Principal Investigators. Association. Provided By: Principal Investigators Association

Transcription

1 Presented By: Provided By: Principal Investigators Association Principal Investigators Association 9990 Coconut Road, Ste 316 Bonita Springs, FL

2 A Note from the Editor Dear Professional: Thank you for ordering this webinar from Principal Investigators Association Library. We developed this series of topic specific publications so our clients could have practical, how-to guidance addressing some of their most critical challenges all in one place, without searching far and wide for information on their managerial and funding activities. In addition to the numerous special reports that make up the Library, we offer a weekly e-alert, and a yearlong series of audio conferences devoted to helping you improve performance and spend more time doing what you love... the research. Our goal is to be the world s leading source of real-world, results-orientation information in all fields of science. Our unique approach -- delivering targeted guidance, case studies, success strategies, and best practices -- has earned us a reputation for depth, usefulness, and high-value information as well as a loyal group of researchers who rely on that information to help them with their administrative and funding duties. We re glad you ve joined them, and invite you to review all of our products and services at We are always on the look-out for interesting topics, researcher needs, and ways we can be of service to you. If you have a success story you d like to share with your colleagues, please do not hesitate to contact us. We d be thrilled to hear from you, and look forward to serving you and your organization with the best advice and information available in the months and years to come. Best Regards, Leslie Norins, M.D., Ph.D. Founder Principal Investigators Association 9990 Coconut Road, Suite 316 Bonita Springs, FL info@principalinvestigators.org

3 Join us on Facebook, Twitter or Linkedin Receive: Exclusive discounts and promotions Chances to attend FREE Live Webinars Free whitepapers Free expert advice And much more! Disclaimer and Copyright: This content is published by Scientific Research Resources, Inc., 9990 Coconut Road, Suite 316, Bonita Springs, FL USA. Telephone: (800) ~ Fax: (239) ~ info@principalinvestigators.org ~ Website: This transcript is endorsed as a valuable tool for continuing professional development by Principal Investigators Association. Founder: Leslie C. Norins, MD, PhD 2012 Principal Investigators Association. The entire contents of this publication are protected by Copyright, worldwide. All rights reserved. Reproduction or further distribution by any means, beyond the paid customer, is strictly forbidden without written consent of Principal Investigators Association, including photocopying and digital, electronic, and/or Web distribution, dissemination, storage, or retrieval. Report violations in confidence; a $10,000 reward is offered for information resulting in a successful prosecution. Economical rates for bulk or electronic purchases are available upon request; institutional inquiries welcome. Principal Investigators Association as well as this publication is completely independent and not controlled by any government agency, organization or society, consultancy, contractor, or vendor. It is not endorsed by, nor does it have any official connection with, the NIH or NSF. Opinions expressed by private authors are their own, and not official government opinions. Although the publisher believes the presented information is accurate, grant writing is part science, part art, and interpretations and strategies differ, even among experts. Also, individual circumstances vary. Therefore, no warranty is made that the information will apply in any particular case, or that a grant application will result in an award.

4 How to Produce a Winning NSF SBIR Phase I and Phase II Proposal Anthony J. Rhem, PhD Company LOGO Overview Overview: The primary objective of the NSF SBIR Phase I and Phase II Programs is to increase the incentive and opportunity for small firms to undertake cutting-edge, high-risk, high-quality scientific, engineering, or science research that would have a high-potential economic payoff if the research is successful. Objectives Each participant will take away strategies that can be utilized to increase your chances for funding; gain answers to the most commonly asked questions; learn what Review Panelists and Program Directors look for in the SBIR Phase I and Phase II proposals to make funding decisions 3 1

5 Objectives Key Take-aways 5 Key Take-aways: Key Points NSF SBIR Phase I Proposals Must Cover Key Points NSF SBIR Phase II Proposals Must Cover Best Practices in Developing NSF SBIR Phase I and Phase II Proposals Idea Structure for a NSF SBIR Phase I and Phase II Proposal Sample Template for NSF SBIR Phase I and Phase II Proposals 4 Introduction to the NSF SBIR Program Features of the NSF SBIR Program Technical Review Criteria Commercial Review Criteria Funding Criteria What Reviewers Consider Making The Case Key Components of the Proposal Frequently Asked Questions (FAQ s) 5 National Science Foundation National Science Board Director Dr. Subra Suresh Acting Deputy Director Office of the Inspector General Office of Cyberinfrastructure Office of International Science and Engineering Directorate for Biological Sciences Directorate for Computer and Information Science and Engineering Directorate for Education and Human Resources Office of the General Counsel Office of Legislative and Public Affairs Office of Equal Opportunity Programs Directorate for Engineering Directorate for Geosciences Directorate for Mathematical and Physical Sciences Directorate for Social, Behavioral, and Economic Sciences Office of Integrative Activities Office of Polar Programs Office of Budget, Finance, and Award Management Office of Information and Resource Management 2

6 Engineering Directorate Emerging Frontiers in Research and Innovation (EFRI) Office of the Assistant Director (OAD) Senior Advisor Nanotechnology Engineering Education and Centers (EEC) Civil, Mechanical, and Manufacturing Innovation (CMMI) Chemical, Bioengineering, Environmental, And Transport Systems (CBET) Electrical, Communications and Cyber Systems (ECCS) Industrial Innovation and Partnerships (IIP) 7 Industrial Innovation and Partnerships Division Director Kesh Narayanan Academic Partnerships Donald Senich SBIR/STTR Joe Hennessey Grant Opportunities for Academic Liaison with Industry Donald Senich AAAS Fellow Einstein Fellow Nanotechnology, Advanced Materials & Manufacturing (NM) Ben Schrag, Grace Wang Industry/University Cooperative Research Centers Rathindra DasGupta Larry Hornak Program Support Manager Amanda May Operations Specialist Greg Misiorek Biological and Chemical Technologies (BC) Prakash Balan, Greg Baxter, Ruth Shuman, Tony Walters Partnerships for Innovation Sara Nerlove Experts T. James Rudd Match-Maker George Vermont Commercialization Education Applications (EA) Glenn Larsen Electronic, Information & Communications Technologies (IC) Errol Arkilic, Juan Figueroa, Murali Nair IIP Vision & Mission Vision - To be the pre-eminent federal resource driving the expansion of our nation s innovation capacity by stimulating partnerships among industry, academe, investors, government and other stakeholders Mission IIP will enhance our nation s economic competitiveness by catalyzing the transformation of discovery into societal benefits through stimulating partnerships and promoting learning environments for innovators 9 3

