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SBIR

Presenter Mark H. Henry PBC inc.Denver, CO Phone: 303-427-1312 . Home Office: 303-679-8182 e-mail: mhenry@pbcinc.com www.pbcinc.com. . The Proposal-Writing Process: Strategies and Techniques. Comprehensive SBIR Services for High-Tech Firms Nationwide . PBC's SBIR Process. . . . . . . .

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SBIR

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    1. SBIR/STTR Proposal Fundamentals WSSI 2006 SBIR Conference April 19, 2006

    2. Presenter Mark H. Henry PBC inc.—Denver, CO Phone: 303-427-1312 Home Office: 303-679-8182 e-mail: mhenry@pbcinc.com www.pbcinc.com

    3. The Proposal-Writing Process: Strategies and Techniques

    4. Comprehensive SBIR Services for High-Tech Firms Nationwide PBC’s SBIR Process

    5. Comprehensive SBIR Services for High-Tech Firms Nationwide Pre-Proposal Data Single graphic A single image that tells the whole proposal story Pictorial or task flow Task list and schedule Descriptive titles for each task Calendar time required for each (Gantt Chart) Staffing plan Names for each participant Hours by task for each participant Initial budget Direct labor Other direct costs Indirect costs Profit or fee

    6. “If they can draw a picture of the concept, I’ll tend to believe it.” Observation made by an NIH reviewer.

    7. Comprehensive SBIR Services for High-Tech Firms Nationwide Pre-Proposal Data – Single Graphic

    8. Comprehensive SBIR Services for High-Tech Firms Nationwide Before and After Visual

    9. Comprehensive SBIR Services for High-Tech Firms Nationwide Pre-Proposal Data – Task List and Schedule

    10. Comprehensive SBIR Services for High-Tech Firms Nationwide Pre-Proposal Data – Staffing Plan

    11. Comprehensive SBIR Services for High-Tech Firms Nationwide Proposal Preparation Follow the instructions Format Content Cost Formatting requirements (typical) Maximum of 25 pages 1-inch margins 10-point font Proprietary information marking Binding – 1 staple (or not) Submission Electronic/paper Copies Address and packaging Due date and time Additions, attachments, and enclosures Some agencies prohibit any additions Letters of commitment and/or collaboration Resumes

    12. Comprehensive SBIR Services for High-Tech Firms Nationwide Consider Your Audience View the agency as a customer—not just as a source of money Study the agency’s mission and orientation (this month) Remember that this changes constantly Find out what they have funded in the past Understand the agency’s review process Criteria for “responsiveness” differs between grant and contract programs Reviewers are skeptical, in a hurry, and will not score material they cannot find Reviewers understand the field in general but are less knowledgeable than you are in the specific subject matter Reviewers, typically, know the key players, and often consider themselves to be key players. Program managers and evaluators are judged on the quality of the R&D results, and that they seek reasonable assurance that your program (or your firm) is not excessively risky.

    13. Comprehensive SBIR Services for High-Tech Firms Nationwide Proposal Content Present your idea and establish credibility Typical proposal sections Cover page Abstract/summary and potential benefits Identification and significance of the problem/opportunity Technical objectives Research plan Related work (done both by you and others) state of the art Relation to future research or R&D Commercialization strategy PI/key personnel/subcontractors/consultants Facilities/equipment Prior, current, or pending awards Budget

    14. Comprehensive SBIR Services for High-Tech Firms Nationwide KEY PROPOSAL THEMES Great idea. Credibility. Nearly all review comments address the idea or credibility.

    15. Comprehensive SBIR Services for High-Tech Firms Nationwide Abstract/Summary and Potential Benefits Address the items they ask you to address in the solicitation—and how they say to do it Pay attention to space/word limitations Follow the outline we have provided when possible (the template)—first two sections for the abstract; third section for the anticipated benefits Write the abstract last and make it the best part Don’t get the benefits section confused with the background/state of the art (use “vision” portion of white paper)

    16. Comprehensive SBIR Services for High-Tech Firms Nationwide Identification and Significance of the Problem/Opportunity Address the items requested by the solicitation Identify and quantify the problem or opportunity BEFORE you offer your solution Discuss the state of the art and what is lacking Remember to identify BOTH problems: The national issue (need), and The technical problems/challenges that are the heart of the R&D project Tell a brief version of the whole story here—same order as the abstract

    17. Comprehensive SBIR Services for High-Tech Firms Nationwide Importance of Problem - Avoid This:

    18. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal: “The company has proposed an excellent approach to Phase I with a demonstrated knowledge of the subject matter. They have a vast amount of knowledge about all phases of mercury treatment. The concepts for meeting the needs here have been presented in a thorough way that points to a potential breakthrough.”

