS FROM USDA SBIR SOLICITATION
72](#sample-applications-from-usda-sbir-solicitation)

####   {#section .unnumbered}

#### Acronym List

ADO -- Authorized Departmental Officer

AOR -- Authorized Organizational Representative

APHIS -- Animal and Plant Health Inspection Service

AR -- Authorized Representative

CCR -- Central Contractor Registry

CFDA -- Catalog of Federal Domestic Assistance

CFR -- Code of Federal Regulations

COI -- Conflict of Interest

CRADA -- Cooperative Research and Development Agreement

CRIS -- Current Research Information System

CSREES -- Cooperative State Research, Education, and Extension Service

DHHS -- Department of Health and Human Services

DUNS -- Data Universal Number System

E-Business POC - E-Business Point of Contact

F&A -- Facilities and Administration

FR -- Federal Regulation

FY -- Fiscal Year

HUBZONE -- Historically Underutilized Business Zone

M-PIN -- Marketing Partner Identification Number

NPL -- National Program Leader

NRI -- National Research Initiative

PD -- Project Director

PDF -- Portable Document Format

PI -- Principle Investigator

PMS -- Payment Management System

POC -- Point of Contact

PRS -- Peer Review System

R/R&D -- Research or Research and Development

R&D -- Research and Development

R&R -- Research and Related

RFA -- Request for Applications

SBA -- Small Business Administration

SBC -- Small Business Concern

SBIR -- Small Business Innovation Research

STTR -- Small Business Technology Transfer Program

U.S. -- United States

USDA -- United States Department of Agriculture

**The Program Solicitation may be downloaded from the USDA SBIR Web
Page:**

[www.csrees.usda.gov/fo/sbir](http://www.csrees.usda.gov/fo/sbir.html)

**\*\*\*\*\*\*\*\*\*\*\*\*\* PLEASE READ \*\*\*\*\*\*\*\*\*\*\*\*\***

## IMPORTANT CHANGES IN THE USDA SBIR Fiscal Year (FY) 2008 PROGRAM SOLICITATION

**Proposed research must be responsive to one of the USDA program
interests as stated in the research topic area descriptions of this
solicitation, see section 8.0. The USDA does not prioritize between
research topic areas. Applicants are encouraged to submit applications
that focus on the research topic areas identified in this RFA.
Applicants should pay attention to specific instructions located within
each of the topic areas, section 8.0, when developing their
applications.**

**The USDA SBIR Program requires all FY 2008 applications be submitted
electronically through [Grants.gov](http://www.grants.gov/). This SBIR
program funding opportunity is for Phase I applications and has a
closing date of September 12, 2007.**

-   **[ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF). APPLICATIONS THAT DO NOT FOLLOW THE GUIDELINES FOR
    ATTACHMENTS ARE NOT ELIGIBILE TO BE CONSIDERED FOR A PHASE I SBIR
    AWARD AND WILL BE RETURNED WITHOUT REVIEW;]{.underline}**

-   Applicants must allow additional time for electronic submission and
    plan ahead;

-   **Please note, individual proprietorships, i.e. farmers, ranchers,
    etc., must register with Grants.gov as organizations, not as
    individuals.**

-   **Please note, within the Grants.gov forms, applicants will be asked
    to submit information relevant to specific "programs you are
    applying for." This refers to the "topic area," see section 8.0, to
    which you are submitting your USDA SBIR application.**

-   Information about the forms and submission requirements for
    [Grants.gov](http://www.grants.gov/) can be found in section 3.0 and
    in the Grants.gov guide that accompanies the forms on Grants.gov;

-   Applications must be submitted via
    [Grants.gov](http://www.grants.gov/) by 5:00 p.m. Eastern Time, on
    the Phase I deadline as indicated under section 6.1 of this program
    solicitation; and

-   Applicants who have problems with their submissions to Grants.gov
    are [encouraged]{.underline} to call the Grants.gov help desk to
    help resolve the problems and keep a record of any correspondence
    with Grants.gov regarding the submission problem.

+----------------------------+-----------------------------------------+
| **Helpful Information for  | **Website Address**                     |
| Submission**               |                                         |
+----------------------------+-----------------------------------------+
| Information pertaining to  | > [www.csre                             |
| the transition to          | es.usda.gov/funding/electronic](http:// |
| electronic submission can  | www.csrees.usda.gov/funding/electronic) |
| be found at the CSREES     | >                                       |
| website.                   | > This page will be updated frequently  |
|                            | > and should be checked for             |
|                            | > program-specific help.                |
+----------------------------+-----------------------------------------+
| Applications should be     | > [Grants.gov](http://www.grants.gov/)  |
| submitted through the      |                                         |
| Grants.gov website.        |                                         |
+----------------------------+-----------------------------------------+
| The **CSREES GRANTS.GOV    | > Contained within the application      |
| Application Guide**        | > package is the "CSREES Grants.gov     |
| provides guidance for      | > Application Guide: A Guide for        |
| completing the forms       | > Preparation and Submission of CSREES  |
| required by Grants.gov and | > Applications via Grants.gov." This    |
| CSREES. Used in            | > Guide contains an introduction and    |
| conjunction with the RFA,  | > general Grants.gov instructions,      |
| this guide will assist     | > information about how to use a Grant  |
| applicants with most       | > Application Package in Grants.gov,    |
| field-specific questions.  | > and instructions on how to complete   |
|                            | > the application forms. **Applicants   |
|                            | > should reference the RFA for          |
|                            | > additional guidance not found in the  |
|                            | > application guide.**                  |
+----------------------------+-----------------------------------------+

If you have any questions related to preparing application content,
contact:

Email: <electronic@csrees.usda.gov>

Phone: 202-401-5048, Business hours are M-F, 7:00 am -- 5 pm ET,
excluding Federal holidays.

If you have any questions related to Grants.gov content, contact:

Email: <support@grants.gov>

Toll Free: 1-800-518-4726, Business hours are M-F, 7:00 am -- 9 pm ET,
excluding Federal holidays.

If you do not own PDF-generating software, Grants.gov provides online
tools to assist applicants. On the Grants.gov Customer Support webpage
(<http://grants.gov/CustomerSupport>) users will find a link to "Convert
Documents to PDF" (<http://grants.gov/assets/PDFConversion.pdf>). PDF
documents submitted as a part of the application must also adhere to the
following guidelines:

-   margins not less than 1"or 2.5 cm on all sides;

-   type at least 12 point font size regardless of whether it is single
    or double spaced; and

-   Font type should be "Times New Roman, Geneva, Helvetica, Arial or
    equivalent."

**APPLICATIONS RECEIVED AFTER THE SPECIFIED CLOSING DATE OR NOT
RESPONDING TO RESEARCH TOPIC AREAS OUTLINED IN SECTION 8.0 OR NOT IN
COMPLIANCE WITH APPLICATION GUIDELINES OF THIS PROGRAM SOLICITATION ARE
NOT ELIGIBLE TO BE CONSIDERED FOR A PHASE I SBIR AWARD AND WILL BE
RETURNED TO THE APPLICANT WITHOUT REVIEW**.

**\*\*\*\*\*\*\*\*\*\*\*\*\* PLEASE READ \*\*\*\*\*\*\*\*\*\*\*\*\***

USDA recognizes **Agriculturally-related Manufacturing Technology** and
**Alternative and Renewable Energy** as two cross-cutting priorities
with relevance to all topic areas described in Section 8.0 of this RFA.
USDA encourages applicants---as appropriate---to address these
priorities within their proposals for submission to one of the topic
areas described in Section 8.0. Special consideration of applications
that address one of these priorities may be provided, so long as the
proposal is responsive to one of the topic areas described in this RFA.

**Agriculturally-related Manufacturing Technology**

On February 26, 2004 The President issued Executive Order 13329 (69 FR
9181) entitled "Encouraging Innovation in Manufacturing." In response to
this Executive Order, USDA encourages the submission of applications
that deal with some aspect of agriculturally-related manufacturing
technology (Section 2.17). Since manufacturing impacts all aspects of
agriculture and rural development, applications dealing with
manufacturing could be submitted to any of the topic areas. If an
application has a connection to manufacturing this should be indicated
in section (2) of the project narrative (the project narrative is
included as an attachment in Field 7 of the R&R Other Project
Information from) and a brief explanation of how it is related to
manufacturing should be provided.

**Alternative and Renewable Energy**

In an effort to reduce the Nation's dependence on fossil fuels, the USDA
has established research on alternative and renewable energy as a high
priority. The research may include development of new energy crops,
improved methods for producing biofuels, such as ethanol and biodiesel,
producing hydrogen and other fuel gases from agricultural waste and more
efficiently using energy in agricultural production and in rural
communities. Energy issues impact all aspects of agriculture and rural
development, and thus applications dealing with alternative and
renewable energy could be submitted to a variety of topic areas. If a
proposal has a connection to alternative and renewable energy, this
should be indicated in section (2) of the project narrative (the project
narrative is included as an attachment in Field 7 of the R&R Other
Project Information form) and a brief explanation should be included
indicating how the proposed research is related to alternative and
renewable energy.

**USDA'S PROGRAM SOLICITATION**

**SMALL BUSINESS INNOVATION RESEARCH**

**FISCAL YEAR 2008**

### 1.0 GENERAL PROGRAM DESCRIPTION

#### 1.1 Introduction

The U.S. Department of Agriculture (USDA) invites science-based small
business firms to submit research applications under this program
solicitation entitled "Small Business Innovation Research Program
(SBIR), Fiscal Year 2008." Firms with strong scientific research
capabilities in any of the topic areas described in section 8.0 are
encouraged to participate. USDA will support high-quality research or
research and development (R/R&D) applications containing advanced
concepts related to important scientific problems and opportunities that
could lead to significant public benefit.

Objectives of the SBIR program include stimulating technological
innovation in the private sector, strengthening the role of small
businesses in meeting Federal research and development needs, increasing
private sector commercialization of innovations derived from
USDA-supported research and development efforts and fostering and
encouraging participation by women-owned and socially and economically
disadvantaged small business firms in technological innovation.

#### 1.2 Three-phase Program

The USDA SBIR program is carried out in three separate phases. Phase I
is to determine the scientific or technical feasibility of ideas
submitted by applicants on research topic areas described in section 8.0
of this solicitation. **This program solicitation is only for the
preparation and submission of Phase I applications.** Phase I awards may
not exceed \$80,000 for a period normally not to exceed 8 months.
However, longer grant periods, up to 20 months, may be considered (See
section 4.2(E)). The Phase I application should concentrate on research
that will significantly contribute to **proving the scientific or
technical feasibility** of the approach or concept and will be a
prerequisite to further USDA support in Phase II.

Phase II applications promote principal R/R&D and will require a more
comprehensive application, outlining the proposed effort in detail. At
the appropriate time, the SBIR Program will send a letter to Phase I
awardees eligible to submit Phase II applications with instructions for
preparing these applications and a deadline date (normally early
February of each year) for submitting applications. USDA recognizes that
Phase II awards may not be sufficient in either dollars or time for the
firm to complete the total R/R&D required to bring the project results
to commercialization in the market place. Therefore, completion of the
research under these circumstances may have to be carried into Phase
III.

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. No Federal SBIR funds may be used to
support Phase III projects. However, firms are strongly encouraged to
secure Phase III funding from their own resources or from other public
and private sources. Additionally, Phase III is to be conducted by the
small business firm, including joint ventures and limited partnerships.

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

This program is subject to the provisions found at 7 CFR Part 3403.
These provisions set forth procedures to be followed when submitting
grant applications, rules governing the evaluation of applications and
the awarding of grants and regulations relating to the post-award
administration of grant projects. Changes have been made to the
provisions and incorporated into this solicitation. These changes were
subject to the comments provided in response to the Small Business
Innovation Research Grants Program -- Final Rule (7 CFR Part 3403, April
26, 2007).

This SBIR program funding opportunity for FY 2008 Phase I applications
has a closing date of September 12, 2007.

#### 1.3 Potential Commercial Outcome 

In addition to supporting scientific research and development, the
programs primary goal is to provide incentive and opportunity for small
business firms to convert USDA-sponsored research to technological
innovation in the private sector. All proposed research should have some
potential commercial outcome. Phase I applications should contain a
brief description of any potential commercial application(s) and whether
or not the small business firm will attempt to secure follow-on,
non-SBIR funding to pursue the commercial development of the expected
products from the proposed research (See Section 3.3.2 R&R Other Project
Information (10) -- Potential Post Application).

#### 1.4 Eligibility 

Each applicant submitting an application must qualify as a small
business concern for R/R&D purposes at the time of award, see
definitions in section 2.0. A potential grantee that is a subsidiary
must show that the parent company is also a small business entity and
the parent company must provide documentation supporting their small
business status (the documentation should be included in Field 11, Other
Attachments, of the Research and Related (R&R) Other Project Information
form). If the parent company is not a small business entity, then the
subsidiary is not eligible to submit an SBIR application. In addition,
the primary employment of the project director must be with the small
business concern at the time of award and during the conduct of the
proposed research, unless otherwise approved in writing by the USDA
funding agreement officer after consultation with the appropriate
National Program Leader (NPL). Primary employment means that more than
one-half of the project director's time is spent in the employ of the
small business. Primary employment with the small business precludes the
applicant as a full-time employee with another organization. This
requirement applies to Phase I awards. Any deviations from this
requirement must be approved in writing by the funding agreement officer
after consultation with the appropriate NPL. While the PD must work more
than one-half of his/her time for the small business during the entire
grant period, there is no minimal time requirement for what percentage
of the PD's time is spent working on the proposed research.

To be eligible to receive awards from the USDA's SBIR program, a
business concern must meet the requirements of paragraphs (A) and (B)
below:

**(A)** Ownership and control.

1.  An SBIR awardee must;

    a.  Be a concern which is at least 51% owned and controlled by one
        or more individuals who are citizens of the United States or
        permanent resident aliens in the United States; or

    b.  Be a concern which is at least 51% owned and controlled by
        another business concern that is itself at least 51% owned and
        controlled by individuals who are citizens of or permanent
        resident aliens in the United States; or

    c.  Be a joint venture in which each entity to the venture must meet
        the requirements set forth in either paragraphs (A)(1)(a) or
        (A)(1)(bi) of this section.

2.  If an Employee Stock Option Plan owns all or part of the concern,
    USDA considers each stock trustee and plan member to be an owner.

3.  If a trust owns all or part of the concern, USDA considers each
    trustee and trust beneficiary to be an owner.

**(B)** Size.

An SBIR awardee, together with its affiliates, must not have more than
500 employees. The small business concern must be the primary performer
of the proposed research effort. In Phase I, a minimum of **two-thirds**
of the research or analytical work, as determined by budget
expenditures, must be performed by the proposing organization.

Also, for Phase I, the R/R&D work must be performed in the United
States. On rare and unique circumstance, for example, a supply, material
or project requirement not available in the United States, agencies may
allow that particular portion of the R/R&D work be performed or obtained
in a country outside of the United States. Approval, in writing, is
necessary by both the responsible NPL and the funding agreement officer
for such specific conditions.

