Preparing a Competitive Proposal

1
Preparing a Competitive Proposal
2
There is no grantsmanship that will turn a bad
idea into a good one, but there are many proposal
writing techniques that will disguise a good
idea.

• --Deputy Director of NIH

3
A Competitive Proposal is

• Compliant
• Compelling
• Consistent
• Cost Effective

4
Compliant
Checklist

• Submit on-time
• Submit precisely in specified format
• paper/disk/other
• page count
• fonts/margins/line spacing/forms
• foldouts/drawings/graphics/photos
• certifications and representations
• corporate brochures/information
• appendices/add-on materials

5
. . . compliant

• Submit exact of copies forms (or
  electronically or both)
• Submit original signatures
• Submit budget/cost detail
• Follow outline given/implied in solicitation

6
Compelling

• Innovation is king
• Responsive to agency need
• Improvement from/over current situation
• Credible plan, personnel, facilities and costs

7
. . . compelling

• Highly readable
• proper english
• no jargon
• few acronyms
• useful figures/tables/etc.
• Evaluation factors clearly visible well met

8
Internally Consistent Mutually Supportive

• Technical proposal
• Budget/cost proposal
• Appendices attachments

9
Cost Effective

• Customer gets what he wants to pay for
• true/best solution
• direct labor vs. overhead/GA
• career enhancement
• Worth the risk (both business and technical)
• Best value

10
Technical officers/White Paper

• Name address of proposing agency
• Importance of the problem
• Technical objectives
• Work plan
• Anticipated results and benefits
• Name qualifications of PI
• Cost duration of project

11
Before The Writing Process Begins
Important!!!

• Utilize SBIR support services in your state
  and/or SBIR Consultants
• Evaluating the topic fit
• Brainstorming
• Planning for reviews/Identifying reviewers
• Seeking potential Phase II/III partners
• Developing a checklist Timeline

12
Proposal Objective

• Represents a new concept
• Extends an existing theory
• Provides a quick, new solution
• Improves the current solution

13
Proposal Writing Process

• Conducting literature search
• Organizing information
• Outline
• Develop themes
• Draft work plan
• Draft complete proposal
• Reading review
• Technical review
• Final draft
• Desktop publishing

14
Dont write in a vacuum. Do patent and
literature searches before you begin.

• --Mark Henry, Bend Research.

15
General Information Sources

• In-house knowledge
• Outside consultants
• Publications
• Direct agency contacts
• Technology specific on-line searches
• Information Brokers with access to
  subscription-based databases not generally
  available.

16
Organizing Information

• Technical Literature
• Marketing Information
• Personnel Profiles
• Facilities Equipment Information
• Budget Figures
• Current Contract Information

17
Outline of NASA Proposal

• Proposal Cover Form (9A)
• Proposal Summary Form (9B)
• Technical Proposal
• Table of Contents
• Identification Significance of the Innovation
• Technical Objectives
• Work Plan
• Related R/RD

18
Outline...

• Key Personnel and Bibliography of Directly
  Related Work
• Relationship with Phase II or Future R/RD
• Company Information Facilities
• Subcontracts Consultants
• Commercial Applications Potential
• Similar Proposals and Awards

19
Winning Themes

• Commercial potential
• True innovativeness
• Satisfy agency or public need
• Past RD successes
• Productivity enhancements
• Foreign competitive threats
• Fit of project to SBIR

Source Writing SBIR proposals, Washington
Publishing Group
20
Non-Winning Themes

• Look how cheaply we can do this work
• This is incredibly urgent
• Look how much I know about this topic
• Source Writing SBIR proposals, Washington
  Publishing Group

21
Proposal Requirements (NASA)

• No more than 25-8 X 11 ½ inch pages
• A page is a single side of a piece of paper
• What counts towards the page limit?
• Proposal Cover (Form 9A)
• Proposal Summary (Form 9B)
• Technical Proposal (11 parts as shown in the
  outline)
• Summary Budget (Form 9C)
• Numbered consecutively at the bottom
• One inch margins
• No type size small than 10 point (Anywhere!)