7 Unique Features of the NSF Programs NSF is not the final customer NSF does not buy product/process or software or claim the intellectual property (the government does have royalty free rights) NSF wants grantees to successfully commercialize high-tech research Investment dollars beyond SBIR are needed 11 Specific SBIR Program Features Funds set-aside for SBIR SBIR = 2.5% of NSF R&D budget Grantee must be defined as a small business: Set up as a for profit organization with 500 or fewer employees At least 51% owned by US individuals SBIR Phase II special Requirement At least 50% of the R&D needs to be done by the small business 12 4

8 Technical Review Criteria Intellectual Merit Is the proposed plan a sound approach for establishing technical and commercial feasibility? To what extent does the proposal suggest and explore unique or ingenious concepts or applications? How well qualified is the team (the PI, other key staff, consultants, and subawardees) to conduct the proposed activity? Is there sufficient access to resources (materials, supplies, analytical services, equipment, facilities, etc.)? Does the proposal reflect state-of-the-art in the major research activities proposed? (Are advancements in state-of-the-art likely?) As a result of Phase I, did the firm succeed in providing a solid foundation for the proposed Phase II activity? 13 Technical Review Criteria Broader/Commercial Impact What may be the commercial and societal benefits of the proposed activity? Does the proposal lead to enabling technologies (instrumentation, software, etc.) for further discoveries? Does the outcome of the proposed activity lead to a marketable product or process? Evaluate the competitive advantage of this technology vs. alternate technologies that can meet the same market needs. How well is the proposed activity positioned to attract funding from non-sbir sources once the SBIR project ends? Can the product or process developed in the project advance NSF s goals in research and education? Does the proposed activity broaden the participation of underrepresented groups (e.g. gender, ethnicity, disability, geography, etc)? Has the proposing firm successfully commercialized SBIR/STTR supported technology where prior awards have been made? Commercial Review Criteria Market Opportunity Does the proposer succinctly describe the product or service and the customer needs? Is the business model for this innovation clearly defined? Is the model a service, product, license or other strategy? Has the company described how they are going to get the innovation to market? Can you tell where they are in the development cycle? Are the critical milestones required to get to market clearly defined? Is there some strategic reason (societal benefit) for the nation to invest in this innovation? If so, what is it? 15 5

9 Commercial Review Criteria Company/Team How mature is the company (early stage or expanding)? How big is the company and where do the entrepreneurs want to take the company? What are the financial resources? Does the company have other external funding sources such as investors or strategic partners? If there is current revenue, what are the sources of the revenue? Does the company provide revenue history over the past three years? In your opinion; how well is the team poised to take this innovation to market? Have they taken similar products to market previously? Does the company have additional outside advisors, mentors, partners and stakeholders? Is the corporate structure consistent with the company s vision? Commercial Review Criteria Product/Technology & Competition Did the company described the features of their technology? Do they provide a compelling value proposition to the customer? If so, what are they? What validation is there from the market about the proposed value proposition? What does the company think people will pay for the innovation or service enabled by the innovation? Is there any evidence that this assumption has been validated? Does the company demonstrate a realistic understanding of the cost to take this innovation to market? Who are the main competitors in the market space? Does the company clearly describe how they are going to compete: price, performance or other? Has the company adequately addressed the IP landscape? Is there evidence that a patent search has been undertaken? Is there adequate evidence that the company knows its position in the IP landscape and has a management plan for handling IP issues as they arise? 17 Commercial Review Criteria Revenue and Finance Plan Does the company demonstrate adequate knowledge for the level of financial resources it will take to get the innovation to market? Do they have a phased plan to bring these funds to the table? Is there evidence of commitment for the funding beyond the Phase II effort? Are the revenue streams for this innovation described? When will those revenues be received? When does cash-flow breakeven occur? Are the pro-formas reasonable given the state of the innovation? Has the company adequately described and tried to validate the assumptions behind the models? 18 6

10 Funding Criteria Must be high-payback, high-risk innovations with the potential for commercialization Demonstrate strategic partnerships with research collaborators, customers and equity investors NSF Does Not Fund! Evolutionary optimization of existing products and processes or modifications to broaden the scope of an existing product, process or application Analytical or market studies of technologies 19 Phase II SBIR Proposals Funds available to fund up to 30-45% of the proposals received Proposals reviewed for both technical and commercial merits Equal weight is given to both! 20 What Reviewers Consider 1) Is the project innovative, is there enough revenue that will come from it to justify a potential return to the tax payer over time in jobs and taxes. Are there any great social benefits to be obtained that may reduce our concern for complete commercialization? 2) Is their significant risk in the project that would prevent copycats from jumping in? Are their barriers to entry or can any John or Jane Doe replicate the business with a few $100K? If so, why should the government invest. 21 7