#### 1.5 Agency Contacts 

**Applicants and other interested parties are encouraged to contact the
SBIR NPL indicated for more information about each topic area listed
below.**

Dr. Peter Burfening (<pburfening@csrees.usda.gov>)

Telephone: (202) 401-5823

Fax: (202) 401-6070

**8.3** Animal Production and Protection

Dr. Charles Cleland (<ccleland@csrees.usda.gov>)

Telephone: (202) 401-6852

Fax: (202) 401-6070

**8.1** Forests and Related Resources

**8.4** Soil and Water Resources

**8.7** Aquaculture

**8.12** Small and Mid-Size Farms

Dr. William Goldner (<wgoldner@csrees.usda.gov>)

Telephone: (202) 401-1719

Fax: (202) 401-6070

**8.2** Plant Production and Protection - Biology

**8.8** Biofuels and Biobased Products

**8.13** Plant Production and Protection - Engineering

Dr. Richard Hegg (<rhegg@csrees.usda.gov>)

Telephone: (202) 401-6550

Fax: (202) 401-6070

**8.11** Animal Manure Management

Dr. Siva Sureshwaran (<ssureshwaran@csrees.usda.gov>)

Telephone: (202) 720-7536

Fax: (202) 401-6070

**8.6** Rural Development

**8.9** Marketing and Trade

Dr. Dionne Toombs (<dtoombs@csrees.usda.gov>)

Telephone: (202) 401-2138

Fax: (202) 401-6070

**8.5** Food Science and Nutrition

**Questions of a general nature about this SBIR solicitation should be
sent to <sbir@csrees.usda.gov> or can be directed to:**

Mr. Scott Dockum (<sbir@csrees.usda.gov>)

Telephone: (202) 401-4002 or (202) 401-4995

Fax: (202) 401-6488

Program Specialist -- Small Business Innovation Research (SBIR)

### 2.0 DEFINITIONS

The following definitions apply for purposes of this solicitation:

#### 2.1 Ad hoc Reviewers 

Experts or consultants, qualified by training and experience in
particular scientific or technical fields, solicited to render advice on
the scientific technical merit of grant applications on an individual
basis. Written evaluations of reviewed applications will be submitted
for review.

#### 2.2 Applicant

The organizational entity that, at the time of award, will qualify as a
small business concern and that submits a grant application for a
funding agreement under the SBIR Program.

#### 2.3 Authorized Departmental Officer 

The authorized departmental officer (ADO) is the Secretary or any
employee of the Department who has the authority to issue or modify
grant instruments on behalf of the Secretary. The ADO is also referred
to as the Funding Agreement Officer.

#### 2.4 Authorized Organizational Representative

The authorized organizational representative (AOR) is the president,
director, chief executive officer or other designated official of the
applicant small business concern who has the authority to commit the
resources of the organization. **Note: AOR is referred to as Authorized
Representative (AR) on the grants.gov SF-424 (R&R forms).**

#### 2.5 Budget Period 

Each project is divided into different intervals of time for budgetary
and reporting purposes.

#### 2.6 Commercialization

The process of developing marketable products or services as well as
producing and delivering products or services for sale, whether by the
originating party or by others, to Government or commercial markets.

#### 2.7 CSREES 

The Cooperative State Research, Education, and Extension Service.

#### 2.8 Department 

The U. S. Department of Agriculture.

#### 

#### 2.9 Essentially Equivalent Work 

Occurs when (1) substantially the same research is proposed for funding
in more than one grant application submitted to the same Federal agency;
(2) substantially the same research is submitted to two or more
different Federal agencies for review and funding consideration; or (3)
a specific research objective and the research design for accomplishing
an objective are the same or closely related in two or more applications
or awards, regardless of the funding source.

#### 

#### 2.10 Funding Agreement

A funding agreement is any contract, grant or cooperative agreement
entered into between any Federal agency and any small business concern
for the performance of experimental, developmental or research work,
including products or services funded in whole or in part by the Federal
Government.

#### 2.11 Grant

A financial assistance mechanism providing money, property or both to an
eligible entity to carry out the approved project or activity.
Substantial programmatic involvement by Government is not anticipated.

#### 2.12 Grantee 

The small business concern designated in the grant award document as the
responsible legal entity to whom the grant is awarded under this part.
Also referred to as an "awardee."

#### 2.13 Historically Underutilized Business Zone (HUBZone)

A small business concern meeting the following criteria:

**(A)** Located in a "historically underutilized business zone" or
HUBZone area located in one or more of the following:

> **(1) A qualified census tract** (as defined in section
> 42(d)(5)(C)(i)(l) of the Internal Revenue Code of 1986); or
>
> **(2) A qualified "non-metropolitan county**" (as defined in section
> 143(k)(2)(B) of the Internal Revenue Code of 1986); or
>
> **(3) On an Indian Reservation**- Land within the boundaries of a
> Federally recognized Indian Reservation.

**(B)** Owned and controlled by one or more U.S. Citizens; and

**(C)** At least 35% of its employees must reside in a HUBZone.

#### 2.14 Innovation 

A new or improved item having marketable potential including (1)
development of new technologies,

\(2\) refinement of existing technologies or (3) development of new
applications for existing technologies.

#### 

#### 2.15 Intellectual Property 

The separate and distinct types of intangible property that are referred
to collectively as "intellectual property," including but not limited
to: patents, trademarks, copyrights, trade secrets, SBIR technical data
(as defined in this section), ideas, designs, know-how, business,
technical and research methods, other types of intangible business
assets and all types of intangible assets either proposed or generated
by a small business concern as a result of its participation in the SBIR
Program.

#### 2.16 Joint Venture 

An association of concerns with interests in any degree or proportion by
way of contract, express or implied, consorting to engage in and carry
out a single specific business venture for joint profit, for which
purpose they combine their efforts, property, money, skill or knowledge,
but not on a continuing or permanent basis for conducting business
generally. A joint venture is viewed as a business entity in determining
power to control its management.

#### 2.17 Manufacturing Related

Encompasses improvements in existing methods or processes or as well as
wholly new processes, machines or systems. Four main areas include:

**(A)** Unit process level technologies that create or improve
manufacturing processes, including:

1.  Fundamental improvements in existing manufacturing processes that
    deliver substantial productivity, quality or environmental benefits;
    or

2.  Development of new manufacturing processes, including new materials,
    coatings, methods and associated practices.

**(B)** Machine level technologies that create or improve manufacturing
equipment, including:

1.  Improvements in capital equipment that create increased capability,
    such as accuracy or repeatability, increased capacity through
    productivity improvements or cost reduction or increased
    environmental efficiency, such as safety, energy efficiency,
    environmental impact; or

2.  New apparatus and equipment for manufacturing, including additive
    and subtractive manufacturing, deformation and molding, assembly and
    test, semiconductor fabrication and nanotechnology.

**(C)** Systems level technologies for innovation in the manufacturing
enterprise, including:

1.  Advances in controls, sensors, networks and other information
    technologies that improve the quality and productivity of
    manufacturing cells, lines, systems and facilities;

2.  Innovation in extended enterprise functions critical to
    manufacturing, such as quality systems, resource management, supply
    change integration and distribution, scheduling and tracking; or

3.  Technologies that enable integrated and collaborative product and
    process development, including computer-aided and expert systems for
    design, tolerancing, process and materials selection, life-cycle
    cost estimation, rapid prototyping and tooling.

**(D)** Environment or societal level technologies that improve
workforce abilities, productivity and manufacturing competitiveness,
including:

1.  Technologies for improved workforce health and safety, such as human
    factors and ergonomics; or

2.  Technologies that aid and improve workforce manufacturing skill and
    technical excellence, such as educational systems incorporating
    improved manufacturing knowledge and instructional methods.

#### 2.18 Outcomes 

The measure of long-term, eventual program impact.

#### 2.19 Outputs 

The measures of near-term program impact.

#### 2.20 Peer Review Group 

Experts or consultants, qualified by training and experience in
particular scientific or technical fields, that provide advice on the
scientific and technical merit of grant applications. The group
assembles to discuss and evaluate all of the eligible applications
submitted to this program in their area of expertise.

#### 2.21 Principal Investigator/Project Director (PI/PD)

The one individual designated by the applicant to provide the scientific
and technical direction to a project supported by the funding agreement.

#### 2.22 Professional Employer Organization 

An organization that provides an integrated approach to the management
and administration of the human resources and employer risk of its
clients, by contractually assuming substantial employer rights,
responsibilities and risk, through the establishment and maintenance of
an employer relationship with the workers assigned to its clients.

#### 2.23 Program Solicitation

A formal request for applications whereby a Federal agency notifies the
small business community of its research or Research and Development
(R&D) needs and interests in broad and selected areas as appropriate to
the agency and requests applications from small business concerns in
response to these needs and interests.

#### 2.24 Prototype 

A model of something to be further developed, which includes designs,
protocols, questionnaires, software and devices.

#### 2.25 Project period 

The total length of time approved by the Department for conducting the
research project as outlined in an approved grant application.

#### 2.26 Research or Research and Development (R/R&D)

R/R&D means any activity which is:

**(A)** A systematic, intensive study directed toward greater knowledge
or understanding of the subject studied;

**(B)** A systematic study directed at applying new knowledge to meet a
recognized need; or

**(C)** A systematic application of knowledge toward the production of
useful materials, devices and systems or methods, including design,
development and improvement of prototypes and new processes to meet
specific requirements.

#### 2.27 Research Project Grant 

The award by the Department to a grantee to assist in meeting the costs
of conducting an identified project, which is intended and designed to
establish, discover, elucidate or confirm information or the underlying
mechanisms relating to a research topic area identified in the annual
solicitation of applications.

#### 2.28 SBIR Participants 

Business concerns that have received SBIR awards or that have submitted
SBIR applications/applications.

#### 2.29 SBIR Technical Data 

All data generated during the performance of an SBIR award.

#### 2.30 SBIR Technical Data Rights

The rights a small business concern obtains in data generated during the
performance of any SBIR award that an awardee delivers to the Government
during or upon completion of a Federally-funded project and to which the
government receives a license.

#### 2.31 Small Business Concern (SBC)

SBC means a concern that, on the date of award for Phase I funding
agreements:

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.

#### 2.32 Small and Mid-Size Farms

Small Farms are defined as farms or ranches with less than \$250,000 in
annual agricultural sales. Mid-Size Farms are defined as farms or
ranches with less than \$500,000 in annual agricultural sales.

#### 2.33 Socially and Economically Disadvantaged Small Business Concern

A socially and economically disadvantaged small business concern is one:

**(A)** Which is at least 51 percent owned by (i) an Indian tribe or a
native Hawaiian organization or (ii) one or more socially and
economically disadvantaged individuals and

**(B)** Whose management and daily business operations are controlled by
one or more socially and economically disadvantaged individuals.

For purposes of this solicitation, a socially and economically
disadvantaged individual is defined as a member of any of the following
groups: Black Americans, Hispanic Americans, Native Americans,
Asian-Pacific Americans, Subcontinent Asian Americans, other groups
designated from time to time by the Small Business Administration (SBA)
to be socially disadvantaged or any other individual found to be
socially and economically disadvantaged by the SBA pursuant to Section
8(a) of the Small Business Act, 15 U.S.C. 637(a).

Note: The certification of socially and economically disadvantaged small
business is for statistical purposes only.

#### 2.34 Subcontract

Any agreement, other than one involving an employer-employee
relationship, entered into by an awardee of a funding agreement calling
for supplies or services for the performance of the original funding
agreement.

#### 

#### 2.35 United States

United States means the 50 states, the territories and possessions of
the Federal Government; the Commonwealth of Puerto Rico; the District of
Columbia; the Republic of the Marshall Islands; the Federated States of
Micronesia; and the Republic of Palau.

#### 2.36 Women-owned Small Business Concern

A women-owned small business concern is one:

**(A)** Which is at least 51 percent owned by one or more women and

**(B)** Whose management and daily business operations are controlled by
one or more women.

Note: Certification of women-owned small business is for statistical
purposes only.

###   {#section-5 .unnumbered}

### 3.0 APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS

#### 3.1 Application Requirements

Applications must address only scientific research activities. **A small
business must not propose technical assistance, demonstration projects,
classified research, or patent applications**. Many of the research
projects supported by the SBIR program lead to the development of new
products based upon the research results obtained during the project.
However, projects that seek funding solely for product development where
no research is involved i.e. the funds are needed to permit the
development of a product based on previously completed research, will
not be accepted. Research may be carried out through the construction
and evaluation of a laboratory prototype, where necessary.

Literature surveys should be completed prior to the Phase I submission
of the application and should not be proposed as part of the R&D effort.
Applications that deal principally with developing proven concepts for
commercial markets or scaling up previously developed prototypes for
commercial production should not be submitted. Such efforts are
considered the responsibility of the private sector and therefore are
not supported by USDA. An application must be limited to only one
research problem.

Applicants may respond to any of the topic areas listed under section
8.0. The same application, however, may not be submitted under more than
one topic area. The USDA SBIR program allows organizations to submit
separate applications under different topic areas or different
applications under the same topic area under this solicitation. Where
similar research is discussed under more than one topic area, the
applicant should choose the topic area whose description is most
relevant to the applicant's research concept. Duplicate applications
will be returned to the applicant without review.

The purpose of a research application is to provide a written statement
that contains sufficient information to persuade members of the research
community who review the application and then advise the USDA SBIR
professional staff that the proposed research is a sound approach to an
important scientific question and is worthy of support under the stated
USDA evaluation criteria, see section 4.0. The application should be
self-contained and written with the care and thoroughness accorded
papers for publication. Each application should be reviewed carefully by
the applicant prior to submission and by others knowledgeable on the
subject to ensure inclusion of data essential for comprehensive
evaluation.

#### 3.2 USDA SBIR Application Submission Overview

**For all FY 2008 applications, the USDA SBIR program will require
electronic application submission through Grants.gov
([www.grants.gov](http://www.grants.gov/)). Submission through
Grants.gov requires the use of forms located at the Grants.gov website.
Applications not submitted electronically and/or applications submitted
using incorrect or old forms are not eligible to be considered for a
Phase I SBIR award and will be returned without review.**

**Please note the USDA CSREES has developed specific tools to assist
applicants in completing the RFA. Each applicant should use the CSREES
document titled, "A Guide for Preparation and Submission of CSREES
Applications via Grants.gov" also known as the "CSREES Application
Guide," that is part of this RFA package located at
[Grants.gov](http://www.csrees.usda.gov/funding/grant_forms/electronic_app_guide.pdf).
This document provides guidance for completing the required forms at
Grants.gov.**

**Secondly, section 3.0 of this RFA provides additional information that
is specific to the USDA SBIR program. Applicants are advised to refer to
the RFA to determine if specific information is required during the
submission of the forms on Grants.gov. If directed by this RFA to
provide information that is different from the CSREES Application Guide,
the information in the RFA supersedes in all cases.**

To access the electronic application via Grants.gov, go to
[www.grants.gov](http://www.grants.gov/), under the "Apply for Grants"
heading on the left side of page and click on "Download Grant
Application Packages." Enter the CFDA number, i.e. 10.212, in the
appropriate box to search by Catalog of Federal Domestic Assistance
(CFDA) number. **From the search results, select the item with CFDA
number 10.212, Small Business Innovation Research.** Applicants can also
access the appropriate page on [Grants.gov](http://www.grants.gov/) by
visiting the USDA SBIR funding opportunity page at
<http://www.csrees.usda.gov/fo/sbir>. Clicking on the [Funding
Opportunity Number]{.underline} listed near the bottom of the page will
link the applicant directly to the information and forms necessary to
submit through [Grants.gov](http://www.grants.gov/).

Applicants must download the "PureEdge Viewer" software, which is a
small, free program which will allow you to access, complete and submit
applications electronically and securely on Grants.gov. For further
information see <http://www.grants.gov/DownloadViewer>.

#### 3.2.1 Resources

**Online**

There are considerable online resources to help potential applicants
with the new forms and submission requirements. The "Get Started" tab on
Grants.gov
([www.grants.gov/GetStarted](http://www.grants.gov/GetStarted)) provides
information on registering your company with Grants.gov and the steps
necessary to apply for a grant. A quick reference guide listing these
steps is available as a 4-page PDF document at the following website:
<http://www.grants.gov/section910/Grants.govRegistrationBrochure.pdf>.

In addition, CSREES has developed documentation to help navigate these
new processes. The central point for all information related to the
transition to electronic submission for the USDA SBIR program is
[www.csrees.usda.gov/funding/electronic](http://www.csrees.usda.gov/funding/electronic).
This site is updated frequently and it should be checked often for
program-specific help concerning electronic submission of USDA SBIR
grants. As stated above, one of the principal resources available is the
CSREES Application Guide which provides guidance for completing the
forms required by Grants.gov and CSREES. Used in conjunction with the
program solicitation, this guide will assist applicants with most
questions related to the fields located within each form.

