Lessons Learned: Common Mistakes Made in Phase I & II Proposals

National SBIR ConferenceAustin, Texas

December 1-3, 2015

Jim Greenwood, GCGI, ModeratorPrakash Balan, NSF

Doug Deason, DOD MDALuis Mederos, NASA

Common Phase I & II MistakesPHASE I • Proposal content

– Technical• Problem statement, definition

– Failure to make a compelling statement of why problem is important and must be solved– Failure to make a statement that is relevant to the agency and topic– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

• Work plan– Too vague: NIH “approach” section should be 3.5 pages of 6 page research strategy, 4-6 pages in

DOE 15 page project narrative– Not explaining “how” you are going to do the work– NIH: Not including preliminary research in “approach” section– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

Common Phase I & II MistakesPHASE I • Proposal content

– Technical• Team

– Team members who don’t have academic &/or work experience in relevant areas– NIH: PI doesn’t need to be a PhD, but…– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

• Other– Too much background detail– Assuming reviewers “can figure it out” rather than explaining what you want them to understand

and conclude– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ___________________________________________________________

Common Phase I & II MistakesPHASE I • Proposal content

– Commercialization– NIH: only room for 1-2 short paragraphs on commercialization in PhI proposal– DOE: MUST include 2+ page commercialization plan in Ph I proposal & MUST attach to Other Proj Info form – ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

• Proposal mechanics – Writing tips, advice

– Write so it is easy to read; no benefit to being convoluted or using obscure terms– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

– Electronic submission– NIH, DOE, USDA, NIST: Register on grants.gov far in advance of deadline, begin upload 5 days before deadline– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

– Omitted mandatory attachments, other– DOE: MUST attach commercialization plan, and must be on Field 12 of “Other Project Information” form– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

Common Phase I & II MistakesPHASE II • Proposal content

– Technical– Summarize Ph I project: Say you proved feasibility of your innovation in Ph I (& explain how); show you

can do good R&D; assume reviewer won’t read any final report– Detailed work plan: you’re asking for $1-1.5 million, so justify it– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________

– Commercialization– NIH: detailed commercialization plan (~12 pages) is a must– DOE: Detailed 15pp com plan with significant financial data (NPV, ROI, etc)– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________– ____________________________________________________________