11 What Reviewers Consider 3) Is the innovation sustainable with private sector funding after the project is complete? The government is reluctant to get into situations that requires additional funding beyond the million for the company to begin commercialization. We are concerned that the company has the resources or capabilities to effectively commercialize. 22 Making The Case Your company will need to make the case to the reviewers that the government investment in funding your project makes sense to the nation. Over the course of an award, NSF expect to provide roughly $1,000,000 in funding for an innovative idea that can be commercialized. In return, the government is expecting to get these funds back in the future though tax revenue and job creation. It takes an innovative proposal with strong commercial capabilities to make this case. 23 Key Components of the Proposal Technical 1) What is the proposed innovation, what are the technical risks and how does the proposal mitigate these risks? The innovation component is extremely important and needs to be convincing, without fluffy marketing hype like the innovation is an easy to use program. 2) What are the key technology risks/problems? The proposal should not be a systems integration or straightforward development project. 24 8

12 Key Components of the Proposal Technical (cont.) 3) The feasibility project plan that clearly describes the research objectives. 4) What set of metrics will you use to assess the outcome of the innovation research described in the plan? 25 Key Components of the Proposal Key Components Commercial of the Proposal 1) What is the background of the team, why is this the right team to execute the commercialization of the proposed innovation? 2) Who is the customer for the innovation? What is the value proposition for your customer? 26 Key Components of the Proposal Key Commercial Components (cont.) of the Proposal 3) What is the size and scope of the market opportunity? You must identify how you plan to make a scalable, sustainable business from this effort. It should be detailed enough to convince reviewers that you have the ability and knowledge needed to capture a given market share from any projections you make. Those projections need to be credible (top down and bottom up market analysis). 27 9

13 Key Components of the Proposal Key Components of the Proposal Commercial (cont.) 4) What does the competitive landscape look like? Why would customers by from you instead of others? 28 Questions 29 How to Produce a Winning NSF SBIR Phase I and Phase II Proposal Dr. Anthony J. Rhem, PhD. A.J. Rhem & Associates, Inc. 500 North Michigan Ave., Suite 300 Chicago, Illinois Phone: tonyr@ajrhem.com Website:

14 The attached matrix gives some indication as to the types of projects NSF prefer to fund in SBIR. Use the matrix to get a feel for where the project would fall when being reviewed by a team of academic and commercial reviewers. You ll need to justify its position on the matrix and clearly justify the new innovations that no one else is doing. The NSF is especially receptive to projects that would classify as being on the right side of the quadrant with a green header. NSF rarely fund an evolutionary project and very unlikely to fund incremental projects. The program solicitation on is extremely important and also contains a lot of information that NSF also considers when making award decisions. The matrix might help guide you when writing your proposal as reviewers will be looking for some of the elements within that matrix. For example, serious concerns could be raised if the innovation isn t specifically pointed out, or if that innovation is similar to other projects and services. You should also be aware that commercialization is heavily considered when NSF makes award decisions. NSF reviewers will want to know the answers to three questions in which you will need to make the case for. Can your company make the product/service proposed? Can you sell it? Can you make money at it? Your partnerships and collaborations may be able to help and supportive letters are very valuable. NSF may be investing about a million dollars in a successful SBIR company so the proposal needs to reflect that it would be a wise investment for the government to make that investment with respect to future tax revenues and job creation. Effective commercialization should not be underestimated and a credible value proposition is important.

15 National Science Foundation (NSF) SBIR Proposal Template (for Phase I proposals due Dec 3, 2010) Reminders All proposals that fail to address the following items will be considered non-responsive and will be returned without review: 1. A proposal submitted after 5:00 p.m. (proposer's/submitter's local time) on the deadline date. The "Proposer" is the company and the time zone associated with the company's address will be used to determine if a proposal is late. 2. A proposal that does not contain all the required components uploaded into the appropriate FastLane module. A complete proposal consists of the following: 1. Project Summary (reference section A.9.2) 2. Project Description (15 page limit) and all 6 parts. (reference section A.9.3) 3. References Cited (reference section A.9.4) 4. Biographical Sketches (reference section A.9.5) 5. Budget and Sub-budgets (reference section A.9.6) 6. Current and Pending Support - the proposal being submitted is considered "pending support" and must be listed (reference section A.9.7). This means that ALL submitted proposals MUST contain this document, without exception. 7. Equipment, Instrumentation, Computers, and Facilities (reference section A.9.8) 8. Supplemental Docs is limited only to the following: (reference section A.9.9) 1. Letters of Support for Technology (LIMIT to 3 letters) (reference section A.9.9.1) 2. Post Doc Mentoring Plan (only for subawards) (reference section A.9.9.2) 3. Company Commercialization History (if Phase II awards were received) (reference section A.9.9.3) 4. Cooperative Research Agreement (reference section A.9.9.4) 3. A proposal with items in the Supplemental Docs section other than the following: 1. Letters of Support for Technology (limit of no more than 3 letters; reference section A.9.9.1) 2. Post Doc Mentoring Plan (required if funds are included on line "B.1 Post Doctoral Scholars" on the proposer's budget or a subaward budget; reference section A.9.9.2) 3. Company Commercialization History must be provided using the NSF template if Phase II SBIR/STTR awards are received previously (reference section A.9.9.3) 4. Letters regarding Use of Human subjects e.g. Institutional Review Board or IACUC approval of animal use (if applicable; reference section A.9.9.4) 4. An SBIR proposal with a budget exceeding $150, A proposal missing a Company Commercialization History, if a company has certified on the cover sheet that it has previously received SBIR/STTR Phase II awards. A Company Commercialization History must be provided using the NSF template (reference section A.9.9.3). 6. A proposal that has documents placed in the "Additional Single Copy Documents module in FastLane. 7. A collaborative proposal (defined as simultaneous proposal submissions from different organizations, with each organization requesting a separate award). Note: Small business concerns are encouraged to collaborate with research institutions; however, only one proposal should result. 8. A proposal lacking sufficient technical/commercial potential substance to justify review. 9. A proposal that does not fall within the scope of the topic or subtopic as delineated in the topic or subtopic description. 10. A proposal not containing research proposed in science, engineering, or education. 11. Unacceptable objectives as defined in Section IV. Comment [JL1]: Under this solicitation, SBIR Phase I proposals may be submitted for funding up to $150,000. SBIR Phase I projects run for six months. The program expects to make approximately 250 fixed amount awards. Anticipated funding amount for this solicitation is$37,500,000 (pending the availability of funds and quality of proposals). Award notification is typically four to six months from the proposal submission deadline date. Awards will have an effective date of July 1, 2011 for proposals submitted on December 3,2010. Comment [JL2]: This NSF SBIR solicitation is accepting proposals ONLY in the following four (4) broad topic areas, each of which contains multiple subtopics: Biotechnology and Chemical Technologies (BC) Education Applications (EA) Information and Communication Technologies (IC) Nanotechnology, Advanced Materials, and Manufacturing (NM) A company considering a proposal submission is encouraged to communicate (via ) with the cognizant program officer to help gauge the responsiveness to the solicitation. When contacting the cognizant program officer, please provide a brief 1-2 page executive summary with background on the: 1) company/team including experience with previous SBIR awards, 2) market opportunity, 3) technology/innovation and 4) competition. You may contact the program officer via at any time before the submission deadline. Note, however, that communication with the program officer will become increasingly difficult as the deadline nears. Comment [JL3]: Proposers are required to prepare and submit all proposals for this program solicitation through the NSF FastLane system. Instructions regarding the technical aspects of proposal preparation and submission via FastLane are at For FastLane user support, call the FastLane Help Desk at or fastlane@nsf.gov. The FastLane Help Desk answers general technical questions related to the use of the FastLane system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of the solicitation. Submission of Electronically Signed Cover Sheets. The Authorized Organizational Representative (AOR) must electronically sign the proposal Cover Sheet to submit the required proposal certifications (see Chapter II, Section C of the Grant Proposal Guide for a listing of the certifications). The AOR must provide the required electronic certifications within five working days following the electronic submission of the proposal. Further instructions regarding this process are available on the FastLane Website at:

16 Proposal Template A.9.1. Cover Sheet and Certification Comment [JL4]: A Phase I proposal must describe the research effort needed to investigate the feasibility of the proposed scientific or technical innovation. The primary objective of the Phase I effort is to determine whether the innovation has sufficient technical merit for proceeding into a Phase II project. A secondary objective is to assess potential commercial feasibility of the proposed work. Comment [JL5]: Full Proposal Instructions: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the guidelines specified in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF website at: _key=gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-PUBS (7827) or by from nsfpubs@nsf.gov. The instructions presented in this template have been excerpted directly from the solicitation instructions and are intended to supplement the GPG guidelines. Comment [JL6]: Complete topic and subtopic fields must be included on the cover sheet. All proposals must be electronically signed. For information regarding electronic signature, reference the FastLane webpage.

17 A.9.2. Project Summary Comment [JL7]: An edited version of the Project Summary will be available to the public if a proposal is awarded. The Project Summary shall be written in the third person and shall begin as follows: "This Small Business Technology Transfer Phase I project...". The summary must have ONLY the following components: 1. A summary paragraph limited to 200 words addressing the intellectual merits of the proposed activity. No proprietary information should be included in the summary. Include a brief identification of the problem or opportunity, the research objectives, a description of the research, and the anticipated results. 2. A summary paragraph limited to 200 words addressing the broader impacts/commercial potential of the proposed activity. Include information on the potential commercial value, societal impact, and enhanced scientific and technological understanding. 3. A listing of key words. The key words or phrases should identify the areas of technical expertise in science, engineering, or education which are to be invoked in reviewing the proposal; and the areas of application that are the initial target of the technology. 4. The subtopic name and subtopic letter and number. For example if a proposer designated NM/N1, this represents thetopic Nanotechnology, Advanced Materials, Manufacturing (NM) and subtopic Nanoelectronics (N1). Comment [JL8]: Suggested fonts: Major section headings Arial 14pt, bold Section subheadings Arial 12pt, bold Sub-subheadings Times New Roman 12pt, bold All text between headings Times New Roman 12pt, not bold

18 A.9.3 Project Description Part 1: Identification and Significance of the Innovation Part 2: Background and Phase I Technical Objectives Comment [JL9]: The project description shall contain the following parts in the following order and must not exceed 15 pages. Marking Proprietary Information. To the extent permitted by law, the Government will not release properly identified and marked technical and commercially sensitive data. If the proposal contains proprietary information, check the box at the bottom of the proposal cover page and identify proprietary technical data in the proposal by clearly marking the information and also providing a legend. Typically, proprietary information is marked in the text either with an asterisk at the beginning and end of the proprietary paragraph, underlining the proprietary sections, or choosing a different font type. An entire proposal should not be marked proprietary. Comment [JL10]: The first paragraph shall contain a clear and succinct statement specifying the research innovation proposed, and a brief explanation of how the innovation is relevant to meeting a need described in the subtopic narrative. Comment [JL11]: List and explain the key objectives to be accomplished during the Phase I research, including the questions that must be answered to determine the technical and commercial feasibility of the proposed concept. It is important to show how potential customer needs will be met if the research is successful. Therefore, Phase I proposers are strongly encouraged to consider commercial potential as well as the technical challenges of their research. Part 3: Phase I Research Plan Comment [JL12]: This section must provide a detailed description of the Phase I research approach. The description must include the following: A technical discussion of the proposed concept, What is planned and a detailed discussion of HOW the research will be carried out, The plan to achieve each objective, and The sequence of experiments, tests, and computations involved in the measurement of those objectives. Part 4. Commercial Potential Comment [JL13]: Proposals must describe the business opportunity to be enabled by the proposed innovation. The information contained within the Commercial Potential section should convey the scope and nature of this business opportunity. This section should briefly describe the current as well as the anticipated market landscape and the resources required to address the opportunity. The goal of this section is to justify, from a market-opportunity perspective, why a Phase I feasibility study should be undertaken. In preparing the description of the commercial potential, you are strongly encouraged to address the following four sections: market opportunity, company/team, product/competition and revenue/finance. See instructions for additional explicit requirements for each of these sections.