**Personalized**

Questions about the registration process through Grants.gov, the
PureEdge Viewer software, PDF files, completing and submitting
electronically, or technical problems related to the Grants.gov website
should be directed to Grants.gov staff. They can be reached by phone at
**1-800-518-GRANTS** or via email at <support@grants.gov>.

Answers to [field specific questions]{.underline} about the SF-424 (R&R)
forms package should be found in either the program solicitation or the
CSREES Application guide.

If you are unable to find the answer that you need, please send an email
to <electronic@csrees.usda.gov> with your question. Make sure to
identify the form name, the field number related to your question and
state that you will be applying to the USDA SBIR program.

Any [program-specific questions]{.underline} concerning the USDA SBIR
program, such as the appropriateness of your proposed research or work
plan, should be directed to the NPL responsible for the topic area where
you wish to submit your application, see section 8.0. For general
questions you can also contact the USDA SBIR office at
<sbir@csrees.usda.gov> or 202-401-4002.

#### 3.2.2 Registration Procedures for Companies and Individuals

The registration procedure for companies or individuals intending to
submit a grant application through Grants.gov requires several steps and
must be finished prior to submitting an application. **[This is a
one-time registration process. It can take as much as one month to
complete so it is critical that companies begin this process as soon as
possible.]{.underline}** Listed below are the steps necessary to submit
an application through Grants.gov. More information about these steps is
available at [www.grants.gov/Register](http://www.grants.gov/Register).
A quick reference guide listing these steps is available as a 4-page PDF
document at the following website:

<http://www.grants.gov/section910/Grants.govRegistrationBrochure.pdf>.

**STEP 1 -- Register Your Organization**

**Obtain your organization's Data Universal Number System (DUNS)
number**

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

**Register your organization with Central Contractor Registry (CCR)**

The CCR is the central government repository for organizations working
with the Federal government. If your organization is not already
registered, identify the primary contact who should register your
organization. When your organization registers with CCR, it will be
required to designate an E-Business Point of Contact (E-Business POC).
The E-Business POC authorizes individuals to submit grant applications
on behalf of the organization and creates a special password called a
Marketing Partner ID Number (M-PIN) to verify individuals authorized to
submit grant applications for the organization. Visit the CCR website at
[http://www.ccr.gov](http://www.ccr.gov/) to begin this process. It may
take a couple of days for you to collect the information needed for your
organization's registration. The CCR Assistance Center can be reached at
888-227-2423.

**STEP 2 -- Register an AOR for your Company**

**Obtain your username and password**

In order to safeguard the security of your electronic information, and
to submit a Federal grant application via Grants.gov, you must first
obtain a username and password from the Grants.gov Credential Provider.
Register with Grants.gov's Credential Provider at
<http://www.grants.gov/Register1>. [You will need to enter your
organization's DUNS number to access the registration form]{.underline}.
Once you complete the registration form you will be given your username
and you will create your own password.

**Register with Grants.gov**

After obtaining your username and password, allow 30 minutes for your
data to transfer from the Credential Provider. Register with Grants.gov
to set up a short AOR profile. Visit <http://www.grants.gov/Register2>
to register your username and password and set up your profile. [You
will only be authorized for the DUNS number that you register in your
Grants.gov profile]{.underline}.

**STEP 3 -- Get Yourself Authorized as an AOR**

**Obtain your E-Business POC authorization**

After your AOR profile is completed, your organization's E-Business POC
will receive an email regarding your requested AOR registration with
links and instructions to authorize you as an AOR. Instruct your
E-Business POC to login to Grants.gov at <http://www.grants.gov/ForEbiz>
and enter your organization's DUNS number and M-PIN. The E-Business POC
will be authorized as an AOR and will be the individual verified to
submit grant applications. You can check your AOR status by logging in
to Grants.gov at <http://www.grants.gov/ForApplicants>.

#### 3.2.3 Special Considerations

**Attachment Format -- (PDF Format is Required)**

USDA SBIR electronic application submissions consist of forms (viewed,
completed, and submitted through the Grants.gov PureEdge Viewer) and
attachments. **[THE USDA SBIR PROGRAM WILL ONLY ACCEPT ATTACHMENTS IN
PDF.]{.underline}**

If you do not own PDF-generating software, Grants.gov provides online
tools to assist applicants. On the Grants.gov Customer Support webpage
(<http://grants.gov/CustomerSupport>), users will find a link to
"Convert Documents to PDF"
(<http://grants.gov/assets/PDFConversion.pdf>). PDF documents submitted
as a part of the application must also adhere to the following
guidelines:

-   **margins not less than 1"; 2.5 cm all sides**

-   **type at least 12 point font size regardless of whether it is
    single or double spaced.**

-   **Font type should be Times New Roman, Geneva, Helvetica, Arial or
    equivalent.**

[Applications that do not follow the guidelines for attachments stated
above are not eligible to be considered for a Phase I SBIR award and
will be returned without review.]{.underline}

**Page Limitations**

Applications submitted electronically via Grants.gov consist of forms
and PDF attachments. Consequently, the page limitations for application
sections found in previous USDA SBIR solicitations no longer apply.
**Page limitations for attachments need to be followed, see section 3.3.
[Applications that do not follow the page limits outlined in section 3.3
are not eligible to be considered for a Phase I SBIR award and will be
returned without review.]{.underline}**

**Changes, Additions or Corrections**

**Modifications to the application will not be accepted after the
closing date of this RFA.** Under some circumstances, changes,
additions, or corrections may be necessary to an application submitted
to the USDA SBIR program via Grants.gov before the specified RFA closing
date. Modifications to applications will require a resubmission of the
application package and the applicant must notify the NPL, see section
8.0, of the intent to re-submit. **Submitting changes to Grants.gov
without contacting the NPL could significantly delay your application
submission and may result in the application being returned without
review.**

#### 

#### 3.3 Application Guidelines

Those who wish to submit an application to the USDA SBIR program should
submit the following components and associated attachments via
Grants.gov (see Table 1).

**Table 1: Components of a CSREES SBIR** Application

  --------------------------- -------------- -------------- ------------- ------------------
  **Document**                **Required**   **Optional**   **Do Not      **Instructions**
                                                            Use**         

  R&R SF 424 Cover Sheet                                                 See Application
                                                                          Guide

  R&R Other Project                                                      See Application
  Information                                                             Guide

  R&R Senior/Key Person                                                  See Application
  (Expanded)                                                              Guide

  R&R Personal Data                                                      See Application
                                                                          Guide

  R&R Budget                                                             See Application
                                                                          Guide

  R&R Subaward Budget                                                    See Application
  Attachment                                                              Guide

  Supplemental Information                                               See Application
                                                                          Guide

  SBIR/Small Business                                                    See RFA
  Technology Transfer Program                                             
  (STTR) Information                                                      

  Commercialization Plan      []{.mark}                                  See RFA
  (Phase II only)                                                         

  Documentation of Prior SBIR                                            See RFA
  Phase II Awards                                                         

  NRI Proposal Type Form                                                 See Application
                                                                          Guide

  Application Modification                                               See Application
  Form                                                                    Guide
  --------------------------- -------------- -------------- ------------- ------------------

If there is a discrepancy between the RFA and the CSREES Application
Guide, the information contained in this program solicitation is
overriding. Not all fields are referenced in the RFA, only those where
information beyond that provided by the CSREES Application Guide is
necessary.

Field specific instructions listed below provide additional information
for the appropriate form. Page limitations indicated in bold are
appropriate for a given section/attachment.

It is not necessary to provide a lengthy discourse on commercial
applications in the Phase I application except to discuss them briefly
under subsection 3.3.2 (item 5 of Field 7), as appropriate, as well as
under subsection 3.3.2 (item 8 of Field 7). The Phase I application must
be principally directed at feasibility-related research or R&D on the
specific topic chosen.

The following instructions apply for Phase I applications, unless
otherwise noted.

#### 3.3.1 SF-424 R&R Cover Sheet

**Field 2. Applicant Identifier** -- This field is provided for the
Applicant's use if they have an internal tracking system they would like
to use in tracking applications they have submitted. This field is not
required.

**Field 3. Date received by State** and **State Application Identifier**
-- This is not applicable for USDA SBIR applications and these fields do
not need to be completed.

**Field 5. Applicant Information** -- Provide all required information
per the CSREES Application Guide. **Please note: the USDA SBIR program's
official correspondence will be with either the PD or AOR.**

**Field 13. Proposed Project Start Date** **and** **End Date** -- The
proposed duration of Phase I projects should normally not exceed 8
months, except in special, justified circumstances. 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
application at the time of its submission to USDA in order for it to be
considered. [In most circumstances, the following dates should be used
for these fields:]{.underline}

  ----------------------- ----------------------- -----------------------
                          **Start**               **End**

  **Phase I**             5/1/2008                12/31/2008
  ----------------------- ----------------------- -----------------------

**Field 17. Is this Application Subject to Review by State Executive
Order 12372 Process** -- Check "No." The USDA SBIR program is not
covered by State Executive Order 12372.

**Field 18. Complete Certification** -- Please refer to the CSREES
Application guide for information on the Certifications that are being
agreed to by checking this box. Included in the Certifications is the
Statement as to Delinquency on Federal Debts. [Statement as to
Delinquency on Federal Debts by Applicants for Federal
Assistance]{.underline} - Pursuant to OMB Circular A-129, (implemented
by USDA in 7 CFR Part 3), "Except where required by law or approved by
the head of the agency, no award of Federal funds shall be made to an
applicant who is delinquent on a Federal debt until the delinquent
account is made current or satisfactory arrangements are made between
affected agencies and the debtor." The certification of non-delinquency
applies only to the organization requesting financial assistance and not
to the individual project director. By checking the Complete
Certification box, the applicant is providing the statement of
non-delinquency on any Federal debt. For the purposes of this statement,
the following definitions of delinquency apply:

**(1)** Direct loans - a debt more than 31 days past due on a scheduled
payment.

**(2)** Grants - recipients of a "Notice of Grants Cost Disallowance"
who have not repaid the disallowed amount or who have not resolved the
disallowance.

**(3)** Guaranteed and insured loans - recipients of a loan guaranteed
by the Federal Government that the Federal Government has repurchased
from a lender because the borrower breached the loan agreement and is in
default.

Examples of debts include delinquent taxes, audit disallowances,
guaranteed and direct student loans, housing loans, farm loans, business
loans, Department of Education institutional loans, benefit
overpayments, and other miscellaneous administrative debts.

**NOTE: An applicant that is delinquent on Federal debts must attach in
PDF format in Field 11 Other Attachments, explanatory information
detailing all relevant particulars concerning the Federal debt.**

**Field 20. Pre-application** -- This is not applicable to the USDA SBIR
program. No attachments should be added.

#### 3.3.2 R&R Other Project Information 

**Field 6. Project Summary/Abstract - (PDF Format is Required)**

**1 page**

The technical abstract should be approximately 350 words, include a
brief description of the problem or opportunity, project objectives, and
a description of the effort. Provide another paragraph discussing the
anticipated results and potential commercial applications of the
proposed research. **The project summary/abstract of successful
applications may be published by USDA and, therefore, should not contain
proprietary information.**

**Field 7. Project Narrative - (PDF Format is Required)**

**Phase I: 16 pages**

(1) **Response to Previous Review** -- This is only required if you are
    submitting an application in which the project described was
    previously submitted to the SBIR program, but not funded. Please
    provide a clear statement acknowledging comments to the previous
    review, indicating revisions, rebuttals, etc. This response is a
    critical part of the evaluation criteria as noted in subsection
    4.3(F). Furthermore, the revised application should clearly indicate
    the changes that have been made in the project. [Make sure to
    include the application number of the previous submission at the top
    of this section.]{.underline}

(2) **Number range CHAPTERResponsiveness to USDA SBIR Program
    Prioritie**s -- Please indicate if the application has a connection
    to agriculturally-related manufacturing technology or alternative
    and renewable energy, see section 8.0. Provide a brief explanation
    of how the application is related to the area indicated.

(3) **Prior USDA Support** -- USDA is interested in documenting examples
    of SBIR projects that are developing new technologies based on
    earlier USDA-supported research and development projects awarded to
    the proposing small business, university or government scientist
    collaborators by other USDA research and development programs, such
    as the National Research Initiative (NRI). If any such support
    exists, it should be documented in this section by listing the PD,
    application title, organization that received the award and the USDA
    program that awarded the project.

(4) **Identification and Significance of the Problem or Opportunity** --
    Clearly state the specific technical problem or opportunity
    addressed and its importance.

(5) **Background and Rationale** -- Indicate the overall background and
    technical approach to the problem or opportunity and the part that
    the proposed research plays in providing needed results. As a part
    of this section, it is critical that applications adequately cite
    relevant scientific literature. **Moreover, all citations provided
    must be properly referenced in the Bibliography & References Cited
    attachment, see 3.3.2** -- **Field 8 below.**

(6) **Relationship with Research or Research and Development**

**Phase I** -- Discuss the significance of the Phase I effort in
providing a foundation for the follow-on Phase II R&D effort. State the
anticipated results of the approach if the project is successful. This
should address: (a) the technical, economic, social and other benefits
to the Nation and to users of the results, such as the commercial
sector, the Federal Government or other researchers; (b) the estimated
total cost of the approach relative to benefits; and (c) any specific
policy issues or decisions which might be affected by the results.

(7) **Technical Objectives** -- State the specific objectives of the
    research or research and development effort. Include the technical
    questions needed to establish the technical feasibility of the
    proposed approach.

(8) **Work Plan** -- The work plan must provide an explicit, detailed
    description of the research or research and development approach.
    The plan should list the tasks to be performed, **provide details of
    the methodology that would be used to research each task**,
    including statistical analysis, if applicable, and indicate how and
    where the work will be carried out. The effort should attempt to
    determine the technical feasibility of the proposed concept. The
    work plan should be linked with the technical objectives of the
    research and the questions the effort is designed to answer. **This
    section should constitute a substantial portion of the project
    narrative**.

(9) **Related Research or Research and Development** -- Describe
    significant research or R&D activities that are directly related to
    the proposed effort, including any conducted by the project director
    or by the proposing small business concern, how the proposed effort
    expands on the related work and any planned coordination with
    outside sources. **The applicant must persuade reviewers that he or
    she is aware of related research in the selected subject**. It is
    critical that the applicant make a convincing case that the proposed
    research builds upon previous research and, if successful, will lead
    to the development of new technology or a substantial improvement of
    existing technology.

(10) **Potential Post Application** -- Briefly describe the
     commercialization potential of the proposed research in Phase I. In
     addition, indicate whether there appears to be a potential use of
     the proposed research by the Federal Government. Include a brief
     description of the proposing company, e.g., date founded, number of
     employees, and its field of interest. What are the major
     competitive products in this field, and what advantages will the
     proposed research have over existing technology in application,
     performance, technique, efficiency or cost?

(11) **Satisfying the Public Interest** -- Specify how the proposed
     research will satisfy one or more of the following USDA strategic
     goals: (more information can be found at

> [www.usda.gov/ocfo/usdasp/usdasp.htm](http://www.usda.gov/ocfo/usdasp/usdasp.htm))

a.  Enhance International Competitiveness of American Agriculture;

b.  Enhance the Competitiveness and Sustainability of Rural and Farm
    Economics;

c.  Support Increased Economic Opportunities and Improved Quality of
    Life in Rural America;

d.  Enhance Protection and Safety of the Nation's Agriculture and Food
    Supply;

e.  Improve the Nation's Nutrition and Health; and

f.  Protect and Enhance the Nation's Natural Resource Base and
    Environment.