22
Cover Form 9A

• Provide complete information for each item and
  submit the form as required in Section 6.
• Title shall be concise and descriptive of the
  proposed effort.
• The title should not use acronyms or words like
  "Development of" or "Study of."
• The NASA research topic title must not be used as
  the proposal title

23
Proposal Summary Form 9B

• Complete information for each item and submit
  Form 9B as required in Section 6.
• Limited to 200 words
• Summarize the implications of the approach and
  the anticipated results of both Phase I and Phase
  II.
• Potential commercial applications of the
  technology
• Abstracts determined to be Non-responsive to the
  subtopic will be rejected without further
  evaluation.

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Abstract

• A sentence on the significance of the Innovation
• A sentence on what aspect of the technology is
  the current problem
• A sentence on your proposed solution
• A sentence or two on your methodology
• A sentence on your expected results
• A sentence on commercial viability

The abstract is read first, but written last
25
Table of Contents
Part 1

• Part 1 Table of Contents........................
  ..................................Page 3
• Part 2 Identification and Significance of the
  Innovation ...............TBD
• Part 3 Technical Objectives ....................
  .......................................TBD
• Part 4 Work Plan................................
  ................................................TB
  D
• Part 5 Related R/RD ...........................
  ........................................... TBD
• Part 6 Key Personnel and Bibliography of
  Directly Related Work ...TBD
• Part 7 Relationship with Phase II or Future
  R/RD ........................ TBD
• Part 8 Company Information and Facilities
  .......................................TBD
• Part 9 Subcontracts and Consultants
  .................................................T
  BD
• Part 10 Commercial Applications Potential
  ......................................TBD
• Part 11 Similar Proposals and Awards
  .............................. .............TBD

Each STTR proposal must also contain a
Cooperative R/RD Agreement between the Small
Business and Research Institution, which is
included as part of the 25-page limit.
26
Identification Significance of the Innovation
(initial paragraph)
Part 2

• A clear and succinct statement of the specific
  innovation proposed, and why it is an innovation
• A brief explanation of how the innovation is
  relevant and important to meeting the technology
  need described in the subtopic. The initial
  paragraph shall contain no more than 200 words.
• NASA will reject proposals that lack explanation
  of the innovation.
• Subsequent paragraphs may also include
  appropriate background and elaboration to explain
  the proposed innovation.

27
Identification Significance of the Innovation
(subsequent paragraphs)
Part 2

• Innovation Identification (75 of a page)
• Primary Technology Aspect addressing (1 para)
• Issues related to the use of the technology,
  generally indicating a present barrier to
  widespread acceptance (1 paragraph)
• Specific problem Phase I proposal will address (1
  paragraph table with parameters of interest)

Source Real World Guide to Writing EXCELLENT
SBIR proposals
28
Identification Significance of the Innovation
(subsequent paragraphs)
Part 2

• Proposed Approach (1/2 Page)
• Outline the tasks you will be performing to
  accomplish your Phase I goal.
• Clearly indicate a sound scientific research or
  development program for the particular goals.
• Clearly state the criteria for feasibility.

Source Real World Guide to Writing EXCELLENT
SBIR proposals
29
Identification Significance of the Innovation
(subsequent paragraphs)
Part 2

• Technical Background (3 pages)
• Why technology area has gained increased
  attention
• Elaborate on the first major breakthrough for the
  technology (build from there until you detail the
  technology which you will be developing
• Explain (un)known parameters (theoretical
  practical)
• Elaborate on the experiments.
• Tell how the experiments will provide the
  feasibility test
• Use tables, graphs, figures equations
• Conclude by stating the purpose of the proposed
  Phase I research.

30
Be aware that reviewers could be state of the
art.

• --Mark Henry, Bend Research.

31
Technical Objectives ( 1 page)
Part 3

• Provide a brief overview of your work plan
• Spell out the organization of the Phase I project
  with respect to four or five tasks (3-4 sentences
  per task)
• Summarize Tasks in Table form
• Show overall project schedule

32
The Work Plan ( 8 pages)
Part 4

• Indicate who, what, when, where, why and how it
  will be done.
• The methods planned to achieve each objective or
  task should be discussed in detail.
• Schedules, task descriptions and assignments,
  resource allocations, estimated task hours for
  each key personnel, and planned accomplishments
  including project milestones shall be included.
• Discuss possible problems
• Use matrices, tables, flowcharts, schematics,
  figures to support the text

33
Related R/RD ( 50-75 page)
Part 5

• Describe significant current and/or previous
  R/RD that is directly related to the proposal
  including any conducted by the PI or by the
  offeror.
• Describe how it relates to the proposed effort
  and any planned coordination with outside
  sources.
• This section may include concise bibliographic
  references in support of the proposal if they are
  confined to activities directly related to the
  proposed work.