19 Part 5. Consultants and Subawards/Subcontracts Part 6. Equivalent or Overlapping Proposals to Other Federal Agencies A.9.4. References Cited Comment [JL14]: Keep in mind that an SBIR Phase I project requires a minimum of two-thirds of the research, as measured by the budget, to be performed by the small business concern. The balance may be outsourced to a consultant or subcontractor or a combination of the two. Comment [JL15]: Consultant: The services of each consultant must be justified within the context of the proposal. In this section of the proposal, information must be provided on each consultant's expertise, organizational affiliation, and contribution to the project. In addition, each consultant, whether paid or unpaid, must provide a signed statement that confirms availability, time commitment, role in the project, and the agreed consulting rate (not to exceed $600 per day). The maximum consulting rate under this solicitation is $600 per day (NSF defines a day as 8 hours). This rate is exclusive of any indirect costs, travel, per diem, clerical services, fringe benefits, and supplies. The signed consultant statements (with the required stated number of days at $600 per day) must be uploaded as part of the proposal budget justification. Comment [JL16]: Subaward (also known as the subcontract): Subawards (including contracts, subcontracts and other arrangements) are used for research, describe the tasks to be performed and how these are related to the overall project. A minimum of 30% of the research (as measured by the budget) must be performed by a research institution. A Co-PI from the research institution must be identified on the subaward proposal budget. Each subaward must use a proposal budget, and provide details of subaward costs by cost category. Each subawardee budget must be prepared in FastLane. See instructions for additional explicit requirements. Comment [JL17]: A firm may elect to submit proposals for equivalent or overlapping work under other Federal solicitations or may have received or expect to receive other Federal awards for equivalent or overlapping work. The firm must certify on the proposal cover page whether another Federal Agency has received this proposal (or an equivalent or overlapping proposal). See instructions for additional explicit requirements. If no equivalent or overlapping proposals are under consideration, explicitly state: NONE. NSF will not make awards that duplicate research funded or expected to be funded by other agencies, but may fund portions of work in an overlapping proposal provided the budgets appropriately reduce costs and allocate costs among the various sponsors. If a proposer fails to disclose equivalent or overlapping proposals as provided in this section, the proposer could be liable for administrative, civil or criminal sanctions. Comment [JL18]: Provide a comprehensive listing of relevant references, including patent numbers and other relevant intellectual property citations. References must be uploaded into the system.

20 A.9.5. Biographical Sketches A.9.6. Budget A.9.7. Current and Pending Support of Principal Investigator and Senior Personnel A.9.8. Equipment, Instrumentation, Computers, and Facilities A.9.9. Supplementary Docs A Letters of Support for Technology or Market Opportunity (no more than three letters) A Post Doc Mentoring Plan A Company Commercialization History Comment [JL19]: (Max. 2 pages per person.) Provide relevant biographical information for the Principal Investigator (PI) and key personnel (including consultants and key members of the subaward team). Biographical Sketches must be uploaded into the system. Comment [JL20]: The total budget shall not exceed $150,000. Budget estimates must be shown in detail in the budget justification. The budget should reflect the cost for work to be done only after the effective date of the award. See instructions for additional explicit requirements. Comment [JL21]: This section should provide information about all research to which the principal investigator and other senior personnel either have committed time or have planned to commit time (in the event that other pending projects are supported during the SBIR/STTR Phase I period of performance), whether salary for the person involved is included in the budgets of the various projects. Current and Pending Support must be uploaded into the system. The proposal being submitted is considered "pending" and therefore MUST appear in the Current and Pending Support module. See instructions for additional explicit requirements. Comment [JL22]: Provide a description that specifies the availability and location of significant equipment, instrumentation, computers, and physical facilities necessary to complete the portion of the research that is to be carried out by the proposing firm in Phase I. Purchase of permanent equipment is not permitted in a Phase I project (reference definition of Permanent Equipment). See instructions for additional explicit requirements. Comment [JL23]: Letters of support add significant credibility to the proposed effort. Letters of support should demonstrate that the company has initiated dialog with relevant stakeholders (potential customers, strategic partners or investors) for the proposed innovation and that a real business opportunity may exist should the technology prove feasible. The letter(s) must contain affiliation and contact information for the signatory stakeholder. Comment [JL24]: If a proposal requests funding to support postdoctoral researchers, a Post Doc Mentoring Plan must be included as a supplementary document. See instructions for additional explicit requirements. Comment [JL25]: The NSF template must be used; otherwise the proposal will be returned without review. A Company Commercialization History is required for all proposers certifying receipt of previous Phase II awards from any Federal agency. All items must be addressed in the format outlined in the template. (Commercialization History Template)

21 A Cooperative Research Agreement A Human Subjects Institutional Review Board or IACUC Approval for Animal Use Comment [JL26]: See the Cooperative Research Agreement (CRA) model. The proposing small business concern must provide a signed written CRA between the small business and the research institution at the time of award. For proposal submission, place a draft of the CRA or a letter stating that a CRA will be provided upon notification of award recommendation. Comment [JL27]: Refer to Chapter II, Sections D.5 and D.6 of the GPG ( ods_key=gpg). Note that in some cases, product testing involves human subjects. In addition to the information in the GPG, please refer to Look for federal-wide assurances under the Office of Human Research Protection website. Animal use in funded projects requires approval of the company or collaborating institutions' Institutional Animal Care and Use Committee (IACUC). Please refer to for additional information.