**Field 8 Bibliography & Cited References** **- (PDF Format is
Required)**

Provide a complete list of all references cited in the application.
**For each reference, provide the complete name for each author, the
year of the publication, full title of the article, name of the journal
or book published, volume, and the page numbers.** The references should
be listed in alphabetical order using the last name of the first author.

**Field 9 Facilities & Other Resources - (PDF Format is Required)**

Describe the types, location, and availability of instrumentation and
physical facilities necessary to carry out the work proposed. **If
university facilities, private facilities, or government laboratories
are being used, there must be a letter in the application from the
authorized organizational representative of the university, private
facility, or government laboratory describing the arrangement and
testifying that the facilities will be subject to the exclusive use and
control of the applicant**. This letter should be included as a part of
Other Attachments, see Field 11 below.

**Field 10 Equipment Documentation - (PDF Format is Required)**

Describe the types, location, and availability of equipment necessary to
carry out the work proposed. Items of equipment to be purchased must be
fully justified under this section. When purchasing equipment or a
product under the SBIR funding agreement, the small business should
purchase only American-made items whenever possible. Requests to
purchase equipment should normally not exceed 10% of the budget.

**Field 11 Other Attachments - (PDF Format is Required)**

Number range CHAPTERAdditional documentation that may be required for
your application should be grouped in this section.

(1) **Outside Services** - Involvement of university, government or
    other outside personnel in the planning and research stages of the
    project as consultants or through subcontracting arrangements is
    permitted and may be particularly helpful to small business firms
    that have not previously received Federal research awards.
    Establishment of a Cooperative Research and Development Agreement
    (CRADA) with a USDA laboratory or other Federal laboratory may also
    be beneficial to proposing firms. If the application involves
    outside consultants, subcontracts or involvement with a CRADA
    partner, these arrangements should be described in detail. Include a
    brief resume and listing of relevant publications for each
    consultant and subcontractor. **Applications must include letters
    from proposed consultants, subcontractors or CRADA cooperators
    indicating their willingness to serve in order for such
    participation to be considered during the application review and
    evaluation process, see subsection 4.3(C) or 4.5(E), as
    appropriate**.

(2) **Letters of Support --** Number range CHAPTERGeneral letters of
    support from potential end-users of your technology or from
    individuals/organizations that want to express support for your
    application.

(3) **Use of Facilities or Equipment** **--** A letter from a university
    or government laboratory describing the arrangement if university
    facilities or government laboratories are being used, see Field 9
    above.

(4) **Duration Exceeds Normal Project Period --** The proposed duration
    of Phase I projects should normally not exceed 8 months, except in
    special, justified circumstances. Where a proposed research project
    requires more than 8 months to complete in Phase I, a longer project
    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 application
    at the time of its submission to USDA in order for it to be
    considered.

(5) **Applicant is a Subsidiary --** A potential grantee that is a
    subsidiary must show that the parent company is also a small
    business entity and the parent company must provide documentation
    supporting their small business status.

**(6) Statement as to Delinquency on Federal Debts by Applicants for
Federal Assistance -** An applicant that is delinquent on Federal debts
must attach in PDF format, explanatory information detailing all
relevant particulars concerning the Federal debt.

#### 3.3.3 R&R Senior Key Person - (PDF Format is Required)

(1) **Biographical Sketch (Vitae) -** Identify key personnel of the
    small business concern, project consultants and subcontractors and
    include information on their directly related education and
    experience or a current copy of their vitae. The vitae should be
    limited to two (2) pages each in length, excluding publications
    listings. The vitae should include a presentation of academic and
    research credentials, as applicable, e.g. earned degrees, teaching
    experience, employment history, professional activities, honors and
    awards and grants received. A chronological list of the most
    important and/or relevant publications in refereed journals during
    the past four (4) years, including those in press, must be included.
    Also, list only those non-refereed technical publications that have
    relevance to the proposed project. All authors should be listed in
    the same order as they appear on each paper cited, along with the
    title and complete reference as these usually appear in journals.

(2) **Current and Pending Support -** A current and pending support list
    should be included for all PD/PIs. Please note that the project
    being proposed should be identified as pending in the attached
    document. An application that duplicates or overlaps substantially
    with an application already reviewed and funded (or to be funded) by
    another organization or agency will not be funded.

If an identical application or one containing a significant amount of
essentially equivalent work as the one submitted in response to this
solicitation has been previously funded or is currently funded, pending
or about to be submitted to another Federal agency or to USDA in a
separate action, the applicant must provide the following information:

a.  Name and address of the agency(s) to which an application was
    submitted, or will be submitted, as well as from which an award is
    expected or has been received.

b.  Date of actual or anticipated application submission or date of
    award, as appropriate.

c.  Title of application or award, identifying number assigned by the
    agency involved and the date the application was submitted or the
    award was received.

d.  Applicable research topic area for each application submitted or
    award received.

e.  Name and title of PD for each application submitted or award
    received.

#### 3.3.4 R&R Personal Data

**Social Security Number -** This is not a required field on this form.
To protect the confidentiality of the PD, [we request that you do not
list the PD's Social Security number on this form or in any other
location in the application.]{.underline}

#### 3.3.5 R&R Budget - (PDF Format is Required)

A Research and Related Budget form must be completed for each year (or
partial year) for which work is proposed under this RFA. **Normally, a
Phase I project will require forms for one budget period.**

**Fields C1-C11. Equipment Description -** Performing organizations are
expected to have appropriate facilities, suitably furnished and
equipped. However, funding for items of equipment may be requested
provided that they are specifically identified with the dollar amount
and adequately justified, see Field K of the R&R Budget.

**Field D2. Foreign Travel Costs Funds Requested -** Requests for
foreign travel are discouraged but may be approved, e.g., applications
submitted to the Marketing and Trade topic area that are focused on
export issues, based on the justification provided in the application.
In the budget justification, provide the purpose, the destination,
method of travel, number of persons traveling, number of days and
estimated cost for each trip. If details of each trip are not known at
the time of application submission, provide the basis for determining
the amount requested.

**Field K. Budget Justification**

A budget justification with supporting detail for each budget category
as noted in items (1) through (5) of this subsection must be included.
**A budget justification is required for each entity for which a
Research and Related Budget Form is submitted.**

(1) **Salaries and Wages** - Indicate the number and kind of personnel
    for whom salary support is sought, including job tasks. For key
    personnel, also indicate the number of work months of involvement to
    be supported with USDA funds, see section labeled "CSREES Funded
    Work Months," and explain how the level of compensation was
    established, e.g., the hourly rate of pay the monthly rate of pay,
    or the yearly rate of pay.

(2) **Equipment** - Performing organizations are expected to have
    appropriate facilities, be suitably furnished and equipped. However,
    funding for items of equipment may be requested provided that they
    are specifically identified with the dollar amount and adequately
    justified; see Field K of the R&R Budget, **but such requests should
    normally not exceed 10% of the budget**. Equipment is defined as an
    article of nonexpendable, tangible personal property having a useful
    life of more than 1 year and an acquisition cost of \$5000 or more
    per unit. Awardees are usually allowed to retain title to equipment
    purchased with funding provided under a SBIR funding agreement.
    However, in some instances, USDA may direct the awardee to vest
    title to a third party. **Awardees should plan to lease expensive
    equipment**. The inclusion of equipment will be carefully reviewed
    with respect to need and appropriateness for the research proposed.

(3) **Materials and Supplies** - The types of expendable materials and
    supplies required should be indicated in general terms with
    estimated costs.

(4) **Travel** - The type and extent of travel and its relationship to
    the project should be specified. Funds may be requested for field
    work or for travel to professional meetings. Requests for foreign
    travel are discouraged but may be approved (e.g., applications
    submitted to the Marketing and Trade topic area that are focused on
    export issues) based on the justification provided in the
    application. In the budget justification, provide the purpose, the
    destination, method of travel, number of persons traveling, number
    of days, and estimated cost for each trip. If details of each trip
    are not known at the time of application submission, provide the
    basis for determining the amount requested.

(5) **All Other Direct Costs** - Other anticipated direct costs not
    included above should be itemized. Examples include, but are not
    limited to, subcontracts and consultants. See Field 11 for required
    documentation associated with subcontracts and consultants. A budget
    and budget justification stating subcontractual and consulting costs
    and the rationale for the amount of the costs is required.
    Consultants' rate of pay cannot exceed \$550/day for an 8 hour day.

(6) **Fee** - A reasonable fee, not to exceed 7% of total Federal funds
    awarded (.07527 of total Direct and Facilities and Administrative
    (F&A)/Indirect Costs) is permitted under this program solicitation
    but applicants are encouraged to minimize fee requests due to the
    small amount of funds available. **All fees are subject to
    negotiation with USDA**. If a fee is requested, the amount should be
    indicated in Field J "Fee" on the R&R Budget.

(7) **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 a negotiated rate is
    used, the percentage and base should be indicated in the space
    allotted in item H of the budget sheet. 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. CSREES 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. If indirect costs are not charged,
    the phrase "None requested" should be written in this space.

(8) **Cost Sharing** - Cost sharing is permitted for applications under
    this program solicitation; however, cost sharing is not required nor
    will it be an evaluation factor in considering the competitive merit
    of applications submitted.

#### 3.3.6 R&R Subaward Budget Attachment - (PDF Format is Required)

Applicants should reference the CSREES Application Guide to complete
this form.

#### 3.3.7 CSREES Supplemental Information 

**Field 2. Program to Which You Are Applying and Program Code** -- This
refers to the topic area, see section 8.0, to which you are submitting
your USDA SBIR application. For example:

Program Code Name

*Animal Manure Management*

Program Code

*8.11*

**If you have a question about which topic area is appropriate for your
application, please contact the NPL(s) in the area(s) in question. An
application can only be submitted to one topic area. It is extremely
important the Program Code Name and Program Code are spelled correctly
and match exactly one of the topic areas indicated in section 8.0 of the
program solicitation. Failure to complete these fields correctly could
significantly delay the acceptance of your application into the program
and the application may be returned.**

**Field 8. Conflict of Interest List** -- A conflict of interest
attachment is not necessary for USDA SBIR applications. No attachments
should be added.

#### 3.3.8 SBIR/Small Business Technology Transfer Program (STTR) Information

***\*Please note, guidance for completing this form will not be found in
the CSREES Application Guidance. Applicants should follow the
instructions detailed in this RFA.\****

**Program Type --** Select SBIR only. USDA does not offer a STTR
program.

**SBIR/STTR Type --** Select Phase I. The USDA SBIR program does not
offer the Fast-Track Option.

**Field 1. Did you certify that at the time of award your organization
will meet the eligibility criteria for a small business as defined in
the funding opportunity announcement? --** Enter yes or no.

**Field 2. Does this application include subcontracts with Federal
laboratories or any other Federal Government agencies?** Enter yes or
no. **If yes, insert the names of the Federal laboratories/agencies.**

**Field 3. Are you located in a HUBZone? --** Enter yes or no.

**Field 4. Will all research and development on the project be performed
in its entirety in the United States? --** Enter yes or no. **If no,
provide an explanation in an attached PDF file** (this is required
information).

**Field 5. Has the applicant and/or Project Director/Principal
Investigator submitted applications for essentially equivalent work
under other Federal program solicitations or received other Federal
awards for essentially equivalent work? --** Enter yes or no. **If yes,
insert the names of the other Federal agencies** (this is required
information).

**Field 6. Disclosure Permission Statement: If this application does not
result in an award, is the Government permitted to disclose the title of
your proposed project, and the name, address, telephone number and
e-mail address of the official signing for the applicant organization to
organizations that may be interested in contacting you for further
information, e.g., possible collaborations, investment? --** Enter yes
or no.

**Field 7. Commercialization --** See subsection 3.3.10.

**Field 8. Documentation of Prior SBIR Phase II Awards --** See
subsection 3.3(F).

**Fields 10-11. STTR-Specific Questions** **--** Do not respond to these
questions. They are not

applicable to the USDA SBIR program

#### 3.3.9 Non Domestic Performance Explanation - (PDF Format is Required)

Requests for foreign travel or work are discouraged, but may be
approved, e.g., applications submitted to the Marketing and Trade topic
area that are focused on export issues, based on the justification
provided in the application. In the budget justification, provide the
purpose, the destination, method of travel, number of persons traveling,
number of days, and estimated cost for each trip. If details of each
trip are not known at the time of application submission, provide the
basis for determining the amount requested.

#### 3.3.10 Commercialization Plan - DO NOT USE 

This form will not be part of the USDA SBIR Phase I package that is
downloaded from Grants.gov and is only used for USDA SBIR Phase II
submissions. The application guide will reference this form, and
applicants should ignore this requirement.

#### 3.3.11 Documentation of Prior SBIR Phase II Awards - (PDF Format is Required)

(1) A small business firm that submits an application for a funding
    agreement for Phase I of an SBIR Program and has received more than
    15 Phase II SBIR awards during the preceding 5 fiscal years must
    document the extent to which it was able to secure Phase III funding
    to develop concepts resulting from previous Phase II SBIR awards. In
    addition, the documentation must include the name of the awarding
    agency, date of award, funding agreement number, amount, topic or
    subtopic title, follow-on agreement amount, source and date of
    commitment and current commercialization status for each Phase II
    award.

(2) USDA shall collect and retain the information submitted under
    subparagraph 3.3.11 (1) at least until the General Accounting Office
    submits the report required under section 105 of the Small Business
    Research and Development Enhancement Act of 1992.

#### 3.3.12 NRI Proposed Type Form - DO NOT USE

This form will not be part of the USDA SBIR package that is downloaded
from Grants.gov. The application guide will reference this form and
applicants should ignore this requirement.

#### 3.3.13 Application Modification - DO NOT USE 

This form will not be part of the USDA SBIR package that is downloaded
from Grants.gov. The application guide will reference this form and
applicants should ignore this requirement.

#### 3.3.14 CHECKLIST 

Only electronic applications may be submitted to the USDA SBIR program
via Grants.gov in response to this RFA. All applications submitted under
the SBIR program must contain the applicable elements outlined in these
guidelines. The following checklist has been prepared to assist in
ensuring that the application is complete prior to submission:

-   **Have all attachments been submitted in the portable document
    format (PDF)?** SBIR program will only accept PDF attachments. See
    Part III of the CSREES Application Guide.

-   Do all submitted PDF documents have one-inch margins and are typed
    or word processed using no type smaller than 12 point regardless of
    line spacing? Are all PDF documents numbered sequentially on each
    page of the attachment? Are all page limitations for a given
    attachment followed? Submitted proposals that do not meet these
    requirements for PDF attachments will be returned without review.

-   Have all seven components of the SF 424 Research and Related (R&R)
    Application Package been completed? Did you use the "Check Package
    for Errors" feature of the PureEdge viewer (see section 1.8 of the
    CSREES Application Guide)?

```{=html}
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```
-   SF 424 R&R Cover Sheet

-   R&R Other Project Information

-   R&R Senior/Key Person Profile

-   R&R Personal Data

-   R&R Budget

-   Supplemental Information Form

-   SBIR/Small Business Technology Transfer Program (STTR) Information

� **[SF 424 R&R Cover Sheet]{.underline}**

-   Have all required fields been completed?

� **[R&R Other Project Information]{.underline}**

-   Have the fields describing project potential or actual environmental
    impact been properly completed?