    19. Comprehensive SBIR Services for High-Tech Firms Nationwide Technical Objectives “In Phase I we will attempt to prove that ________.” Make sure your objectives are focused on outcomes, and that at least some of them are measurable so that you will know when you have succeeded with Phase I. Objectives are NOT the same as tasks. Follow your objectives with the key questions that must be answered in Phase I to demonstrate feasibility—then the work plan tasks are designed to answer those questions. The RESEARCH objective is NOT to build the software or the device—it is to prove its potential to change the state of the art.

    20. Comprehensive SBIR Services for High-Tech Firms Nationwide Technical Objectives - Avoid This: “There are no real objective endpoints, so it is difficult to determine what the success criteria would be.”

    21. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal: “The research objectives are clearly established and the project tasks are designed to provide meaningful data focused on establishing the feasibility of the proposed approach. The important questions for this stage of the project are being asked, and the Phase I work plan should provide the answers.”

    22. Comprehensive SBIR Services for High-Tech Firms Nationwide Research Plan Cover the items in the solicitation Thorough and detailed Must be a “substantial portion” of the proposal. You should include some type of schedule or GANTT chart to provide context. You should number and name tasks. WHAT you will do and HOW you will do it, and WHY you will do it that way, HOW you will measure your results (anticipated outcomes), and WHAT your contingency plans are (if you don’t achieve your anticipated outcomes on the first try). Be sure the tasks serve to address the objectives. You should indicate clearly the role that any consultants will plan in specific tasks.

    23. Comprehensive SBIR Services for High-Tech Firms Nationwide The Research Plan - Avoid This: “The methods whereby the tasks are to be completed are not adequately set forth in general and are especially meager where specific formulation details are concerned. Of greatest importance, no clear idea is given as to how the research will systematically study solubility.”

    24. Comprehensive SBIR Services for High-Tech Firms Nationwide The Research Plan - Avoid This: “Weaknesses in the proposal include concerns about the technical approach, a lack of details and specific assessment criteria for success, and an inadequate description of the statistical analyses of the data. Of particular concern is the fact that the proposed approach seems primitive compared with other available techniques.”

    25. Comprehensive SBIR Services for High-Tech Firms Nationwide The Research Plan - Avoid This: “Likewise, no specific methods are given by which the proposed characterization is to be accomplished.” ------------------------------------------------------------ “One can take issue at the suggestion that 3-month/37° storage is reasonably predictive of two years’ stability at 25°.”

    26. Comprehensive SBIR Services for High-Tech Firms Nationwide The Research Plan - Avoid This: “Based on the data and information presented, it is unclear whether the method has much chance for success.” ------------------------------------------------------------- “To evaluate the method proposed, it is necessary to understand how it would work. Partial information on the technique is given throughout the proposal…but it is still unclear exactly how the detection device is actually designed to function.”

    27. Comprehensive SBIR Services for High-Tech Firms Nationwide The Research Plan - Definitely Avoid This: “Thus, even the successful completion of the proposed studies would not answer the feasibility question.”

    28. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal: “Put simply, their Phase I plan touches all of the bases needed to demonstrate the feasibility of the proposed process--from both an economic and a technical standpoint.”

    29. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal: “At the risk of repeating myself, I think that: 1) the proposed process is simple enough to actually work, 2) it should be inexpensive to implement, 3) it will be much safer for workers, and 4) it should be applicable to a wide range of contaminated materials and environments.”

    30. Comprehensive SBIR Services for High-Tech Firms Nationwide Related Work Make sure you cover the items required in the solicitation. Include work done by yourself AND others. Must be directly related to this project. This is your chance to show you truly understand the state of the art. Present the state of the art fairly – consider using a table Use some of this material up front to establish credibility for yourself and the concept, and to address the shortcomings in the state of the art—don’t save it all for the back.

    31. Comprehensive SBIR Services for High-Tech Firms Nationwide Know the State of the Art - Avoid This: “The author does not seem to be aware that several technologies have been field-tested successfully for this application. Nor is he aware of the broader experience of the researchers who have conducted the prior work.”

    32. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal: “It is obvious that the PI understands the concept and operational issues, and that he is current on the state of the art and its shortcomings. The proposal is very thorough and is prepared by an individual with first-hand operational experience.”

    33. Comprehensive SBIR Services for High-Tech Firms Nationwide Relation to Future R&D Address the items required in the solicitation Describe the results you expect to achieve in Phase I and show how these set up Phase II Present your VISION for Phase II and Phase III. Include ways in which your non-SBIR work blends with the SBIR work. Make sure some of this is included up front—don’t save it all for the back.

