Opportunity Information: Apply for USDA NIFA SBIR 012221
The USDA National Institute of Food and Agriculture (NIFA) Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs Phase II opportunity (Assistance Listing/CFDA 10.212) is a mandatory grant program designed to move promising, federally supported R&D closer to real-world commercial use in agriculture and related areas. At a high level, the program uses federal research dollars to encourage scientific and technological innovation in the private sector, strengthen the role of small businesses in meeting federal research and development needs, and increase the commercialization of research results that were initially supported with federal funding. For STTR specifically, a core aim is to spur formal collaboration between a small business and a partnering research institution, such as a university or a federal laboratory, so that ideas and technologies can be developed and transitioned more effectively.
Phase II eligibility is narrow and is intended for continuity: only companies that previously received a USDA SBIR or STTR Phase I award may apply. This includes Phase I recipients whose awards were transferred under an approved revised funding agreement, such as a novation or successor-in-interest arrangement. The notice emphasizes that applicants who do not meet these eligibility rules by the application deadline risk being removed from consideration or being ineligible for an award, even if the application is otherwise strong. For organizations that are newer to federal assistance, NIFA points applicants to its "About Grants" resources to help them navigate federal grant processes and expectations.
A central requirement is that the applicant must qualify as a Small Business Concern (SBC) and must be properly registered with the U.S. Small Business Administration (SBA) for research/research and development purposes at the time of selection. The program rules are structured to ensure that funds go to small, independent U.S. businesses, and the eligibility framework focuses on three big areas: the type of firm, ownership and control, and size (measured by number of employees). On firm type, the applicant must be a for-profit business concern and meet the federal definition of a business concern under 13 CFR 121.105. Nonprofits cannot be the small business applicant or recipient under SBIR/STTR, although a nonprofit can participate as the partnering research institution under STTR. If the applicant is organized as a joint venture, limited partnership, or involves venture capital partners, each party in that structure must independently satisfy all eligibility requirements related to type, size, ownership, and control.
Ownership and control rules are aimed at keeping the program focused on firms that are independent and primarily U.S.-controlled, with the policy goal of ensuring the economic benefits of innovation accrue within the United States. In general, more than 50 percent of the firm’s equity must be directly owned and controlled by one or more U.S. citizens or permanent resident aliens, or by other for-profit SBCs that are themselves directly owned and controlled by U.S. citizens or permanent residents. The notice also recognizes certain qualifying ownership pathways, such as majority ownership by Alaska Native Corporations, Native Hawaiian Organizations, Indian tribes, or their wholly owned subsidiaries. It also clarifies how ownership is interpreted when equity is held through an Employee Stock Ownership Plan (ESOP) or a trust: trustees and plan members (for ESOPs), and trustees and beneficiaries (for trusts), are treated as owners for eligibility purposes. Additionally, if the applicant is a subsidiary, it must be able to show that its parent company (or parent companies) also qualifies as a small business entity, which can be a key point for companies with more complex corporate structures.
The notice includes an important limitation related to venture capital ownership for SBIR awards. Federal law allows some agencies to make SBIR awards to companies that are majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, or private equity firms, provided no single such firm owns or controls more than 50 percent. However, USDA states it has not elected to use that authority for its SBIR program, meaning applicants should not assume that a majority-VC-owned structure will be eligible under USDA’s SBIR Phase II rules.
Key administrative details in the opportunity listing include: the funding opportunity title is "Small Business Innovation Research and Small Business Technology Transfer Programs Phase II," the funding opportunity number is USDA NIFA SBIR 012221, and the administering agency is USDA’s National Institute of Food and Agriculture. The funding instrument is a grant, the activity category is agriculture, and the original closing date is 2026-11-17. The award ceiling is listed as $650,000, with an estimated 50 awards expected.Apply for USDA NIFA SBIR 012221
- The National Institute of Food and Agriculture in the agriculture sector is offering a public funding opportunity titled "Small Business Innovation Research and Small Business Technology Transfer Programs Phase II" and is now available to receive applicants.
- Interested and eligible applicants and submit their applications by referencing the CFDA number(s): 10.212.
- This funding opportunity was created on 2026-10-01.
- Applicants must submit their applications by 2026-11-17. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
- Each selected applicant is eligible to receive up to $650,000.00 in funding.
- The number of recipients for this funding is limited to 50 candidate(s).
- Eligible applicants include: Others.
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FAQs: USDA NIFA SBIR/STTR Phase II (CFDA/Assistance Listing 10.212)
1) What is this funding opportunity?
This opportunity is the USDA National Institute of Food and Agriculture (NIFA) Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs Phase II. It is a mandatory grant program intended to move promising, federally supported research and development (R&D) closer to real-world commercial use in agriculture and related areas.
2) What is the purpose of the SBIR/STTR Phase II program?