34
Key Personnel and Bibliography of Directly
Related Work( 3 pages)
Part 6

• Identify key personnel whose expertise and
  functions are essential to the success of the
  project. Provide bibliographic information
  including directly related education and
  experience.
• Functions
• Qualifications
• Eligibility (PI)

35
Relationship with Phase II or Future RD (50
page)
Part 7

• State the anticipated results of the proposed
  effort if the project is successful (through
  Phase I Phase II).
• Discuss the significance of the Phase I effort in
  providing a foundation for the Phase II R/RD
  continuation.

36
Company Information Facilities (1 page)
Part 8

• Allow the evaluators to assess the ability of the
  offeror to carry out the proposed Phase I and
  projected Phase II and Phase III activities.
• Describe the relevant facilities and equipment,
  their availability, and those to be acquired, to
  support the proposed activities.
• NASA will not fund purchase of equipment,
  instrumentation, or facilities under Phase I
  contracts as a direct cost. Special tooling may
  be allowed.
• The capability of the offeror to perform the
  proposed activities and bring a resulting product
  or service to market must be indicated.
  Qualifications of the offeror in marketing
  related products or services or in raising
  capital should be presented.

37
Subcontracts Consultants( 50 page)
Part 9

• If none, state so.
• If so . . .
• Detail the functions, services, number of hours
  and labor rates.
• Detail his/her expertise/publications
• Have entity or individual write a letter of
  commitment detailing that they will be available
  at the times required for the purposes and extent
  of effort described in the proposal. Failure to
  provide certification(s) may result in rejection
  of the proposal. (Alternative Use text box
  within proposal containing their signature)

38
Commercial Applications Potential (1 page)
Part 10

• Product or Service Commercial Feasibility
• Describe the contemplated commercial product
  and/or service, the corresponding commercial
  venture
• Market Feasibility and Competition
• Describe the target market niche including the
  distinction between U.S. Government and other
  markets
• Strategic Relevance to the Offeror
• Describe the relevance of the targeted commercial
  venture to the offeror's current business
  segments
• Key Management, Technical Personnel
  Organizational Structure
• Describe the skills experience of key
  management and technical personnel relevant to
  bringing innovative technology to commercial
  application
• Production and Operations
• Describe business development progress to date
  regarding the contemplated commercial venture
• Financial Planning
• Describe the amounts and sources of private
  financial resources expended/ committed to date
  with respect to the technology development and to
  business development

39
Similar Proposals and Awards
Part 11

• A firm may elect to submit proposals for
  essentially equivalent work under other federal
  program solicitations. However, NASA will not
  fund duplicate proposals for essentially
  equivalent work under any Government program.
• For all such cases, the following information is
  required
• The name and address of the agencies to which
  proposals have been or will be submitted, or from
  which awards have been received
• Dates of such proposal submissions or awards
• Title, number, date of solicitations under
  which proposals have been or will be submitted or
  awards received
• The specific applicable research topic for each
  such proposal submitted or award received
• Titles of research projects
• Name and title of the principal
  investigator/project manager for each proposal
  that has been or will be submitted, or from which
  awards have been received.

40
Budget

• Summary Budget (Form 9C)
• include it and any explanation sheets, if needed,
  as the last page(s) of the proposal
• Property
• Costs for materials may be included. "Materials"
  means property that may be incorporated or
  attached to a deliverable end item or that may be
  consumed or expended in performing the contract
• Travel
• Travel during Phase I is not normally allowed to
  prove technical merit and feasibility of the
  proposed innovation
• Profit
• Yes
• Cost Sharing
• Allowed, but not required

41
Addendum

• The SBA requires offerors, who have received gt 15
  Phase II awards from all agencies in the prior 5
  fiscal years, to report those awards and their
  progress toward commercialization.
• Information for each Phase II contract shall
  include
• Name of awarding agency
• Date of award and date of completion
• Funding agreement number and amount
• Topic or subtopic name
• Project title
• Sources, dates and amounts of federal and/or
  private sector Phase III follow-on funding
  agreements
• Post-Phase II commercialization activities,
  including development, marketing, sales, and
  projections

42
Help Desk

• e-mail sbir_at_reisys.com
• telephone [phone] between 800 a.m. - 500
  p.m. (Mon.-Fri., Eastern Time)
• facsimile 301-937-0204

43
Submission

• Electronic Submission
• Entire Proposal including forms 9A, 9B 9C.
• Optional Briefing Chart (Do it!)