    34. Comprehensive SBIR Services for High-Tech Firms Nationwide Commercialization Strategy Address the items specified in the solicitation. Commercialization includes sales to the federal government. For DOD and NASA the primary customer should be DOD or NASA. Describe knowledge of underlying federal programs that will use the technology as well as the prime contractors on those programs. Describe the nature and size of potential markets and competition. Talk about your company’s capabilities and experience in commercialization. Talk about your plans for financing the commercial efforts (or licensing, etc.). Be realistic about the costs to commercialize.

    35. Comprehensive SBIR Services for High-Tech Firms Nationwide Commercialization Plan – Avoid This: “Although the applicant states that she has ‘substantial experience’ in commercializing high-technology products, absolutely no evidence of such is provided. All discussion of previous experience involves R&D efforts only. Likewise, no other team member has anything more compelling to offer.” ------------------------------------------------------------------------------- “The commercialization section fails to provide the level of detail specifically required by the solicitation. Most importantly, there is no indication of potential market size or method of penetrating any market with the new product.”

    36. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal “The company has a strong position in commercializing new mercury-treatment solutions to the nation’s major utilities. They have a plan for obtaining Phase III financing which appears sound. The company’s plan to secure a proprietary position should guarantee their competitive position.”

    37. Comprehensive SBIR Services for High-Tech Firms Nationwide PI/ Team/Consultants/Collaboration Follow the rules Customize all personnel info for each proposal (no boiler-plate resumes) Make sure you match the credibility of the team with all of the areas in the proposal Relevant publication lists are typically important Resumes are needed for each key player—so plan ahead Everyone with a resume needs to have a role Be sure to include experience in commercialization in resumes for DOD.

    38. Comprehensive SBIR Services for High-Tech Firms Nationwide PI and Team – Avoid This: “The review panel was confused about the employment status and eligibility of the proposed principal investigator, given his full-time position at the university.” ------------------------------------------------------------ “The consultant’s participation in the proposal and his availability for participation and hourly rates are not documented.”

    39. Comprehensive SBIR Services for High-Tech Firms Nationwide PI and Team – Avoid This: “Dr. Smith is an orthopedic surgeon who has had graduate education in mechanical engineering. There does not appear to be anything in his resume that particularly suits him to the task assigned.” ----------------------- “The consulting surgeon certainly has an impressive resume, but there is no indication in the work plan that he is going to contribute anything to the project.”

    40. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal “The Phase I R&D team is impressive. The PI is nationally recognized and ideally qualified to carry out the proposed research.” -------------------------------------------- “The addition of consulting support from Dr. Smith is a great advantage for the applicant as Dr. Smith is the leading investigator on this subject. Her involvement should add significantly to the overall quality and probability of success for the project.”

    41. Comprehensive SBIR Services for High-Tech Firms Nationwide Facilities and Equipment Facility and equipment requirements Document the facilities and equipment required for the project Check for consistency with research plan Access to facilities and equipment Possessed by the small business Documented leased/rented/borrowed access (e.g., at a university or private lab) Plan to purchase or lease/rent (included in budget) NOTE: Equipment purchase is typically limited.

    42. Comprehensive SBIR Services for High-Tech Firms Nationwide Resources - Avoid This: “It is unclear to the reviewers how the author intends to complete the characterization studies, given his firm’s apparent lack of the needed equipment.” ------------------------------------------------------------- “The proposer relies heavily upon the use of university-owned space and analytical equipment for the proposed work, but provides no evidence that such facilities are available--nor at what cost.”

    43. Comprehensive SBIR Services for High-Tech Firms Nationwide Resources - Avoid This: “Computer $2500, pipette set $2500, and microscope $15,000 should already be there if the principal investigator has been involved in the stem cell research as claimed.”

    44. Comprehensive SBIR Services for High-Tech Firms Nationwide The Goal “The applicant’s facility and resources are ideally suited to the research proposed. All equipment is in place and procedures for its calibration and use are formalized.” ----------------------------------- “The applicant presents a clear discussion on gaining access to required equipment from the local federal laboratory and includes a letter of support from the lab guaranteeing that access.”

    45. Comprehensive SBIR Services for High-Tech Firms Nationwide Prior/Current/Pending Don’t brag about all of the similar proposals you have sent to others This is a punitive section—not a place to sell anything If they ask for previous awards—or if you have to report your Phase II wins—they are looking for your Phase III success stories.

    46. Comprehensive SBIR Services for High-Tech Firms Nationwide Budget Follow the rules Make sure you have a good balance of direct, indirect, and fee. Provide a complete budget narrative Don’t offer too much info.

    47. Comprehensive SBIR Services for High-Tech Firms Nationwide Questions

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