A Seminar on the SBIR 2.0 Joint-Agency Robotics Solicitation 11/11/2010© Fred Patterson – The...

A Seminar on the SBIR 2.0Joint-Agency Robotics Solicitation

11/11/2010 © Fred Patterson – The SBIR Coach® 1

Presented by Fred Patterson – The SBIR Coach®

Robotics Technology Development & Deployment (RTD2)

Seminar Agenda• SBIR Overview• RTD2 Overview• The Proposal Process– Required Registrations– Proposal Preparation– Proposal Submission

• Review and Evaluation Process• Funding Processes• What happens beyond Phase I?


3

The R&D Funding Challenge

• High-Risk Projects are tough to fund• Funding sources are demanding– Banks insist on collateral and debt service – Investors want equity, “a voice”, and a schedule of

their profitable returns• Friends and Family • Angels• Venture Capitalists

11/11/2010 © Fred Patterson, The SBIR Coach®

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The Holy Grailof R&D Funding

• Willingness to fund high-risk projects• R&D capital without debt to service• An Investor who won’t take equity• Protection for Intellectual Property• Support for Commercialization• All of the above from one source

We’ve just described the basic characteristics of The SBIR Program!


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SBIR Program Overview

• Mission: Apply entrepreneurial spirit of small business to solve tough problems

• Matchmaking Federal R&D needs to small business capabilities

• Required planning for commercialization• The SBIR “set-aside” must be spent annually by

the largest Federal agencies


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Actually,It’s Two Programs

• SBIR (Small Business Innovation Research)

– Applicants are Small Businesses

• STTR (Small Business Technology Transfer)

– Applicants are Small Businesses in partnership with a Research Institution


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How Much Moneyis Available in FY 2011?

• SBIR – Approx. $2 Billion– 2.5% of the R&D budget of the qualifying

Federal Agencies.

• STTR – Approx. $250 Million– 0.3% of the R&D Budget of the qualifying

Federal Agencies


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The SBIR “Pie”

DODHHSNASADOENSFDHSUSDAEPADOCDOEdDOT

DOD

HHS

NASA

DOE

NSF

TOTAL FY 2011TOTAL FY 2011>$2¼ Billion>$2¼ Billion

Labeled Agencies also do STTRs


11/11/2010 © Fred Patterson, The SBIR Coach® 9

Agency SBIR Differences• Granting Agencies

Investigator proposes project approach Less-specified topics Assistance mechanism More flexibility

DOD HHS/NIHNASA DOEdEPA DOT DOC DHS

• Contracting AgenciesAgency specifies the project

requirements Highly focused topics FAR-driven procurement More fiscal requirements

DOEd NSF DOE USDA DOD HHS/NIH DHS

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SBIR ProgramApplicant Eligibility

• A small business (500 employees) owned by individuals ( >50% ) who are US Citizens or Legal Resident Aliens , and is US located, and independently operated

• Organized for making a profit• Principal researcher (The PI) must be

principally employed by the small business (or the research institution if STTR*)

* For most agencies


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A CompetitiveThree-Phase Program

• Phase I: Feasibility

• Phase II: Proof-of-Concept

• Phase III: Commercialization


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Phase I Conceptual Design

Awards are made up to $150,000 for 6-12 months to support the

conceptual feasibility and design of the solution using the technological

approach of the proposer.


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Phase IIPrototype Development

Awards of up to $1,000,000, for as many as two more years, expand the Phase I

design to “proof of concept” and evaluation of

commercialization potential.


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Phase IIICommercialization

No SBIR set-aside funds support this phase.

During this period the developer moves the innovation from the

laboratory into “end use” in the marketplace.


© Fred Patterson, The SBIR Coach®, 2010 15

Who Owns the Intellectual Property?

• The Applicant does!• Full rights are retained for– Technical Data– Patentable Inventions

• But you have to take the appropriate measures to protect your IP or the Government can eventually take it over!

© Fred Patterson, The SBIR Coach®, 2010 16

SBIR Phase IDynamics

• Phase I Topics – “The RFP”

• Proposal preparation and submission

• Proposal review and evaluation

• Phase I project selection

Robotics Technology Development & Deployment (RTD2)


http://grants.nih.gov/grants/guide/pa-files/PAR-10-279.html

FOA: PAR-10-279

All proposals submitted to this FOA will be reviewed and considered for Award by all five participating Agencies!

Key Dates


The Topics


The Topics (cont.)


Award Information


NIH SBIR Application Protocols



The Technical Proposal

SIXPAGELIMIT

3 Website Registrations


Getting Authorized to Submit

• Form Your Company (Sole Proprietor / LLC / S or C Corp)– Obtain a DUNS Number– Obtain an IRS EIN (Tax-ID) optional but strongly suggested

– Open a Business Bank Account• Register in the Central Contractor Registry (CCR)• Register on Grants.gov– Obtain AOR credential

• Register on the NIH’s eRA Commons– Obtain SO credential and associate the PI


Download the Application Template


Grants.gov (cont.)


Preparing the Proposal


LET’S LOOK AT THE ADOBE FORMS TEMPLATE USING ADOBE READER 9

Preparing the Proposal

• Fill in the Forms and upload all proposal elements to the Template per the current NIH Proposal Guide:


Submitting the Proposal

• AOR – Upload proposal to Grants.gov by 5PM Dec 20th

– Receive confirmation email with your GRANT#• If all elements verified as OK the proposal is passed on to NIH• If errors are found:

– Fix errors (Forms related - not proposal content related)– Re-submit as “Corrected”

• PI – Receives confirmation email from eRA Commons– Must check Status for Warnings and Errors– Fix Errors and re-submit through Grants.gov– Extra 2-days allowed to fix errors


Proposal Review Process

• Proposal is first screened in a “Streamlining” Process Administered by the NIH’s Center for Scientific Review (CSR) – “Best half” are sent to a 2nd-level Peer Review (Study

Group) for discussion and scoring– Rest are only given a cursory review by the CSR and

are neither discussed nor scored• Applicants are provided a written summary of the

reviewers opinions – PI must retrieve it from the eRA Commons.


Proposal Review Process


Who Performs the Review?


• Both the “streamling” preliminary review and the Study Group Review for discussion and scoring will be conducted by – Representatives of all Five Participating Agencies– Others who have “Robotics” backgrounds– Others ?

• All Agencies will consider all proposals submitted under this FOA.

Scored Review Criteria


NIH Peer Review Scoring System


Funding Process

• The Reviewed Proposals and the Reviews will be directed to the appropriate Agency (or Agencies) for a funding decision.

? ? ? ? ? ? ? ? ? ? ? ?

• Don’t let the uncertainty of who funds what deter you from submitting.


The Optional Cover Letter


The Optional Letter of Intent


What Next? Phase II?


What Next? Phase II?


Standard NSF Phase II Polices and Procedures will apply.

My Advice to Applicants

• Yes, the NIH submission process can be a nightmare, but if you follow instructions carefully you can get through it successfully.

• Don’t give up! If you can get through it you’ll have a decent chance as many will have given up in frustration.

• Don’t make the Cover Letter the only place where you identify the Agency and Topic you’re applying to.

• Do discuss commercialization strategy.• Leave PLENTY of time for registrations.• Get some help!



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A Seminar on the SBIR 2.0 Joint-Agency Robotics Solicitation 11/11/2010© Fred Patterson – The...

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