44
Internet Submission

• Technical Proposal
• Strongly encouraged to submit as a PDF. If you
  dont they will and conversion may change
  formatting to an unfavorable presentation
• DO A VIRUS CHECK WITH UPDATED VIRUS FILES.
• Embed your graphics (attachments are less
  desirable)

45
Dressing it up and finishing it off

• Fonts
• Section subsection headings
• Beforehand agreements
• Checklist

46
Checklist

• Use agency checklist
• Create own checklist
• Set deadlines
• Make notes to guide future proposal efforts

47
Checklist

• Cover Letter
• Title Page
• Abstract Page
• Signatures
• Figures, photos, graphs
• Proper pagination
• Headers/Footers

48
Proposal Hints

• Respond to your business and technical expertise
• Become familiar with the agency
• Be sure that the agency is familiar with you
• Structure the project to fit within the rules and
  within your business plan
• Address all required sections of the proposal
• Seek out an independent, qualified reviewer
• Tell the story twice

49
If your project is bigger than SBIR funding,
then break up the project into multiple parts.

• --Deputy Director of NIH

50
Weaknesses of SBIR Proposals

• Lack of knowledge of prior work or
  state-of-the-art
• Unknown/unpublished PI
• Inadequate facilities/equipment
• Start-up company
• Phase I/Phase II funding is inadequate

Source Writing SBIR proposals, Washington
Publishing Group
51
More reasons proposals are rejected

• Lack of sound technical approach
• Not relevant to agency program
• Inadequate Phase II or Phase III potential
• Unclear or invalid concept

52
more tips . . .

• Consider audience
• Have plenty of lead time
• Adhere to the agencys suggested proposal order
• Use headings
• Use graphics
• Incorporate references in the text
• Use short paragraphs
• Be honest
• Source Real World Guide to Writing Excellent
  SBIR Proposals, Allen Enterprises

53
Reviewers are looking for an excuse to quit
reading.

• --Mark Henry, Bend Research

54
more hints . . .

• Know your topic before receiving the solicitation
• Personally contact technical officer before
  solicitation opens
• Solve the technical officers problem

55
Selection Process (NASA)

• Administrative screening
• Technical review
• Commercial Review
• Program manager funding decision

56
Selection Criteria (NASA)

• Scientific/Technical Merit and Feasibility (50)
• Experience, Qualifications and Facilities (25)
• Effectiveness of the Proposed Work Plan (25)
• Commercial Merit and Feasibility (Adjectively)
• Commercial Potential of the Technology (Phase II)
• Demonstrated Commercial Intent of the offeror
• Capability of the offeror to bring successfully
  developed technology to commercial application

57
What if you lose?

• _at_(!

58
If at first you dont succeed try, try again.

• --John Davis, JADE Research Corporation

59
Benefits of Debriefing

• Learn how to compete better
• Improve technical approach
• Make new contacts
• Seek guidance on appropriate budget levels
• Improve focus of the proposal
• Receive a copy of the evaluations

60
Debriefing

• Debriefings will be available via e-mail.
• Debriefings are not opportunities to reopen
  selection decisions.
• They are intended to acquaint the offeror with
  perceived strengths and weaknesses of the
  proposal and perhaps identify constructive future
  action by the offeror.

61
What if you win?

• !!!!!!!

62
Accounting tips

• Know the rules or find someone that does know the
  rules to help you get started.
• Accounting system must be in accordance with
  generally accepted accounting principles handle
  government contract accounting
• During early part of Phase I contract, have
  pre-award survey accounting system review
  performed.

63
Payment (NASA)

• Fixed Price Contract
• One-third at the time of award (net 30)
• One-third at project midpoint with Interim
  Technical Report (net 30)
• Remainder upon acceptance of the final report
  (all other deliverables) by NASA (net 30)
• Electronic funds transfer will be employed.

64
Thoughts for Phase II

• Good feasibility report
• Continued contact with technical liaison
• Extensive literature search
• More emphasis on commercialization

65
?????