```{=html}
<!-- -->
```
-   [Project Summary/Abstract]{.underline}

> Has the Project Summary PDF been attached to this form in Field 6?
>
> Are the names and affiliated organizations of all Project Directors
> listed at the top of the page in addition to the title of the project?
>
> Has a CSREES goal been identified in the Project Summary?
>
> Does the Project Summary include research, education, and/or extension
> objectives, as appropriate?
>
> Does this section adhere to the format and page limitations?

-   [Project Narrative]{.underline}

> Has the Project Narrative PDF been attached to this form in Field 7?
>
> Is the project fully described?
>
> Does this section adhere to the format and page limitations?

-   [Bibliography & References Cited]{.underline}

> Has the Bibliography & References Cited PDF been attached to this form
> in Field 8?
>
> Are all references cited and are all citations referenced?
>
> Do all citations contain a title, the names of all authors, and are
> they in accepted journal format?

-   [Facilities & Other Resources]{.underline}

> Has the Facilities & Other Resources PDF been attached to this form in
> Field 9?
>
> Has a description of your facilities with sufficient detail to
> indicate that you will be able to carry out this project, been
> provided?

-   [Equipment]{.underline}

> Has the Equipment PDF been attached to this form in Field 10?
>
> Is the description of your equipment sufficient to indicate that you
> will be able to carry out this project?

-   [Response to Previous Review]{.underline} (for resubmitted
    applications)

> Has the Response to Previous Review PDF been attached to this form in
> Field 11?
>
> Has the application been clearly and meaningfully revised and are the
> revisions briefly described?
>
> Are comments from the previous review addressed?

-   [Outside Services]{.underline}

> Has the Outside Services PDF been attached to this form in Field 11?

-   [Appendices to Project Description]{.underline}

> Has the Appendices to Project Description PDF been attached to this
> form in Field 11?
>
> Are the reprints/preprints limited to 2 (as described in the
> instructions)?

� **[R&R Senior/Key Person Profile]{.underline}**

-   [Biographical Sketch]{.underline}

> Has the biographical sketch (vitae) PDF for the PD, senior associate,
> and other professional personnel been attached?

-   [Current and Pending Support]{.underline}

> Has the current and pending support PDF for all PD(s) been attached?
>
> Have all current and pending projects been listed and summarized,
> **including this proposal**?

� **[R&R Personal Data]{.underline}**

-   Have all fields been completed?

� **[R&R Budget]{.underline}**

-   ::: Definition-Term
    Have all fields been completed for each PD?
    :::

```{=html}
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```
-   [Budget Justification]{.underline}

> Has the Budget Justification PDF been attached to this form in Field
> K?
>
> Are budget items individually justified?
>
> For multi-institutional applications, has a budget justification been
> included for each institution involved?

� **[Supplemental Information Form]{.underline}**

-   Does Field 2 indicate the Program Code Name and Program Code to
    which you are applying?

� **[Documentation of Prior SBIR Phase II Awards (where
applicable)]{.underline}**

-   Have you reviewed the guidance found in the RFA?

```{=html}
<!-- -->
```
-   Have all fields been completed?

###   {#section-7 .unnumbered}

### 4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

#### 4.1 Introduction

All Phase I applications will be evaluated on a competitive basis.
Applications will be initially screened to determine responsiveness to
the Request for Application (RFA). Applications passing this initial
screening will be evaluated by technical reviewers to select those with
the highest scientific and technical merit. Each application will be
judged on its own merits. **Applications received after the specified
closing date or not responding to research topic areas outlined in
section 8.0 or not following application guidelines of this program
solicitation are not eligible to be considered for a Phase I SBIR award
and will be returned to the proposing small business firm without
review**.

**External peer reviewers will be used during the technical evaluation
stage of this process**. Selections will be made from among recognized
specialists who are uniquely qualified by training and experience in
their respective fields to render expert advice on the merit of
applications received. It is anticipated that these experts will be
drawn from universities, Government and non-profit research
organizations. If possible, USDA intends that peer review groups shall
be balanced with minority and female representation and with an
equitable age distribution.

Final decisions will be made by USDA based upon the ratings assigned by
reviewers and consideration of other factors, **including the potential
commercial application**, possible duplication of other research, any
critical USDA requirements, program balance and budget limitations.
There is no commitment by USDA to fund any particular application, to
support any specific number of applications in a given research topic
area or to make a specific number of awards. USDA also may elect to fund
several or none of the proposed approaches to the same topic. Care will
be taken to avoid actual and potential conflicts of interest among
reviewers. Evaluations will be confidential to USDA staff members, peer
reviewers and the proposed project director, to the extent permitted by
law.

#### 4.2 Initial Screening Criteria

To avoid misunderstanding, applicants should be aware that applications
not satisfying all of the screening criteria will be returned to the
proposing entity without review. Returned applications may not be
resubmitted (with or without revision) under this solicitation. The
initial screening criteria are the following:

A.  The proposing firm must qualify as a small business concern as
    defined in subsection 2.11.

B.  The application must meet the Application Content and Format
    requirements as described in subsection 3.3.

C.  Applications must be limited to one research problem as described in
    subsection 3.1.

D.  The proposed budget must be within the dollar limit identified in
    subsection 1.2.

E.  **If proposed duration of Phase I project exceeds 8 months,
    justification must be provided as described in subsection 3.3.2.**

F.  Applications must cover scientific research activities only as
    described in subsection 3.1.

G.  The proposed Phase I research must fall within a solicited topic
    area. See section 8.0 for the listing of topic area descriptions.

H.  An application must contain adequate scientific/technical
    information clearly stating the research plan and objectives. USDA
    reserves the right not to submit for review any application that it
    finds to have insufficient scientific/technical information.

I.  A resubmitted application must address concerns of the previous
    review panel. USDA reserves the right not to submit for review any
    application found not to be responsive to the previous review.

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?

#### 4.3 Phase I Evaluation Criteria

USDA plans to select for award those applications offering the best
value to the Nation. The primary evaluation criteria used by reviewers
are listed below. Approximately equal consideration will be given to
each criterion, **except for item (A) which will receive twice the value
of any of the other items. The same holds for item (F) when
applicable:**

(**A) Scientific and Technical Feasibility:**

-   The application should contain a thorough background section with an
    up-to-date literature review.

-   The application should clearly state the objectives logically and
    indicate how they will lead toward proving the technical feasibility
    of the approach or concept.

-   The research plan should offer an original and innovative approach
    to the problem and sufficient detail to indicate how each research
    objective will be investigated.

-   The research plan should be completed in the requested grant period.

**(B) Importance of the Problem:**

-   The application should provide sufficient justification for the
    importance of the problem and clearly indicate the anticipated
    commercial potential of the proposed research.

-   The proposed project should be in the public interest and satisfy
    one or more of the strategic goals and objectives listed in
    subsection 3.3.2 (item 11 of Field 7).

(**C) Investigator and Resource Qualifications:**

-   The bibliographic information should be provided to document that
    the project director, other key staff and any consultants have the
    appropriate training and experience to carry out the proposed
    research plan.

-   If consultants, subcontractors or CRADA cooperators are involved in
    the project, letters from these individuals should be included in
    the application verifying their willingness to participate in the
    research study, their rates of pay and any other budgetary
    information.

-   Adequate research facilities that are available should be owned or
    controlled by the small business for the duration of the grant.

-   Instrumentation available should be adequate to complete the
    proposed research plan.

**(D) Budget:**

-   The budget should be appropriate for the proposed research plan.

-   Budget detail should include subcontract, consultant and CRADA data
    to indicate clearly how the funds would be utilized.

**(E) Duplication:**

-   Duplication of any ongoing or previous research by the small
    business firm or by other researchers will not be considered.

-   The application should clearly indicate how the proposed technology
    would differ significantly from existing technology.

-   If the small business firm or a consultant has received or applied
    for patent(s) pertaining to the proposed technology, the proposed
    research should constitute a legitimate feasibility study.

**(F) Resubmission:**

-   If the application is a resubmission, the applicant should provide a
    "Response to Previous Review." The responses to the previous year's
    panel summary should be appropriate (Refer to subsection 3.3.2 (item
    1 of Field 7).

Additional factors that will be considered in the review process include
whether an application involves a CRADA with a USDA laboratory or is a
resubmission. In the event that two or more applications are of
approximately equal merit, the existence of a CRADA with a USDA
laboratory will be an important consideration. If one application is a
resubmission, this will also be an important consideration.

#### 

#### 4.4 Phase I Review Process

USDA evaluates applications using a confidential peer review. Separate
review panels are held that correspond to each of the topic areas listed
in Section 8.0. Reviewers are drawn primarily from universities,
government and non-profit research organizations. For each topic area, a
leading research scientist is appointed as a topic manager. In
consultation with the SBIR program staff, this individual appoints a
review panel. The review panel meets in Washington, D.C. to evaluate all
applications. Applications are reviewed both by members of the review
panel and by ad hoc reviewers with specific expertise appropriate for
each application. The panel discusses each application carefully and
then ranks the applications. The panel rankings are used in determining
which applications are funded.

Considerable effort is made to ensure that the review process is
confidential. Reviewers are instructed to handle all applications in
complete confidence and each reviewer is provided written guidelines to
follow. All reviewers are obligated to certify that they will maintain
confidentiality at the time they prepare a review and submit it through
the Agency\'s electronic Peer Review System. 

Every effort is made to avoid even the appearance of a
conflict-of-interest (COI). The USDA has very detailed rules on COI that
are followed during the review process. If a panel member has a COI on
an application, he/she will not review the application and will be
excused from the panel meeting while the particular application is being
discussed. USDA is committed to ensuring the review process is fair and
is handled with confidentiality.

#### 

#### 4.5 Notice to Applicants

Technical reviewers will base their conclusions and recommendations on
information contained in the application. It cannot be assumed that
reviewers are acquainted with any experiments referred to within an
application, with key individuals or with the small business firm
itself.

After final decisions have been announced, a panel summary will be
assembled that briefly states the main strengths and weaknesses of the
application. In addition, the written reviews of the application will be
sent to the project director. The reviews will not include the scores
nor the identities of the reviewers. Due to funding limitations and
USDA's desire to support as many worthwhile projects as possible, it may
be necessary for USDA to reduce the amount of an award below the amount
requested by a small business or to fund only certain objectives
outlined in the application. Any significant changes will be discussed
with the proposing firm, which may then be asked to submit a revised
budget reflecting the reduced amount. In the event that this occurs,
specific instructions will be provided to the applicant.

###  

### 5.0 CONSIDERATIONS

#### 5.1 Awards

Depending upon the availability of funds USDA expects to make
approximately 90 Phase I awards not to exceed \$80,000 each to small
businesses in FY 2008. Awards are anticipated to be made on or after May
1, 2008. USDA will announce the names of those concerns receiving awards
and successful applicants will then normally have eight months after
awards are made to carry out their proposed Phase I effort.

**All Phase I awards will be issued as research grants** in accordance
with the guidelines contained in 31 U.S.C. 6301-6308, the authority
contained in 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 Number 99-591, 100 Stat.
3341.

A reasonable fee, not to exceed 7 percent of total Federal funds awarded
(.07527 of total direct and F&A/indirect costs) is permitted under this
program solicitation, but applicants are encouraged to minimize fee
requests due to the small amount of funds available. All fees are
subject to negotiation with USDA. If a fee is requested, the amount
should be indicated in Field J. Research and Related Budget.

#### 

#### 5.2 Reports

#### 5.2.1 Technical Reports

For Phase I applications, a brief interim progress report must be
submitted at approximately the mid-point in the project, including a 2
page commercialization plan based on guidance to be provided by the USDA
SBIR program or its contractor(s). In addition, a comprehensive final
technical report must be submitted within 30 days following expiration
of the Phase I grant. These reports should be submitted electronically
as an attachment (MS Word or PDF) to the following email address:
<sbir@csrees.usda.gov>. **The report should include a single-page
executive summary as the first page.** This summary should include the
purpose of the research, a brief description of the research carried
out, the research findings or results and, in a final paragraph,
potential applications (commercial or other) of the research. The
balance of the report should include a comparison of actual
accomplishments with the goals established for the grant; the reasons
for slippage if established goals were not met; estimates of technical
feasibility; and additional pertinent information, such as an
explanation of cost over-runs or unexpectedly high unit costs. Also,
identify all other recipients (public and private) of the research
results documented in the report.

Please note: **[The interim progress report should only include non
proprietary information]{.underline}**.  The final technical report is
held confidential for a period covering four years after the termination
of the project.**  As such, [proprietary information may be
included]{.underline} in the final report when necessary to provide the
USDA SBIR Staff adequate information to evaluate the outcome of the
project.**

#### 5.2.2 Financial Reports

For Phase I applications, a final **"Financial Status Report" (SF-269)**
is due within 90 days after the expiration date of the grant and should
be submitted to the Funds Management Branch, Office of Extramural
Programs at the address listed below, in accordance with instructions
contained in Section 3015.82 of the Uniform Federal Assistance
Regulations.

Funds Management Section

Office of Extramural Programs

Cooperative State Research, Education,

and Extension Service

U.S. Department of Agriculture

STOP 2298

1400 Independence Avenue, S.W.

Washington, D.C. 20250-2298

Telephone: (202) 401-4527

**Quarterly Reports of Federal Cash Transactions (SF-272)** are required
by Department of Health and Human Services' (DHHS)
([www.dpm.psc.gov](http://www.dpm.psc.gov/)) and are submitted online
through the DHHS-Payment Management System (PMS) website. If you become
delinquent in these reports, you will not be able to access your funds.

#### 5.2.3 Current Research Information System (CRIS) Reports

All awardees are required to submit the AD-416 and AD-417 CRIS report
forms before a project can be awarded. In addition, the AD-419 and
AD-421 report form has to be submitted at the conclusion of a Phase I
project as a termination report. Additional information about CRIS will
be provided to all awardees prior to the start of their award. The
online portal to all CRIS reports is located at
<http://cwf.uvm.edu/cris>.

Please note: CRIS reports are meant to provide information about USDA
SBIR grants to the general public through the online CRIS database. **As
such, [proprietary information should not be included in these
reports]{.underline}.**

#### 

#### 5.3 Payment Schedules

Payments will be made by electronic funds transfer through the DHHS-PMS.
Requests for payment should be in accordance with DHHS-PMS instructions.
All questions relating to payments should be submitted to:

Funds Management Section

Office of Extramural Programs

Cooperative State Research, Education, and Extension Service

U. S. Department of Agriculture

STOP 2298

1400 Independence Avenue, S. W.

Washington, D. C. 20250-2298

Telephone: (202) 401-4527

Facsimile: (202) 401-3481

Drawdown instructions will be sent to the awardee under separate cover.
Anticipated payments shall be made according to the following schedule:

(A) Aggregate payment requests of up to 50% of total award dollars will
    be honored during the first half of the project.

(B) Upon acceptance of the interim progress report, up to an additional
    40% of total dollars will become available for support of the
    project.

(C) The final 10% of total award dollars will be paid upon receipt and
    acceptance of the comprehensive final technical report required
    under section 5.2 above.

If the awardee is a sole proprietorship, funds awarded shall be
deposited in a separate bank account and CSREES, through the ADO
agreement officer, shall be informed of the name and location of the
bank. In addition, arrangements must be reached between the awardee and
the bank of deposit of the award funds in accordance with the following:
The account must be of a nature that permits the bank of deposit to
return unused funds remaining in that account to CSREES in the event of
the awardee's demise. However, CSREES shall not be named a joint owner
of such an account, but rather as beneficiary. These arrangements must
also be reported to CSREES through the ADO.

#### 5.4 Proprietary Information

Information contained in unsuccessful applications will remain the
property of the applicant. The Government may, however, retain copies of
all applications. Public release of information in any application
submitted will be subject to existing statutory and regulatory
requirements. If proprietary information is provided by an applicant in
an application, which constitutes a trade secret, proprietary commercial
or financial information, confidential personal information or data
affecting the national security, it will be treated in confidence, to
the extent permitted by law. This information must be clearly marked by
the applicant with the term "confidential proprietary information" and
the following legend must appear on each PDF attachment submitted as a
part of the application: "These data shall not be disclosed outside the
Government and shall not be duplicated, used or disclosed in whole or in
part for any purpose other than evaluation of this application. If a
funding agreement is awarded to this applicant as a result of or in
connection with the submission of these data, the Government shall have
the right to duplicate, use or disclose the data to the extent provided
in the funding agreement and pursuant to applicable law. This
restriction does not limit the Government's right to use information
contained in the data if it is obtained from another source without
restriction. The data subject to this restriction are contained on pages
\_\_ of this application."