22 NATIONAL SCIENCE FOUNDATION ARLINGTON, VA Small Business Innovation Research (SBIR) -- Phase II Grant General Conditions 10/04 Table of Contents Article Subject 1. Type of Award 2. Grantee Responsibilities 3. Significant Project Changes a. Change in Objective or Scope or Transfer of the Research Effort b. Change of Principal Investigator 4. Consultant Services 5. Subaward Requirements 6. Grant Reporting Requirements 7. Payments 8. Rights in Technical Data 9. Copyrightable Material 10. Publications 11. Information Collection 12. Patent Rights 13. Equipment 14. Project Income 15. Travel 16. Audit and Records 17. Price Reduction for Defective Cost or Pricing Data 18. Site Visits 19. Suspension or Termination 20. Termination Review Procedure 21. Nondiscrimination 22. National Security: Classifiable Results Originating Under NSF Grants 23. Animal Welfare 24. Research Involving Recombinant DNA Molecules 25. Clean Air and Water 26. Human Research Subjects 27. Resolution of Conflicting Conditions SBIR-II 1 10/04

23 OTHER CONSIDERATIONS 28. Liability 29. Activities Abroad 30. Sharing of Findings, Data and Other Research Products 31. Sense of the Congress on Use of Funds 32. Increasing Seat Belt Use in the United States APPENDIX A Patent Rights (APRIL, 1992) 1. Type of Award The grant letter specifies a pre-determined fixed amount of NSF support for the project described in the referenced grant proposal. NSF anticipates that the full award amount will be paid without regard to the actual cost subsequently incurred. However, payment of this amount is subject to compliance with the award terms and conditions, including Article 6, Grant Reporting Requirements, Article 7, Payments, Article 17, Price Reduction for Defective Cost or Pricing Data, and NSF's acceptance of the reports submitted by the Grantee under Article 6. On the basis of its review of these reports and/or other pertinent information, NSF reserves the right to modify the payment schedule or suspend or terminate the award, if NSF determines that such action is appropriate. This award is not subject to the Federal Commercial Cost Principles (48 CFR Part 31), except insofar as provided under Article 19, Suspension or Termination and Article 20, Termination Review Procedure of the General Conditions. If estimated total expenditures are significantly less than the award amount, NSF reserves the right to renegotiate the amount and/or duration of this award. 2. Grantee Responsibilities The Grantee has full responsibility for the conduct of the project or activity supported under this award and for adherence to the award conditions. A minimum of one-half of the research and/or analytical effort must be performed by the Grantee. Although the Grantee is encouraged to seek the advice and opinion of the Foundation on special problems that may arise, such advice does not diminish the Grantee's responsibility for making sound scientific and administrative judgments and should not imply that the responsibility for operating decisions has shifted to the Foundation. The Grantee is responsible for notifying NSF about (1) any allegation of scientific misconduct that it concludes has substance and requires an investigation in accordance with NSF misconduct regulations published at 45 CFR 689, and (2) any significant problems relating to the scientific, technical, administrative or financial aspects of the grant. 3. Significant Project Changes The Grantee is required to notify NSF in writing and obtain appropriate approvals whenever there are significant changes in the project or its direction as set forth below: a. Change in Objectives or Scope or Transfer of the Project Effort. No change in the phenomenon or phenomena under study or the objectives of the project stated in the proposal or agreed upon modifications thereto or transfer of the project effort may be undertaken without the written approval of NSF. NSF approval of such changes will be by an amendment to the grant signed by the NSF Grants Officer. SBIR-II 2 10/04

24 b. Absence or Change of Principal Investigator. If a named Principal Investigator or Project Director (PI/PD) plans to or becomes aware that he or she will (1) devote substantially less effort to the work than anticipated in the approved proposal, (2) sever his or her connection with the Grantee organization, or (3) be absent for a continuous period of three months or more, or otherwise relinquish active direction of the project, he or she shall advise in writing the SBIR program officer and the Grantee's Authorized Organizational Representative. Such changes are subject to NSF approval or other appropriate action including termination. 4. Consultant Services Payments to individuals for consultant services under this grant shall not exceed the daily equivalent of the then current maximum rate paid to an Executive Schedule Level IV Federal employee (exclusive of indirect cost, travel, per diem, clerical services, fringe benefits and supplies). The current rate (as well as prior archived rates) is available on the NSF Web site at: 5. Subaward Requirements If it becomes necessary to transfer, by contract or other means, over $5,000, after the award is made, notification of this intent should be submitted to NSF electronically via the NSF FastLane system and electronically signed by an Authorized Organizational Representative (AOR). At a minimum, the request shall include a clear description of the work to be performed and the basis for selection of the subawardee (except for collaborative/joint arrangements; see GPM Section 313 for a definition.) NSF approval of such changes will be by an amendment to the grant signed by the NSF Grants Officer. The proposed subaward must be approved prior to its issuance. See also Article 2, Grantee Responsibilities, regarding the minimum amount of effort required to be completed by the Grantee. 6. Grant Reporting Requirements a. General. Payment of the grant amount is conditioned upon the Grantee's acceptance and compliance with the award terms and conditions which include expending the approximate personmonths proposed, submission of required reports to NSF and NSF's acceptance of the reports. The results of the Grantee's efforts under this grant are to be documented in the form of interim reports (3-5 pages) submitted on a six-month schedule and a final report. The interim reports and the final report must be submitted via the electronic project reporting system in Fastlane. The NSF Fastlane system may be accessed at < A signed SBIR Phase II Report Cover Page must be submitted to the SBIR Program Office upon commencement of the grant. The SBIR Phase II Report Cover Page will cover the entire performance period of the grant (< The interim reports and the final report must be approved by the SBIR program officer prior to release of payment In instances where a report is considered unacceptable, the SBIR program officer will reject the report in FastLane and will provide the Grantee with a written explanation for nonacceptance. b. Interim Reports. Interim reports will detail: Participants, Activities and Findings, Publications and Products, and Contributions. The report should not exceed 5 pages and must include the following information: 1. Details about progress during the reporting period. 2. Problem Encountered during the reporting period. 3. Status of commercialization activities during the reporting period. SBIR-II 3 10/04