At a high level, the program uses federal research dollars to:
- Encourage scientific and technological innovation in the private sector
- Strengthen the role of small businesses in meeting federal R&D needs
- Increase commercialization of research results that were initially supported with federal funding
3) How does STTR differ from SBIR in this notice?
The notice highlights that STTR specifically aims to spur formal collaboration between a small business and a partnering research institution (for example, a university or a federal laboratory) so ideas and technologies can be developed and transitioned more effectively.
4) Who is eligible to apply for Phase II?
Phase II eligibility is narrow and focused on continuity. Only companies that previously received a USDA SBIR or STTR Phase I award may apply.
5) Are companies eligible if their Phase I award was transferred?
Yes. Phase I recipients whose awards were transferred under an approved revised funding agreement (such as a novation or successor-in-interest arrangement) are included as eligible applicants for Phase II, as described in the notice.
6) What happens if an applicant does not meet eligibility requirements by the deadline?
The notice emphasizes that applicants who do not meet the eligibility rules by the application deadline risk being removed from consideration or being found ineligible for an award, even if the application is otherwise strong.
7) What type of organization can be the applicant (the small business)?
The applicant must qualify as a Small Business Concern (SBC). The notice states the applicant must be a for-profit business concern and meet the federal definition of a business concern under 13 CFR 121.105.
8) Can a nonprofit apply as the small business applicant or recipient?
No. Nonprofits cannot be the small business applicant or recipient under SBIR/STTR, according to the notice.
9) Can a nonprofit participate in the project in any way?
Yes, in a limited way. The notice states that a nonprofit can participate as the partnering research institution under STTR (for example, as the collaborating research institution), even though it cannot be the small business applicant/recipient.
10) What are the three main eligibility areas mentioned for small businesses?
The notice frames eligibility around three big areas:
- Type of firm
- Ownership and control
- Size (measured by number of employees)
11) What does the notice say about SBA registration?
A central requirement is that the applicant must be properly registered with the U.S. Small Business Administration (SBA) for research/research and development purposes at the time of selection.
12) How is business size measured for eligibility?
The notice indicates size is measured by number of employees.
13) What ownership and control rules apply to the small business?
In general, the notice states that more than 50 percent of the firm’s equity must be directly owned and controlled by one or more U.S. citizens or permanent resident aliens, or by other for-profit SBCs that are themselves directly owned and controlled by U.S. citizens or permanent residents.
14) Are there special ownership pathways that can qualify a company?
Yes. The notice recognizes certain qualifying ownership pathways, including majority ownership by Alaska Native Corporations, Native Hawaiian Organizations, Indian tribes, or their wholly owned subsidiaries.
15) How does an ESOP affect ownership eligibility?
The notice clarifies that when equity is held through an Employee Stock Ownership Plan (ESOP), trustees and plan members are treated as owners for eligibility purposes.
16) How does a trust affect ownership eligibility?
The notice clarifies that when equity is held through a trust, trustees and beneficiaries are treated as owners for eligibility purposes.
17) What if the applicant is a subsidiary of another company?
If the applicant is a subsidiary, the notice states it must be able to show that its parent company (or parent companies) also qualifies as a small business entity. This is highlighted as an important consideration for companies with complex corporate structures.
18) What does the notice say about joint ventures, limited partnerships, or venture capital partners?
The notice states that if the applicant is organized as a joint venture, limited partnership, or involves venture capital partners, each party in that structure must independently satisfy all eligibility requirements related to type, size, ownership, and control.
19) Are majority venture-capital-owned companies eligible for USDA SBIR Phase II?
The notice includes an important limitation. While federal law allows some agencies to make SBIR awards to companies majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, or private equity firms (under certain conditions), USDA states it has not elected to use that authority for its SBIR program. As a result, applicants should not assume a majority-VC-owned structure will be eligible under USDA’s SBIR Phase II rules.
20) What is the Assistance Listing/CFDA number for this program?
The notice lists Assistance Listing/CFDA 10.212.
21) What is the funding opportunity title and number?
The funding opportunity title is "Small Business Innovation Research and Small Business Technology Transfer Programs Phase II," and the funding opportunity number is USDA NIFA SBIR 012221.
22) Which agency is administering this opportunity?
The administering agency is USDA’s National Institute of Food and Agriculture (NIFA).
23) What is the funding instrument?
The funding instrument is a grant.
24) What is the activity category?
The activity category listed is agriculture.
25) When is the closing date?
The original closing date listed in the opportunity is 2026-11-17.
26) What is the maximum award amount (award ceiling)?
The award ceiling is listed as $650,000.
27) How many awards are expected?
The notice estimates approximately 50 awards.
28) Where can newer applicants learn about federal grant expectations?
The notice points organizations that are newer to federal assistance to NIFA’s "About Grants" resources to help them navigate federal grant processes and expectations.
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