Any other legend may be unacceptable to the Government and may
constitute grounds for removing the application from further
consideration without assuming any liability for inadvertent disclosure.
The Government will limit dissemination of such information to within
official channels.

USDA, by law, is required to make the final decision as to whether the
information is required to be kept in confidence. Information contained
in unsuccessful applications will remain the property of the applicant.
However, USDA will retain for three years one file copy of all
applications received; extra copies will be destroyed. Public release of
information for any application submitted will be subject to existing
statutory and regulatory requirements. The legislation reauthorizing the
SBIR Program strengthened the protection of awardee firms relative to
maintaining confidentiality of proprietary information for a period of
four years after the end of the grant period. However, any application
which is funded will be considered an integral part of the award and
normally will be made available to the public upon request through the
Freedom of Information Act, except for designated proprietary
information.

The inclusion of proprietary information is discouraged unless it is
necessary for the proper evaluation of the application. If proprietary
information is to be included, it should be limited, set apart from
other text on a separate page and keyed to the text by numbers. It
should be confined to a few critical technical items which, if
disclosed, could jeopardize the obtaining of foreign or domestic
patents. Trade secrets, salaries or other information which could
jeopardize commercial competitiveness should be similarly keyed and
presented on a separate page. Applications or reports which attempt to
restrict dissemination of large amounts of information may be found
unacceptable by USDA.

#### 5.5 Rights in Technical Data

Rights in technical data, including software developed under the terms
of any funding agreement resulting from an application submitted in
response to this solicitation, shall remain with the grantee. However,
the Government shall have the limited right to use such data for
Governmental purposes and shall not release such data outside the
Government without permission of the grantee for a period of four years
from completion of the project under which the data were generated.
Effective at the conclusion of the four-year period, the Government
shall retain a royalty-free license for Governmental use of any
technical data delivered under the agreement, whether patented or not.

#### 5.6 Copyrights

With prior written permission of the Authorized Departmental Officer,
the grantee normally may copyright and publish (consistent with
appropriate national security considerations, if any) material developed
with USDA support. USDA receives a royalty-free license for the Federal
Government and requires that each publication contain the following
acknowledgment and disclaimer statement:

"The project was supported by the Small Business Innovation Research
program of the U.S. Department of Agriculture, grant number #. Any
opinions, findings and conclusions or recommendations expressed in this
publication are those of the author(s) and do not necessarily reflect
the views of the U.S. Department of Agriculture."

The last sentence may be omitted from articles published in scientific
journals.

#### 5.7 Patents and Inventions

Allocation of rights to inventions shall be in accordance with 35 U.S.C.
202-206 and the Department of Commerce implementing regulations entitled
"Rights to Inventions Made by Nonprofit Organizations and Small Business
Firms under Government Grants, Contracts and Cooperative Agreements" at
37 CFR Part 401. These regulations provide that small businesses
normally may retain the principal worldwide patent rights to any
invention developed with USDA support. USDA receives a royalty-free
license for Federal Government use, reserves the right to require the
patentee to license others in certain circumstances and requires that
anyone exclusively licensed to sell the invention in the United States
must normally manufacture it domestically. To the extent authorized by
35 U.S.C. 205, USDA will not make public any information disclosing a
USDA-supported invention for a four-year period to allow the grantee a
reasonable time to file an initial patent application. Additional
information may be obtained by contacting:

Director, Planning and Accountability

Cooperative State Research, Education, and Extension Service, USDA

STOP 2213

1400 Independence Avenue, S.W.

Washington, D.C. 20250-2213

Telephone: (202) 720-5623

Facsimile: (202) 720-7714

E-mail: <rmacdonald@csrees.usda.gov>

SBIR awardees must report inventions to the awarding agency within two
months of the inventor's report to the awardee. The reporting of
inventions must be made through submission to Interagency Edison
([www.iedison.gov](http://www.iedison.gov/)). Specific instructions for
invention reporting are contained in the agency's terms and conditions,
a copy of which can be provided upon request.

#### 5.8 Research Involving Special Considerations

A number of situations frequently encountered in the conduct of
scientific research require the submission of special information for a
particular project. Since some types of research targeted for SBIR
support have high probability of involving human subjects at risk or
vertebrate animals, special instructions follow:

If the proposed research will involve human subjects at risk or
vertebrate animals, the application must so indicate by checking "Yes"
on the R&R "Other Project Information." Further, in the event that the
project is funded, the applicant may be required to have the research
plan reviewed and approved by the appropriate review board or committee.
It is suggested that applicants contact local universities, colleges or
nonprofit research organizations which have established such reviewing
mechanisms to have this service performed.

Guidelines to be applied and observed when conducting such research are
outlined below.

A.  **Human Subjects at Risk** - Regulations issued by the Department of
    Agriculture to be used in safeguarding the rights and welfare of
    human subjects used in research supported with USDA grant funds are
    contained in 45 CFR Part 46 and USDA regulations set forth in 7 CFR
    part 1c. All nonexempt research projects involving human subjects
    must be approved by an Institutional Review Board prior to
    commencing actual substantive work.

B.  **Animal Care** - The performing organization must comply with the
    Animal Welfare Act (7 U.S.C., 2131-2156); Public Law 89-544, 1996
    and the regulations issued by the Department of Agriculture in 9 CFR
    parts 1, 2, 3 and 4. In the case of domesticated farm animals housed
    under farm conditions, the grantee must adhere to the principles
    stated in the Guide for the Care and Use of Agricultural Animals in
    Agricultural Research and Teaching, Federation of Animal Sciences
    Societies, 1999. In the event a project involving the use of living
    vertebrate animals results in a grant award, funds will be released
    only after a qualified Institutional Animal Care and Use Committee
    has approved the project.

#### 5.9 Grantee Commitments

Upon issuance of a research grant by USDA, the awardee will be required
to make certain legal commitments through acceptance of the award
document and the terms and conditions attached thereto, as well as any
project-specific terms or conditions outlined. Most of these terms and
conditions are contained in USDA's Uniform Federal Assistance
Regulations, 7 CFR Part 3015, which will be incorporated into all Phase
I awards resulting from this program solicitation. These regulations
primarily consolidate internal policies and procedures relating to
USDA's assistance programs and implement various Federally issued
assistance policies, including applicable Federal cost principles and
uniform administrative requirements. Copies are available at:
[www.access.gpo.gov/nara/cfr/waisidx_04/7cfr3015_04.html](http://www.access.gpo.gov/nara/cfr/waisidx_04/7cfr3015_04.html).

#### 5.10 Additional Information

A.  This program solicitation is intended for informational purposes and
    reflects current planning. If there is any inconsistency between the
    information contained herein and the terms of any resulting SBIR
    funding agreement, the terms of the funding agreement are
    controlling.

B.  Before the award of an SBIR funding agreement, USDA requires the
    submission of certain organizational management, personnel and
    financial information to assure responsibility of the applicant,
    including certification that the proposing organization is in
    compliance with the Civil Rights Act of 1964. These forms will be
    provided to the small business concern by the Office of Extramural
    Programs, CSREES, prior to the forwarding of the funding agreement
    for acceptance. The information contained in both forms must
    normally be submitted on a one-time basis only. (If sufficient
    changes occur within the organization to warrant submission of new
    or additional information, additional forms should be requested by
    calling either (202) 401-5050 or (202) 401-4342.) It is anticipated
    that all Phase I awardees will be required to submit the above
    information. **Please note that CSREES will not issue an award until
    all requested organizational management and financial information
    has been received. Delaying or failing to submit this information
    could result in the proposal not being funded.**

C.  If an applicant or a grantee is contemplating any type of
    transaction involving the entity, i.e. merger, spin-off or sale, it
    is advised that the applicant or the grantee contact one of the SBIR
    NPLs, see subsection 1.5, for knowledge of how the transaction may
    affect a potential grant or the grant, as applicable.

D.  USDA is not responsible for any monies expended by the applicant
    prior to the award of any funding agreement.

E.  This program solicitation is not an offer by USDA and does not
    obligate USDA to make any specific number of awards. Also, awards
    under this program are contingent upon the availability of funds.

F.  Unsolicited applications will not be accepted under the SBIR
    program.

G.  The applicant must provide the total number of employees for the
    organization and its subsidiaries and/or parent company if
    applicable.

### 

### 6.0 SUBMISSION OF APPLICATIONS

#### 6.1 When to Submit

All Phase I Applications must be submitted via
[Grants.gov](http://www.grants.gov/) by **5:00 p.m. Eastern Time on
September 12, 2007.** Applications received after this deadline will not
be considered for funding.

For the convenience of all potential applicants, the following schedule
is provided for informational purposes:

###### Phase I 

Deadline date for applications................................September
12, 2007

Normal Period of research performance.....................\........May
1, 2008 through December 31, 2008

#### 

#### 6.2 What to Submit

USDA SBIR electronic application submissions consist of forms (viewed,
completed and submitted through the Grants.gov) and attachments. All of
the necessary forms and instructions will be found on the
[Grants.gov](http://www.grants.gov/) website and in section 3.0 of this
RFA. Applicants can access the appropriate page on
[Grants.gov](http://www.grants.gov/) by visiting the USDA SBIR funding
opportunity page at <http://www.csrees.usda.gov/fo/sbir>. Clicking on
the [Funding Opportunity Number]{.underline} listed near the bottom of
the page will link the applicant directly to the information and forms
necessary to submit through Grants.gov.

**All attachments submitted with the application must be in PDF.**

[Applications that do not follow the guidelines in section 3.0 of this
RFA are not eligible to be considered for a Phase I SBIR award and will
be returned without review.]{.underline}

**Please note: Applicants must have successfully completed the entire
registration process, see subsection 3.2 prior to being able to submit
an application through Grants.gov.**

#### 6.3 Where to Submit

All FY 2008 Applications submitted to USDA SBIR must be submitted
electronically through [**Grants.gov**](http://www.grants.gov/).

#### 

#### 6.4 Questions Pertaining to the USDA SBIR Program or to this Solicitation

Written or verbal questions of a general nature about the USDA SBIR
program, as well as general questions pertaining to this solicitation,
but not pertaining to requests for additional copies of the
solicitation, should be sent to <sbir@csrees.usda.gov> or can be
directed to one of the USDA SBIR NPLs, see section 8.0.

#### 

#### 6.5 Information on Application Status

It is anticipated that the evaluation of Phase I applications will
require approximately six months from September 12, 2007 and no
information on application status will be available until final
selections have been made. Both successful and unsuccessful applicants
will be notified of final award decisions within approximately 6 months.

### 7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

Listed below are some of the sources that can provide technology search
and document services which may be useful in preparing SBIR
applications. They can be contacted directly for service and cost
information.

National Agricultural Library

Service Desk

U.S. Department of Agriculture

10301 Baltimore Avenue

Beltsville, MD 20705-2351

\(301\) 504-5755

[www.nal.usda.gov](http://www.nal.usda.gov/)

National Technology Transfer Center

Wheeling Jesuit University

316 Washington Avenue

Wheeling, WV 26003

\(304\) 243-2455 or (800) 678-6882

[www.nttc.edu](http://www.nttc.edu/)

National Technical Information Service

5285 Port Royal Road

Springfield, VA 22161

\(800\) 553-6847

[www.ntis.gov](http://www.ntis.gov/)

Current Research Information Center (CRIS)

USDA/CSREES/ISTM\
1400 Independence Ave., S.W.\
Stop 2270\
Washington, D.C. 20250

[http://cris.csrees.usda.gov](http://cris.csrees.usda.gov/)

**Regional Technology Transfer Centers**

Far West

University of Southern California

3716 South Hope Street, Suite 200

Los Angeles, CA 90007-4344

\(213\) 743-2353

[www.usc.edu/dept/engineering/TTC](http://www.usc.edu/dept/engineering/TTC)

Mid-Continent Technology Transfer Center

Texas Engineering Extension Service

The Texas A&M University System

301 Tarrow

College Station,TX 77843-8000

\(979\) 845-8762

Fax (979) 845-3559

[www.teex.com](http://www.teex.com/)

Midwest

Great Lakes Industrial Technology Center

25000 Great Northern Corporate Center

Suite 260

Cleveland, OH 44070

\(216\) 734-0094

[www.glitec.org](http://www.glitec.org/)

Mid-Atlantic

TECC - the Technology Commercialization Center

144 Research Drive

Hampton, VA 23666

\(757\) 766-9200

Fax (757) 766-2402

[www.teccenter.org](http://www.teccenter.org/)

Northeast

Center for Technology Commercialization

1400 Computer Drive

Westborough, MA 01581-5043

\(508\) 870-0042

[www.ctc.org](http://www.ctc.org/)

Southeast

Georgia Institute of Technology

151 6th Street

216 O\'Keefe Building

Atlanta, GA 30332

\(404\) 894-6786

[www.edi.gatech.edu/nasa](http://www.edi.gatech.edu/nasa)

### 8.0 RESEARCH TOPIC DESCRIPTIONS AND INSTRUCTIONS

Applicants are encouraged to submit proposals that address the research
priorities stated for each topic area described in this RFA (see topic
areas 8.1 through 8.13 below). Applicants should pay attention to
specific instructions located within each of the topic area descriptions
when developing their proposal. Each topic area description provides
background information, FY 2008 research priorities and other key
information. Applicants should apply to the most appropriate topic area.
However, USDA reserves the right to shift applications between topic
areas when necessary for most effective review. Applicants that have
questions regarding topic areas should contact the listed NPL.

In addition to topic areas 8.1 through 8.13 described in this section,
USDA recognizes **Agriculturally-related Manufacturing Technology** and
**Alternative and Renewable Energy** as two cross-cutting priorities
with relevance to all topic areas described in this RFA. USDA encourages
applicants---as appropriate---to address these priorities within their
proposals for submission to one of the topic areas described later in
this section. Special consideration of applications that address one of
these priorities may be provided, so long as the proposal falls within
the scope of work solicited by one of the topic areas described in this
RFA.

**Agriculturally-related Manufacturing Technology**

On February 26, 2004 The President issued Executive Order 13329 (69 FR
9181) entitled "Encouraging Innovation in Manufacturing." In response to
this Executive Order, USDA encourages the submission of applications
that deal with some aspect of agriculturally-related manufacturing
technology (Section 2.17). Since manufacturing impacts all aspects of
agriculture and rural development, applications dealing with
manufacturing could be submitted to any of the topic areas. If an
application has a connection to manufacturing this should be indicated
in R&R Other Project Information (Field 7(2)) and a brief explanation of
how it is related to manufacturing should be provided.

**Alternative and Renewable Energy**

In an effort to find alternatives to fossil fuels, the USDA established
research on alternative and renewable energy as a high priority. Such
research includes development of new energy crops, improved methods for
producing biofuels, such as ethanol and biodiesel, producing hydrogen
and other fuel gases from agricultural waste and more efficient use of
energy in agricultural production and in rural communities. Energy
issues impact all aspects of agriculture and rural development and thus
applications dealing with alternative and renewable energy could be
submitted to many of the different topic areas. If an application has a
connection to alternative and renewable energy this should be indicated
in R&R Other Project Information (Field 7(2)) and a brief explanation of
how it is related to alternative and renewable energy should be
provided.

#### 8.1 Forests and Related Resources 

*Dr. Charles Cleland, National Program Leader for SBIR Forests and
Related Resources may be contacted at <ccleland@csrees.usda.gov> or
(202) 401-6852 regarding questions about the suitability of research
topics or to arrange a telephone consultation.*

**Background**

The Forests and Related Resources topic area aims to develop
environmentally sound techniques to increase productivity of forest
lands and to develop improved technologies to produce wood products and
value-added materials derived from woody resources. These technologies
will also enhance the protection of the Nation's forested lands and
forest resources and help to ensure the continued existence of healthy
and productive forest ecosystems.