25 The PI must also include a milestone chart covering the progress for the reporting period, a total estimate of expenditures, cumulative estimated expenditures, level of effort in person-months by the PI and key personnel (including consultants and subawardees) during the reporting period, permanent equipment and/or major purchases or supplies during the reporting period. Interim reports are due no later than 30 days after the end of the respective six-month reporting period. c. Final Report. The Phase II final report will detail: Participants, Activities and Findings, Publications and Products, and Contributions and shall have the following components. 1. Cumulative milestone information 2. A technical narrative (not to exceed 10 pages) 3. A commercialization section (not to exceed 10 pages) The milestone information must cover the actual expenditures for the entire project. The same format used for the interim reports should be used for the final milestone information. The technical narrative must address the following: a summary of the research carried out over the entire duration of the project; the extent to which the stated Phase II objectives were met; problems encountered and resolutions implemented; problems remaining or unfulfilled research objectives; highlight any unexpected results, information or events which may have affected the project could these results impact similar or related projects. The commercialization section must have the following six parts (more details concerning the commercialization section are located at: Part 1: Company Data Part 2: Funding Commitment(s) Part 3: Phase IIB Supplement Data Part 4: Products and/or Processes Part 5: Company Employment and Revenue Data Part 6: Company Commercialization Efforts The Phase II final report is due no later than 90 days after the expiration of the award. d. Annual Commercialization Report. In addition to the above reports, an annual commercialization report is required to be submitted to the SBIR program for up to five years after the expiration of the award. Failure to submit annual commercialization reports may deter selection for future awards. The commercialization report will cover the amount and type of continuing investment obtained to pursue commercialization and any products, sales, royalties, patents, spin-offs attributable to the SBIR project, as well as any changes in the company's employment levels. Instructions on the specific content and the format, can be found at: 7. Payments Unless otherwise stated in the grant letter, payments will be made by NSF as follows: Twenty -five percent (25%) advance payment will be made at the time of the award, twenty percent (20%) upon acceptance by NSF of each satisfactory interim reports (assumes a 24 month award duration), and the remainder (15%) upon acceptance by NSF of a satisfactory final report as described in Article 6 above and/or in the SBIR Program Solicitation. Request for initial advance payments should be made within 30 days of the date of the award, and must be made using an NSF SBIR Award Request for Initial Payment form ( Any interest earned on advance payments may be SBIR-II 4 10/04

26 retained by the grantee and used to further project objects. Failure to submit an acceptable and timely report will result in withholding of payment and may be grounds for suspension or termination of the award. 8. Rights in Technical Data The Grantee may retain rights in technical data, including software developed under this grant, except that the Government shall have the right to use such data for Governmental purposes. The Final Technical Report delivered under this grant, including technical data, may be made available to the public by the Government, except for that portion of the report containing technical data properly identified and marked as set forth below. To the extent permitted by law, the Government will not release properly marked technical data, such as data relating to an invention or software, outside the Government, except for evaluation purposes, for a period of four years from the expiration of the Phase II grant or of the Phase I grant, when no Phase II award is made, without approval of the Grantee. The Grantee must properly identify such data and set it off on a separate page in any submission to the Foundation. Such data must be clearly labeled as proprietary and marked with a legend similar to the following: "The following is information which (name of Grantee) requests not be released to persons outside the Government, except for purposes of evaluation, for a period of four years from the expiration date of Grant No. (the NSF grant number) or the expiration date of a follow-on Phase II grant if awarded, whichever is later." In addition to the rights vested in the Government to use such technical data during the four year period mentioned above, the Government shall retain a royalty free, irrevocable, world-wide license to use the data after the conclusion of the four year period whether or not the Grantee has sought or obtained patent protection or claimed copyright protection. 9. Copyrightable Material a. Subject writing means any material that: 1. is or may be copyrightable under Title 17 of the United States Code; and 2. is produced by the Grantee or its employees in the performance of work under this grant. Subject writings include such items as reports, books, journal articles, software, databases, sound recordings, video tapes, and video discs. b. Copyright Ownership, Government License. Except as otherwise specified in the grant or by this paragraph, the Grantee may own or permit others to own copyright in all subject writings. The Grantee agrees that if it or anyone else does own copyright in a subject writing, the Federal government will have a non-exclusive, nontransferable, irrevocable, royalty-free license to exercise or have exercised for or on behalf of the United States throughout the world all the exclusive rights provided by copyright which rights will be subject to Article 7, Rights in Technical Data. Such license, however, will not include the right to sell copies or photo records of the copyrighted works to the public. c. Grantee Action to Protect Government Interests. The Grantee agrees to acquire, through written agreement or an employment relationship, the ability to comply with the requirements of the preceding paragraphs and, in particular, to acquire the ability to convey rights in a subject writing to a foreign participant if directed by the Foundation under the previous paragraph. The Grantee further agrees that SBIR-II 5 10/04

