1. SBIR/STTR Phase 1 Proposal Guidance

2. SBIR/STTR program goals
Stimulate technological innovation in private sector;
Strengthen the role of small business in meeting Federal R&D needs;
Increase the commercial application of Federally-supported research results;
Foster and participation by socially and economically disadvantaged small business concerns and women-owned business concerns in the SBIR program;
Improve the return on investment from Federally-funded research for economic and social benefits to the Nation.

3. Pre-submission Timeline:-8 -6 -7 -5 -4 -3 -2 -1 +1
Assess yourself, field, resources
Brainstorm ideas, contact program staff
Determine human and animal requirements (if applicable)
Outline application structure
Write application
Get feedback
Edit
Proofread
Receipt date
Track application online
Months

4. Electronic Submission-Government Registrations
Prepare for electronic application
Registrations - allow 2 months for this process:
DUNS number
SAM Registration (System for Award Management)
SBA
Grants.gov
eRA commons registration – NIH
Others for other agencies

5. Now that you have identified a Solicitation…

6. Communicate with Agency
Each solicitation provides a point of contact - Contact to discuss the fit
Brief conversation to nail down whether your proposed idea is a match with the institutes interests.

7. Proposal Review

8. Who are the reviewers?
INTERNAL at Contract Agencies vs. EXTERNAL at Grant Agencies
Academic scientist – expert in your field
Scientist from Small Business/Corporate setting
Business Development specialist from Small Business/Corporate setting
From podcast: What would Rob do? – alt.NPR

9. REVIEW CRITERIA SIGNFICANCE INNOVATION APPROACH INVESTIGATOR
ENVIRONMENT

10. Review Criteria Significance
The importance of the public health problem
What is the pain?
Who cares?
How important is the problem?
Is there a market?

11. Review Criteria Innovation
Will it significantly impact a need in the market?
Does it bit the mission of the agency?
Is the proposed product novel?
Better, faster, lower cost
How are you protecting your IP

12. Review Criteria Approach How well defined is the research?
Is there preliminary data?

13. Review Criteria Investigators
Include bios for Investigators, key personnel and significant contributors
Demonstrate research management experience

14. Review Criteria
Environment
Strength of collaborators
Facilities

15. A Criticism is a gift
Reviewers area not adequately compensated for their time. Respect the time they are taking to read your grant by being clear and concise
Read review comments carefully
Use this as an opportunity to improve your application
Take each critique to heart

16. Proposal Components Title
Include Significance and Innovation (i.e. One product and one problem)
Abstract
Specific Aims (1 page - NIH)
Research Plan (6 pages - NIH)
Significance
Innovation
Preliminary Studies
Research Design
Facilities
Bios

17. Abstract No proprietary information Contents of abstract: the problem,
issues with current solutions,
how product will address unmet needs,
summary of approach, collaborators and unique resources,
Phase I Specific Aims,
how anticipated results will justify Phase II
additional time and funding necessary to bring your product to market after the completion of Phase I.

18. Specific Aims Keep your Phase I well focused
Limit Aims to those absolutely necessary to support your application for Phase II
Easily assessed by review committee
Timeline

19. Specific Aims / Technical Objectives
Paragraph #1:
describe problem
why it is significant
current status of solutions
unmet public health needs.
Paragraph #2:
Describe product
Hypothesize why your product is an innovative solution  
Present Specific Aims in bullet format:
Two to four measurable Aims for Phase I research and for each, the criteria by which success will be judged.
Make your Specific Aims "end points“ and milestone driven

20. Research Plan Significance
Describe the significance of public health problem
Focus on a single problem
Number and composition of the population affected
References to supporting statistical data
Background on the current solutions to the problem
Fairly critique previous work (they could be your reviewers)

21. Research Plan Innovation
Why is product innovative.
Does it work better, faster, cheaper
What are the implications
Public health - NIH
Agriculture – USDA
National Security / warfighter – DOD
Product's potential financial projections
IP protection plan
Why Phase I milestones will justify a Phase II award
Milestones projected for Phase II
Progress necessary to lead to commercialization

22. Research Plan Preliminary Data
Preliminary data is important
Should support the feasibility of your project
Emphasize work YOU have accomplished  
Interpret results critically
Convince reviewers that your approach could work.  

23. Research Plan Approach
Organize by Specific Aims
Include a timeline
Describe results you expect
Present contingency plans
Define the criteria for evaluating the success
Include statistical analysis
Collaborator participation in your proposed research

24. Budget and Fee Follow the budget instructions
Do not exceed the salary cap
A fee up to 7% can be used for expenses that may not be charged to your grant.
Patent costs
Market research
Expenses outside the U.S.

25. Letters of Support
Show that you have relationships with people/organizations that can do part of the work that you cannot.
These can be collaborators or consultants
Include letters of interest from potential customers

26. Cover Letter for NIH
NIH - The cover letter helps you to direct your application to the best institute and study section
You may suggest more than one institute – give a one sentence reason for the additional assignment request
It lets you suggest the field of expertise needed for a fair review – a frequent problem with reviews are that a reviewer may not appreciate the science behind your idea.

27. Multiple Submissions? Is your technology a platform
Seek solicitations for each application area

28. IP Protection
DO NOT submit a grant application until intellectual property protection plan is devised
Patent protection is an absolute requirement for a business.
Provisional Patent Application
– Allows one year to file full application

29. Review Comments / Revisions
Use the review comments to your advantage
NIH – Allows for 1 resubmission
Other agencies – Must wait for new solicitations to be published

30. Summary Start Early Complete registrations Put team together
Gather information
Write proposal
Request reviews
Submit – at least 1 day before deadline