To meet the identified needs in forestry and wood utilization, the
program's long-term goals (10 years) are to achieve increased
utilization of woody resources for value-added products from wood;
healthy and sustainable forest ecosystems with reduced impact from
wildfires; healthier forest ecosystems where the impact of pathogens and
insects can be managed in a more sustainable manner; sustainable
harvesting of woody resources with reduced ecological impact; and
improved growth and yield of major forest species that will lead to more
efficient use of forested lands.

**FY 2008 Research Priorities:**

1.  Growth and yield **--** Improving growing stock, tissue culture,
    genetic manipulation or vegetative reproduction of forest trees and
    other means of increasing the regenerative abilities of forests;
    developing systems to increase the survival of newly planted trees
    through mechanical, physical or chemical means that are
    environmentally safe; reducing the adverse impact of pathogens and
    insects by developing better methods to monitor infestations and
    improved control strategies for combating insects and pathogens that
    attack important woody species.

2.  Increasing the utility of forest-grown material **--** research to
    improve lumber yield or other means of increasing the volume and
    worth of wood from individual trees; utilizing a greater percentage
    of the tree through improved or new techniques of veneering or
    comminution, for the production of new or improved reconstituted
    products; developing better methods for manufacturing wood products
    and testing wood products for performance and durability; and
    development of improved methods for the production of paper.

3.  Reducing ecological damage by forest operations **--** research to
    reduce soil erosion, compaction or other alterations caused by
    harvesting and/or other forest operations, and that will provide for
    the economic recovery of resources from forests while raising
    potential productivity and reducing impacts to the ecological
    structure of the area of operation.

4.  Developing technology that facilitates the control of wildfires on
    forest lands **--** research that provides systems for detecting and
    managing wildfires; systems for reducing fuel loads in forests;
    tools and equipment for improving the efficacy and safety of fire
    fighters on the ground and in the air; and communication and
    navigation systems for improving the coordination of fire management
    activities.

5.  Developing biofuels and other specialty chemicals derived from woody
    biomass.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Applications that deal with the development of biofuels derived from
    non-woody agricultural crops should be submitted under topic area
    8.8 Biofuels and Biobased Products

#### 8.2 Plant Production and Protection -- Biology

*Dr. William Goldner, National Program Leader for SBIR Plant Production
and Protection may be contacted at <wgoldner@csrees.usda.gov> or (202)
401-1719 regarding questions about the suitability of research topics or
to arrange a telephone consultation.*

**Background**

This program aims to enhance crop production through biological
approaches to reduce the impact of harmful agents, develop new methods
for plant improvement and develop new food and specialty-use crop plants
as well as new genotypes of existing crop plants with characteristics
that allow their use in new commercial applications. The long-term goals
(10 years) of this program are: (1) New crops that will foster new
industry, grower, community, consumer, and environmental benefits; (2)
Advancements in crop genetics for improvements in yield, quality,
abiotic and biotic stress tolerance/resistance; and (3) Improvements in
biological crop protection resulting in reduced production costs and
increased environmental benefits.

**FY 2008 Research Priorities:**

1.  Improved plant disease diagnostics, e.g. accurate, rapid and
    cost-effective identification of causal agents in specialty crop
    plants at the earliest possible time relative to manifestation of
    disease;

2.  Insect, nematode, disease resistant and abiotic stress tolerant
    specialty crops;

3.  Biological approaches to improving commercial floricultural
    production, e.g. technology to improve the competitiveness of U.S.
    production of flowering potted plants, bedding plants, seasonal
    crops, annuals, perennials and cut flowers; and

4.  Biological approaches to improving commercial ornamental nursery
    production, e.g. technology to improve the competitiveness of U.S.
    woody plant production for flowering shrubs, shade trees, etc.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

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-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Additional consideration will be given to applications addressing
    the development of products, processes and services for U.S.
    production of specialty crops, i.e. fruits, nuts, vegetables,
    nursery and greenhouse crops.

-   Phase I projects involving the development of transgenic crops would
    benefit by the inclusion of a brief description of the proposed path
    to commercialization, including an understanding of what will be
    needed to clear regulatory consideration.

-   Applications that deal with non-biological engineering technologies
    should be sent to topic area 8.13 Plant Production and Protection --
    Engineering

#### 8.3 Animal Production and Protection 

*Dr. Peter Burfening, National Program Leader for SBIR Animal Production
and Protection may be contacted at <pburfening@csrees.usda.gov> or (202)
401-5823 regarding questions about the suitability of research topics or
to arrange a telephone consultation.*

**Background**

The Animal Production and Protection topic area aims to develop
technologies to generate new or improved high-quality products/processes
and to promote the efficiency of agricultural production systems. These
technologies will also enhance protection and safety of the Nation's
agriculture and food supply. Program success will result in marketable
technologies that reduce the number and severity of animal disease
outbreaks and a decreased dependence on the widespread use of
antibiotics. These program priorities will also contribute to the
protection and enhancement of the Nation's natural resource base and
environment by increasing productivity while minimizing the
environmental consequences.

To meet these identified needs of agriculture, the program's long-term
goals (10 years) include commercial adoption and sales of technologies
aimed at improving animal productivity and improving the quality of
animal products; new technologies that provide improved understanding of
animal nutrition for improved efficiency, performance, health, and well
being of animals and to optimize resource use while delivering
environmental benefits; and new technologies that reduce adverse impacts
and improve the management of animal diseases that represent a threat to
animal production, biosecurity or public health.

**FY 2008 Research Priorities:**

1.  Development of marketable technology that will improve the
    production efficiency of animals of agricultural importance and/or
    improve their end products;

2.  Developing marketable technologies that enhance the nutrient value
    of the byproducts of the biofuels industry for the purpose of
    feeding these byproducts to livestock; and

3.  Development of marketable technology that will improve the health
    and well-being of animals of agricultural importance. Examples of
    these technologies may be diagnostics, therapeutics, vaccines and
    other immunization methods, animal biosecurity management tools and
    traceability.

**Other Key Information**

-   Applications not meeting one of the above research priorities will
    be returned to the PD without review.

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Applications dealing with animal manure management should be
    submitted to topic area 8.11 Animal Manure Management.

-   Applications dealing with the development of transgenic technologies
    for animals are currently not being accepted while this program
    awaits federal guidance on the use of transgenic animals in the food
    supply. Studies aimed at the production of transgenic animals for
    the production of human health products will no longer be accepted
    by the USDA/SBIR Animal Production and Protection topic area.

-   USDA/SBIR Animal Production and Protection Program is interested in
    receiving applications on carcass decontamination which could make
    the contaminated carcasses useful for value added processing.

-   Applications focused on Animal Protection should focus on those
    diseases identified as high priority diseases for research by the
    National Research Initiative. Refer to the NRI Animal Protection
    Program -
    <http://www.csrees.usda.gov/fo/animalprotectionandbiosecuritynri.cfm>.

    -   Species Specific High Priority Areas

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-   Equine: Laminitis; *Streptococcus equi* (strangles); *Rhodococcus
    equi*;

-   Poultry: Avian *Clostridium perfringens*; Marek's Disease; Avian
    pneumovirus

-   Ruminants: Bovine viral diarrhea; Bovine & ovine respiratory disease
    complex; Infectious causes of dairy cattle mastitis; Johne's
    Disease; and

-   Swine: Porcine Reproductive and Respiratory Syndrome (PRRS);
    Post-weaning *E.coli* diarrhea; Swine Influenza;

    -   Non-Species Specific High Priority Areas

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-   Diseases that may be introduced to livestock through interactions
    with wildlife, including chronic wasting disease, with a required
    emphasis on the interface between livestock and the relevant
    wildlife species (model species are not appropriate); and

-   Foreign Animal Diseases (limited to: Foot and Mouth Disease, Avian
    Influenza, Exotic Newcastle Disease, Vesicular Stomatitis Virus or
    Classical Swine Fever)

-   Projects that do not include work with a specific disease are also
    considered a high priority if the Project Director justifies the
    potential for broad applicability to multiple diseases.

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-   Applications dealing with aquacultured species should be submitted
    under topic area 8.7 Aquaculture.

-   Applications that deal with post harvest technologies should be
    submitted under topic area 8.5 Food Science and Nutrition.

#### 8.4 Number range CHAPTERSoil and Water Resources

*Dr. Charles Cleland, National Program Leader for SBIR Soil and Water
Resources may be contacted at <ccleland@csrees.usda.gov> or (202)
401-6852 regarding questions about the suitability of research topics or
to arrange a telephone consultation.*

**Background**

The Soil and Water Resources topic area aims to develop technologies for
conserving and protecting soil and water resources while sustaining
optimal farm and forest productivity and the manufacture of resulting
agricultural commodities. Applications need to address some aspect of
agriculture or make clear how the proposed project would impact
agriculture. Agriculture is the largest impact of humankind on the
environment and it is imperative that we find ways to minimize the
adverse impact of agriculture on the environment and also to mitigate
environmental pollutants that adversely impact agriculture.

To meet these identified needs of agriculture, the program's long-term
goals (10 years) are to achieve improved utilization of water resources
that are better able to sustain production agriculture; better use of
limited water resources for agriculture through improved irrigation
technologies; a more sustained soil resource through reduced soil
erosion and thereby lead to more productive agriculture; and improved
soil quality that will permit a more sustainable and productive
agriculture.

**FY 2008 Research Priorities:**

1.  Water Quality and Conservation - Develop new and improved
    technologies to optimize water conservation, monitor the quality of
    surface water and groundwater resources for biotic and abiotic
    pollutants, develop improved methods for the reuse of waste water,
    including the remediation and restoration of water resources that
    impact agriculture and forestry operations.

2.  Irrigation **-** Develop improved irrigation technologies that will
    provide more efficient and cost-effective delivery of water and
    chemicals. Develop new irrigation methods that allow for more
    efficient use of water including accurate delivery of water to where
    it is needed.

3.  Soil Erosion **-** Develop better methods for preventing soil
    erosion by wind and surface water runoff and for monitoring wind
    erosion and sediment transport.

4.  Soil Quality **-** Develop new technologies for measuring soil
    properties, soil nutrient content and the physical and chemical
    nature of soil. Research new technologies that enhance soil
    properties while restricting adverse environmental impact and
    develop improved methods to remediate degraded soils.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Applications that deal with air pollution caused by animal wastes
    should be submitted under topic area 8.11 Animal Manure Management.

#### 8.5 Food Science and Nutrition 

*Dr. Dionne Toombs, National Program Leader for SBIR Food Science and
Nutrition may be contacted at <dtoombs@csrees.usda.gov> or (202)
401-2138 regarding questions about the suitability of research topics or
to arrange a telephone consultation.*

**Background**

The Food Science and Nutrition topic area aims to fund projects that
support research focusing on developing new and improved processes,
technologies, or services that increases the understanding of food
safety issues and the characteristics of foods, including their
biologically active components. Additionally, project research has been
funded that develops novel rapid tests for the determination of food
quality and safety parameters; rapid detection methods of foodborne
pathogens and toxic metabolites to reduce food contamination and
foodborne illnesses; methods for the processing and packaging of food
products; and nutrition-related technologies and processes that will
improve health.

The long term goals (10 years) of the program are to commercialize the
production of useful new food products, processes, materials, and
systems, and apply information that addresses nutrition-related issues
to improve and protect the Nation's food Supply.

**FY 2008 Research Priorities:**

1.  Developing novel or rapid assay, bioassay techniques, or field tests
    to measure nutrients and food interactions;

2.  Developing innovative food processing and packaging technologies;

3.  Developing sensor technologies for the detection of microorganisms
    and improved methods for detection of microorganisms during post
    harvest, processing and distribution;

    a.  Examples of common foodborne bacteria:

        i.  *E coli* 0157:H7 associated with fruits and vegetables

        ii. Vibrio species associated with seafood

        iii. Salmonella species and Campylobacter species associated
             with poultry and swine

4.  Development of specialty products or processes using non-thermal
    techniques for food preservation; and

5.  Developing and using information technology to address obesity,
    nutritional issues among children, older adults, and families and
    developing intervention strategies to increase awareness and improve
    health.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Projects that promote value-added products and processes are
    encouraged.

-   Projects that address functional foods to promote health are
    encouraged.

-   Projects on novel screening methods for threat agents need strong
    letters of support from the appropriate Federal agency who will be
    the end user of the technology.

-   Projects that focus on technologies for improving cost benefit and
    model-based analyses including distribution, warehousing and
    retailing systems as they relate to the economy are accepted.

-   Projects should include appropriate collaborations with experts in
    the field of investigation.

#### 8.6 Rural Development

*Dr. Siva Sureshwaran, National Program Leader for SBIR Rural
Development may be contacted at <ssureshwaran@csrees.usda.gov> or (202)
720-7536 regarding questions about the suitability of research topics or
to arrange a telephone consultation.*

**Background**

During the last 30 years, dramatic social, economic and technological
changes have occurred in many rural areas in the United States. Although
farming continues to be an important source of income, most of rural
America is moving from agrarian to post-agrarian economies. Some
communities are facing economic decline and rural exodus, while in other
regions, especially coastal and mountainous areas, there has been an
increased economic growth and an influx of new residents. However, these
changes have not benefited all rural people. Applications may be
submitted for the development of new technology or for the utilization
of existing technology, to address important issues and/or solving
significant problems in rural America. All applications should
explicitly discuss the specific rural problem or opportunity that will
be examined and how this technology will successfully address the
problem or opportunity. The applications need not to be centered on
agriculture, but may be focused on any area that has the potential of
providing significant benefits to rural Americans. Applications
submitted must include an objective to assess the impacts of the
proposed project on the environment or the socio-economic development of
rural areas.

The long-term goals (10 years) of this program are: (1) Create
sustainable rural economies; (2) Develop rural communities that are more
resilient to disasters; (3) Enhance economic vitality of rural areas;
and (4) Promote job creation and income growth in rural areas.

**FY 2008 Research Priorities:**

1.  Development of technologies and services that protect or enhance the
    environment while promoting economic development. Topics may include
    technologies and services that promote rural tourism, protect the
    ecosystem, conserve energy, etc.

2.  Reducing the vulnerabilities of rural communities from all types of
    hazards, including intentional acts such as terrorism, and
    especially natural or unintentional hazards such as hurricanes, i.e.
    preparation, forecast and warning, response and rebuilding phases of
    hazard mitigation.

3.  Development of information and managerial systems that improve the
    efficiency and effectiveness of local governments in service
    delivery, especially in critical areas, such as transportation,
    telecommunications and health care, and in turn, enhance the
    economic vitality of rural areas.

4.  Development of products or services that enhance the availability
    and capability of entrepreneurs and a diversified workforce.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation, exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Applications must contain an objective to assess the impacts of the
    proposed project on the environment or the socio-economic
    development of rural areas. Applications that do not address this
    may be returned to the PD without review.

-   Applications dealing with on farm production agriculture research
    should be submitted to topic area 8.12 Small and Mid-Sized Farms.

#### Number range CHAPTER8.7 Aquaculture

*Dr. Charles Cleland, National Program Leader for SBIR Aquaculture may
be contacted at <ccleland@csrees.usda.gov> or (202) 401-6852 regarding
questions about the suitability of research topics or to arrange a
telephone consultation.*

######### **Background**

The Aquaculture topic area aims to develop new technologies that will
enhance the knowledge and technology base necessary for the continued
growth of the domestic aquaculture industry as a form of production
agriculture. Seafood production from the wild is under increased
pressure due to overfishing and pollution and therefore aquaculture is
increasingly becoming an important source of seafood. Emphasis is placed
on research leading to improved production efficiency and increased
competitiveness of private sector aquaculture in the United States.
Studies on commercially important, or potentially important, species of
fish, shellfish and plants, from both freshwater and marine environments
are included. These program priorities will also contribute to the
protection and enhancement of the Nation's natural resource base and
environment by increasing productivity while minimizing the
environmental consequences.

