Small Business Innovation Research and Small Business Technology Transfer Programs Phase II

The USDA SBIR/STTR programs, Assistance Listing number 10.212, support scientific excellence and technological innovation through investment of Federal research funds to build a strong national economy by stimulating technological innovation in the private sector; strengthening the role of small business in meeting Federal research and development needs; and increasing the commercial application of Federally supported research results. Further, the objective of the STTR program is to stimulate formal cooperative partnerships of ideas and technologies between small businesses and partnering research institutions (e.g., Universities and Federal laboratories).

Eligibility for the SBIR/STTR Phase II program is limited to only SBIR/STTR Phase I recipients. This includes recipients identified via a “novated” or “successor-in-interest” revised funding agreement. Failure to meet the eligibility criteria by the application deadline may result in exclusion from consideration or preclude NIFA from making an award. For those new to Federal financial assistance, NIFA’s About Grants provides highly recommended information about grants and other resources to help understand the Federal awards process. Each applicant must qualify as an SBC through registration with the SBA for R/R&D purposes at the time of selection (see Definitions in Appendix III of this NOFO). SBIR/STTR program eligibility requirements are in place to ensure that the funds go only to small, independent U.S. businesses. The regulations include restrictions about (1) the type of firm, (2) its ownership structure, and (3) the firm’s size in terms of the number of employees. Type of Firm The purpose of the requirement regarding the type of firm is to target the awards to firms with an economic interest in developing the idea or research into a commercial application. 1. An SBIR/STTR small business recipient must be a business concern – it must be organized as a for-profit concern and meet all of the other requirements for a “business concern” in 13 CFR 121.105. Non-profit entities are not eligible (except as the partnering research institution collaborator under the STTR Program). 2. If a recipient is a joint venture, limited partnership, or venture capital partner, each party to the joint venture must be a concern that satisfies all program eligibility requirements regarding type, size, ownership, and control. Ownership & Control The purpose of the ownership requirement is to limit the program to independent firms controlled by US citizens or permanent resident aliens as a way of maximizing the likelihood that the funding will stimulate innovative activity within the US economy. A majority (more than 50%) of a firm’s equity (e.g., stock) must be directly owned and controlled by one of the following: 1. One or more individuals who are citizens or permanent resident aliens of the United States, 2. Other for-profit SBC (each of which is directly owned and controlled by individuals who are citizens or permanent resident aliens...

General application instructions are listed in the NIFA Grants Application Guide. Program-specific instructions are listed in the Notice of Funding Opportunity (NOFO). The NOFO overrides the Application Guide if there is a discrepancy between the two documents. Applicants must apply electronically through Grants.gov; no other method or response is accepted. The application forms package for this funding opportunity must be accessed through Grants.gov. Part III of the NIFA Grants Application Guide explains how to access a specific application forms package. Parts II and III of the NIFA Grants Application Guide contain resources to assist grant applicants and detailed information regarding the Grants.gov registration process. NIFA evaluates each application in a two-part process. First, each application is screened to ensure that it meets the administrative requirements set forth in the NOFO. All administrative requirements must be met in order for the application to proceed to the next level of review. Second, a scientific peer-review process will be used to technically evaluate applications that have met the administrative requirements using a review panel. After each peer review panel has completed deliberations, the responsible NIFA program staff will either recommend an application for support from available funds or decline an application due to insufficient funds or unfavorable review. See the program NOFO for more information.

This program has no statutory formula. Matching requirements are not applicable to this assistance listing. MOE requirements are not applicable to this assistance listing.

Fiscal Year2025: Fiscal Year 2025: Phase I Award examples: 1. A Portable Situational Awareness Toolset for Wildfires Suppression and Team Management 2. Squalene Produced from US Soybeans 3. A Nickel-Binding Feed Additive for Improved Feed Efficiency & Productivity in Cattle 4. Cost-effective Monitoring Platform for Optimal Nutrient Application 5. Innovative Food Processing Utilizing Whole Apples to Produce a Novel Drink, Reducing Food Waste and Enhancing Nutritional Value 6. AMA: An AI-Driven Special Education Support Platform for Education in Rural Communities. 7. Induced polyploidization in larviparous oysters: Developing a commercially viable Hawaiian oyster 8. Consolidated Bioprocessing of Corn Stover to Ethanol Augmented by Spontaneous Particle Expansion Cotreatment 9. Improving Small Farm Profitability Using Directed Energy Weed Management 10. Cotton Picker Spindle Design and Manufacturing Processes There were no FY25 Phase II awards issued.