To meet these identified needs in aquaculture, the program's long-term
goals (10 years) are to achieve improved aquaculture production
resulting from improved reproductive efficiency in fish and shellfish;
improved aquaculture production resulting from genetic improvement in
fish and shellfish; improved aquaculture production resulting from
improved animal health; improved aquaculture production with reduced
water usage and improved production efficiencies; and cost-effective
production of microalgae for use as aquaculture feed and as a source of
valuable human food supplements.

**FY 2008 Research Priorities:**

1.  Reproductive Efficiency - Novel or innovative approaches to improve
    reproductive efficiency in aquaculture including: greater control of
    maturation, ovulation and fertilization; improved gamete and embryo
    storage; improved larval rearing techniques; enhanced reproductive
    performance of broodstock; improved methods for cryopreservation of
    sperm and embryos; and methods to control sex determination.

2.  Genetic Improvement - Novel or innovative approaches to improve
    production efficiency through genetic improvement of aquacultural
    stocks including: genetic mechanisms of sex determination; genetic
    basis for inheritance of commercially important traits such as
    growth, cold tolerance and pathogen susceptibility; identification
    of major genes affecting performance; application of molecular
    biology and genomics and the integration of this technology into
    breeding programs; performance evaluation of aquacultural stocks and
    utilization of crossbreeding and hybridization.

3.  Integrated Aquatic Animal Health Management - Novel or innovative
    approaches to reducing acute and chronic losses related to aquatic
    animal health in aquaculture production systems through an
    integrated holistic approach including: physiological stress related
    to the quality of the aquatic production system; genetic,
    environmental and nutritional components of aquatic health
    management; control of predation in aquaculture production systems;
    development of new vaccines or immunization procedures to enhance
    resistance to infectious diseases and parasites; development of
    diagnostic tests for specific diseases that pose a health hazard;
    and development of improved treatment methods for acute or chronic
    health problems caused by specific infectious or non-infectious
    agents, parasites, injuries and chemical and toxic agents.

4.  Improved Production Systems and Management Strategies - Novel or
    innovative approaches to improve existing or alternative production
    system design and management strategies including: development of
    biological, engineering and economic design criteria and models;
    enhancement of water quality in existing production systems through
    aeration, flow patterns, etc.; characterization, handling and
    treatment of effluent from aquacultural production systems; improved
    harvesting methods and strategies; and improved operating
    efficiencies for recirculation systems.

5.  Plant Production Systems - Novel or innovative approaches to improve
    the efficiency of algal production systems including: identification
    of new species with improved nutritional profile for use in feeding
    to other aquacultural species or as a source of valuable human food
    supplements; development of improved bioreactor technology; and
    development of better methods for harvesting algal biomass.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Applications that deal with the development of new food products
    derived from aquaculture species should be submitted under topic
    area 8.5 Food Science and Nutrition.

#### 8.8 Biofuels and Biobased Products 

*Dr. William Goldner, National Program Leader for SBIR Biofuels and
Biobased Products may be contacted at <wgoldner@csrees.usda.gov> or
(202) 401-1719 regarding questions about the suitability of research
topics or to arrange a telephone consultation.*

######### **Background**

The objective of this research area is to promote the use of biofuels
and non-food biobased products by developing new or improved
technologies that will lead to increased production of industrial
products from agricultural materials. This research will lead to new
opportunities to diversify agriculture and enhance agriculture's role as
a reliable supplier of raw materials to industry. Historically,
appropriate research areas have included: development of new crops that
have the potential of producing raw materials that can be converted into
useful industrial products; development of procedures for enhanced
recovery of critical raw materials from agricultural commodities;
development of improved technology for converting agriculturally derived
raw materials into useful industrial products; and development of
industrial products derived from agricultural materials to make them
more effective and/or more cost competitive with non-agriculturally
derived industrial products.

The long-term goals (10 years) of this program are: (1) New industrial
crops that will foster industry, grower, community, consumer, and
environmental benefits. (2) New or improved technologies for producing
biofuels and related co-products with emphasis on economically and
environmentally sustainable feedstocks and processes. (3) Replacement of
petroleum-based products by biobased product equivalents.

**FY 2008 Research Priorities:**

1.  Biobased Fuels - New and improved technology for the [economically
    and environmentally sustainable]{.underline} production and
    conversion of agriculturally important biomass material into alcohol
    and other products to be used as fuel, including but not limited to
    ethanol, hydrogen and biodiesel; fuel additives; and byproducts from
    the biofuel production stream that will optimize the economic
    feasibility of the production of biofuels. This solicitation seeks
    to support technologies that will minimize environmental
    consequences during crop biomass production, for example: increased
    crop water-use efficiency; increased nutrient use-efficiency, and
    conversion, for example: reduction of energy use and water use
    during conversion; reduction of harmful byproducts from conversion.
    Applications not addressing economic and environmental
    sustainability may be returned to the applicant without review.

2.  New Crops for the Production of Non-food Biobased Products --
    Identification, testing and development of [new industrial
    crops]{.underline} that will provide new local or regional economic
    opportunities for farmers and growers to produce raw materials for
    the production of non-food biobased products.

**Other Key Information**

-   Applications submitted to this topic area that do not specifically
    address the FY 2008 Priority Research Areas will be returned to the
    PD without review.

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Applications that deal with developing value-added biofuels and
    biobased products from forest biomass or residues should be
    submitted to the 8.1 Forest and Related Resources topic area.

-   Applications that deal with developing value-added biobased products
    from animal manure or carcasses should be submitted to 8.11 Animal
    Manure Management.

-   Applications that deal with developing marketable technologies that
    enhance the nutrient value of the byproducts of the biofuels
    industry for the purpose of feeding these byproducts to livestock
    should be submitted to the 8.3 Animal Production and Protection
    topic area.

####  

#### 8.9 Marketing and Trade

*Dr. Siva Sureshwaran, National Program Leader for SBIR Marketing and
Trade may be contacted at <ssureshwaran@csrees.usda.gov> or (202)
720-7536 regarding questions about the suitability of research topics or
to arrange a telephone consultation.*

**Background**

Success of the U.S. economy in general, including agribusiness and rural
communities in particular, is increasingly dependent on maintaining and
expanding domestic and international markets. The U.S. economy is also
dependent on the development of new products, production practices,
business and marketing tools and information that enhance efficiency,
equity and the competitiveness of the U.S. agribusiness sector. The
scope of research of this topic is to identify an array of innovative
marketing strategies to increase sales of the U.S. agribusiness sector,
including agricultural, forestry and aquacultural enterprise that derive
a significant portion of its revenues from sales of agricultural
products or sales to agricultural producers, e.g. raw commodities, plus
processed, value-added food, feed, seeds, fertilizer and industrial
products derived from these commodities, including biofuels and waste
from biofuel production, both domestically and abroad.

The long term goals (10 years) for this program are: (1) Create
efficient and equitable agribusiness marketing systems, (2) Assist with
commercialization of new agribusiness products and technology,

\(3\) Increase export market opportunities for US agribusinesses, and
(4) Enhance environmental benefits based on the market rather than on
regulations.

**FY 2008 Research Priorities:**

1.  Development of new marketing strategies, including new technologies
    and or innovative utilization of existing technologies, to promote
    efficient assembling, packing, processing and shipping methods to
    sell agribusiness products in "niche," regional, national and
    international markets;

2.  Development of current and projected economic information on product
    sales, potential demand, prices, quality standards and
    specifications, packaging preferences, relevant time periods and
    other changes relative to consumption patterns at home and abroad to
    assist agribusiness firms with commercialization of new products and
    technologies. Also included in this topic would be innovative
    methods that would facilitate the production of biofuels, including
    innovative marketing systems for small producers, markets for waste
    from biofuel production, transportation, etc.

3.  Identification of new export market opportunities and resolution of
    trade impediments for U.S. agribusiness including forestry,
    agricultural and aquacultural products; and

4.  Development of market-based approaches to reduce or mitigate adverse
    agri-environmental consequences or to promote positive
    agri-environmental outcomes while simultaneously preserving economic
    growth.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Where appropriate, foreign travel may be approved provided
    justification is adequately documented in the application.

#### 8.11 Animal Manure Management

*Dr. Richard Hegg, National Program Leader for SBIR Animal Manure
Management may be contacted at <rhegg@csrees.usda.gov> or (202) 401-6550
regarding questions about the suitability of research topics or to
arrange a telephone consultation.*

**Background**

The objective of this research area is to develop new or improved
technologies based on economically and environmentally sound approaches
for improved management of animal manures. This research area may
include other materials combined with manure, such as bedding, litter
and water. The proposed research is intended to reduce the adverse
impact of animal manure on the environment, people, improve the
economics of animal production by optimizing manure management
technologies and creating value-added products derived from animal
manure. This program will focus exclusively on terrestrial animal
production, including poultry. Successfully meeting the research
priorities will contribute to the protection and enhancement of the
Nation's natural resource base and environment.

The long term goals (10 years) of this program are commercial adoption
of new manure management technologies, development of technologies to
meet or exceed air and water quality standards, and increase the number
of commercially viable value-added products to off-set the cost of
manure management for livestock and poultry producers.

FY 2008 Research Priorities:

1.  Development of methods and technologies to reduce the impact of
    animal production systems on the environment by establishment of
    better ways to handle, collect, transport and treat animal manure;

2.  Development of methods for the detection and abatement of air
    emissions resulting from animal manure management systems;

3.  Development of innovative, energy-efficient, cost effective
    products, processes or services to reduce the impact of animal
    manure on surface and groundwater resources; and

4.  Development of innovative ways to process animal manure into
    value-added products.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Applications that deal with aquacultural waste should be submitted
    under topic area 8.7 Aquaculture.

#### Number range CHAPTER8.12 Small and Mid-Size Farms

*Dr. Charles Cleland, National Program Leader for SBIR Small and
Mid-Size Farms may be contacted at <ccleland@csrees.usda.gov> or (202)
401-6852 regarding questions about the suitability of research topics or
to arrange a telephone consultation.*

**Background**

The Small and Mid-Size Farms topic area aims to promote and improve the
sustainability and profitability of small and mid-size farms and ranches
(where annual sales of agricultural products are less than \$250,000 for
small farms and \$500,000 for mid-size farms - hereafter referred to as
small farms). The vast majority of farms in this country are small and
they play an important role in the agricultural sector. The viability
and sustainability of small farms is important to the Nation's economy
and to the stewardship of our biological and natural resources. Small
farms are also critical to sustaining and strengthening the leadership
and social fabric of rural communities and applicants are strongly
encouraged to emphasize how their project would contribute to the
well-being of rural communities and institutions. In particular,
applicants should emphasize how the results of their project would be
disseminated to other small farmers and provide benefit to the small
farm community.

To meet these identified needs in the small and mid-size farm sector,
the program's long-term goals (10 years) are to achieve improvements in
sustainability and profitability of small farms with increased
production of specialty crops and specialty animals; improved farm
management skills in small farmers that leads to more sustainable and
profitable small farms; better stewardship of natural resources through
adoption of more sustainable farming practices; and better educated
small farmers who are better able to operate their farms on a
sustainable and profitable basis.

**FY 2008 Research Priorities:**

1.  New Agricultural Enterprises - Efforts are needed to develop new
    agricultural enterprises that are small scale and focused on
    specialty farm products, both plant and animal and on innovative
    ways to market these farm products through direct marketing, such as
    farmers markets or cooperatives where the financial return to the
    farmer is optimized or through specialty market outlets that offer a
    higher financial return. Emphasis is encouraged for organic and
    natural foods, specialty animal products, such as free-range poultry
    or natural beef, non-food specialty crops, such as medicinal herbs
    and value-added food, and non-food products.

2.  Farm Management - Efforts are needed to develop tools and skills
    that are appropriate for small farms that will enhance the
    efficiency and profitability of small farms. New tools are also
    needed that will enhance farm safety. Development of new risk
    management tools to facilitate better planning is needed. Innovative
    ways to promote agro-tourism as a way to enhance farm profitability
    is encouraged.

3.  Natural Resources - Efforts are needed to develop farming methods
    scaled appropriately for small farms that are directed at more
    efficient use of natural resources. Particular emphasis is needed to
    develop sustainable farming practices.

4.  Educational Outreach - Efforts are needed to develop new tools to
    ensure that the next generation of small farmers has access to the
    information and resources they need to operate their small farms on
    a sustainable and profitable basis.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topic

#### 8.13 Plant Production and Protection - Engineering

*Dr. William Goldner, National Program Leader for SBIR Plant Production
and Protection Engineering may be contacted at
<wgoldner@csrees.usda.gov> or (202) 401-1719 regarding questions about
the suitability of research topics or to arrange a telephone
consultation.*

**Background**

The objective of this topic is to examine means of enhancing crop
production by reducing the impact of harmful agents and developing
effective crop production systems that are economically and
environmentally sustainable. The long-term goals (10 years) of this
program are: (1) New or improved technologies for crop production and
post-harvest handling and storage that will foster industry, grower,
community, consumer, and environmental benefits. (2) Improvements in
crop quality and yield from using new or improved technologies for crop
protection during crop production and post-harvest handling and storage.
(3) Reduction of cost and improved competitiveness from using
technologies with reduced energy requirements needed for crop production
and protection pre- and post-harvest.

**FY 2008 Research Priorities:**

1.  Post-harvest handling of specialty crops, including transportation
    and quality preservation;

2.  Reduction of manual labor in specialty crop production, harvesting
    and post-harvest handling through technology to improve the
    competitiveness of U.S. specialty crop production;

3.  Commercial floriculture production technology, i.e. technology to
    improve the competitiveness of U.S. flowering potted plant, bedding
    plant and cut flower production, seasonal crops, annuals,
    perennials; and

4.  Identity/pathway preservation technologies for specialty crops, e.g.
    technology facilitating the rapid and accurate tracing of specialty
    crops from producer to retail distributor.

**Other Key Information**

-   **ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT
    (PDF).**

-   All Phase I applications should give the reviewing community a brief
    vision of where the PD expects the project to be at the end of Phase
    II (entering Phase III commercialization).

-   Applications exceeding the budget limitation or exceeding the page
    limit or not meeting the formatting requirements will be returned to
    the PD without review.

-   The applicants are strongly encouraged to contact the National
    Program Leader regarding the suitability of research topics.

-   Additional consideration will be given to applications addressing
    the development of products, process and services for U.S.
    production of specialty crops, e.g. fruits, nuts, vegetables,
    nursery and greenhouse crops

-   Applications that deal with irrigation and related technology should
    be sent to the 8.4 Soil and Water Resources.

###  9.0 SUBMISSION FORMS AND CERTIFICATIONS

All of the necessary forms and instructions will be found on the
Grants.gov website. Applicants can access the appropriate page on
[Grants.gov](http://www.grants.gov/) by visiting the USDA SBIR funding
opportunity page at <http://www.csrees.usda.gov/fo/sbir>. Clicking on
the [Funding Opportunity Number]{.underline} listed near the bottom of
the page will link the applicant directly to the information and forms
necessary to submit through Grants.gov. P**lease note: Applicants must
have successfully completed the entire registration process, see
subsection 3.2 prior to being able to submit an application through**
**Grants.gov. All attachments must be submitted in PDF format, see
subsection 3.2 (C).**

### 10. 0 SAMPLE APPLICATIONS FROM USDA SBIR SOLICITATION

These applications, which resulted in Phase I awards, were submitted
under previous USDA SBIR Program Solicitation guidelines. As such, these
applications do not accurately reflect the current format nor the forms
and attachments that are required for submission through Grants.gov.
These sample applications are provided solely for general guidance. In
the original application, the cover page was signed by both the project
director and authorized organizational representative. Social security
numbers, budgets and some material containing biographical information
have been deleted to protect confidentiality.

Visit the web to see the sample applications available only in PDF
version at:

[www.csrees.usda.gov/funding/sbir/sbir_sample.html](http://www.csrees.usda.gov/funding/sbir/sbir_sample.html)