27 any transfer of copyright or any other rights to a subject writing, by it or anyone whom it has allowed to own such rights, will be made subject to the requirements of this article. 10. Publications a. Acknowledgment of Support. The Grantee is responsible for assuring that an acknowledgment of NSF support will appear in any publication of any material based on or developed under this project, in the following terms: "This material is based upon work supported by the National Science Foundation under Grant No. (NSF grant number)." b. Disclaimer. The Grantee is responsible for assuring that every publication of material based on or developed under this grant, except scientific articles or papers appearing in scientific, technical or professional journals, contains the following disclaimer: "Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the National Science Foundation." c. Copies for NSF. The Grantee is responsible for assuring that two copies of every publication of material based on or developed under this grant, clearly labeled with the grant number and other appropriate identifying information, are sent to the cognizant NSF Program Officer promptly after publication. d. Metric System. Grantees are encouraged to use the metric system of weights and measures in all reports and publications resulting from this NSF grant. 11. Information Collection Information collection activities performed under this grant are the responsibility of the Grantee, and NSF support of the project does not constitute NSF approval of the survey design, questionnaire content, or information collection procedures. The Grantee shall not represent to respondents that such information is being collected for or in association with the National Science Foundation or any other Government agency without the specific written approval of such information collection plan or device by the Foundation. However, this requirement is not intended to preclude mention of NSF support of the project in response to an inquiry or acknowledgment of such support in any publication of this information. 12. Patent Rights Unless otherwise provided in the grant letter, the Patent Rights clause included in Appendix A applies. The Grantee will include that clause in all subawards for experimental, developmental, or research activities. 13. Equipment a. Purchase. No item of equipment over $5,000, other than items identified in the approved budget, may be purchased without the advance written approval of the SBIR Program Officer. b. Title. Title to equipment purchased with grant funds shall pass directly to the Government from the vendor. Within 30 days from the date of delivery by the vendor, the Grantee shall furnish the Foundation Property Management Officer with a full description of the equipment, including model and SBIR-II 6 10/04

28 serial number, acquisition cost (including transportation charges), and the date of acquisition. The Grantee shall be responsible for property control over Government equipment until such time as it is disposed of as directed by the Government. c. Disposition. Upon expiration of the grant, the Grantee shall provide the SBIR Program Officer with a listing of all equipment purchased with grant funds. This listing should include the acquisition cost and current estimated value of each piece of equipment as well as a recommendation from the Grantee regarding appropriate disposition. If the Grantee wishes to retain the property for continued use, the Grantee should also include a statement of the intended use as well as an indication of whether it is willing to purchase the equipment from the Government. Upon consideration of information provided by the Grantee and other relevant information, the Government will determine appropriate disposition of the equipment and will provide the Grantee with disposition instructions. 14. Project Income a. Definition. Project income refers to that portion of gross revenues, including royalties, received by or accruing to the Grantee through activities undertaken under this grant, whether received during or after the grant period. It includes, but is not limited to, proceeds from the sale, licensing, lease, rental, or other arrangement for the use, release, dissemination, or other disposal of copyrightable or noncopyrightable materials, properties, and inventions developed or produced under the grant. Income also includes any interest earned on all such revenues and proceeds. b. Standard Treatment. Unless otherwise specified in the grant, project income received or accruing to the Grantee during the period of this grant shall be retained and added to the funds committed to the project by the Foundation and used to further project objectives. The Grantee shall have no obligation to the Foundation with respect to (1) license fees and royalties for copyrighted material, patents, patent applications, trademarks, and inventions or (2) project income received after the period of this grant. c. Records Retention. The Grantee is required to retain appropriate financial and other records relating to project income earned during the grant period and for three years beyond the end of the grant period. 15. Travel a. Use of U.S.-Flag Air Carriers 1. The Comptroller General of the United States, by Decision B of June 17, 1975, as amended March 31, 1981, provided guidelines for implementation of Section 5 of the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C.1517). 2. Any air transportation to, from, between, or within a country other than the United States of persons or property, the expense of which will be assisted by NSF funding, must be performed by a U.S.- flag air carrier if service provided by such a carrier is available. 3. For the purposes of this requirement, U.S.-flag air carrier service is considered available even though: (a) comparable or a different kind of service can be provided at less cost by a foreign-flag air carrier; SBIR-II 7 10/04

29 (b) foreign-flag air carrier service is preferred by, or is more convenient for, the Foundation or traveler; or (c) service by a foreign-flag air carrier can be paid for in excess foreign currency. 4. The following rules apply unless their application would result in the first or last leg of travel from or to the United States being performed by a foreign-flag air carrier: (a) A U.S.-flag air carrier shall be used to destination or, in the absence of direct or through service, to the farthest interchange point on a usually traveled route. (b) If a U.S.-flag air carrier does not serve an origin or interchange point, a foreign-flag air carrier shall be used only to the nearest interchange point on a usually traveled route to connect with a U.S. flag air carrier. (c) If a U.S.-flag air carrier involuntarily reroutes the traveler via a foreign-flag air carrier, the foreign-flag air carrier may be used notwithstanding the availability of alternative U.S.-flag air carrier service. b. Use of Foreign-Flag Air Carriers. 1. Travel To and From the United States. Use of a foreign-flag air carrier is permissible if: (a) the airport abroad is the traveler's origin or destination airport, and use of U.S.-flag air carrier service would extend the time in a travel status by at least 24 hours more than travel by a foreignflag air carrier; or (b) the airport abroad is an interchange point, and use of U.S.-flag air carrier service would require the traveler to wait 6 hours or more to make connections at that point, or would extend the time in a travel status by at least 6 hours more than travel by a foreign-flag air carrier. 2. Travel Between Points Outside the United States. Use of a foreign-flag air carrier is permissible if: (a) travel by a foreign-flag air carrier would eliminate two or more aircraft changes en route; (b) travel by a U.S.-flag air carrier would extend the time in a travel status by at least 6 hours more than travel by a foreign-flag air carrier; or (c) the travel is not part of the trip to or from the United States, and use of a U.S.-flag air carrier would extend the time in a travel status by at least 6 hours more than travel by a foreign-flag air carrier. 3. Short Distance Travel. For all short distance travel, regardless of origin and destination, use of a foreign-flag air carrier is permissible if the elapsed travel time on a scheduled flight from origin to destination airport by a foreign-flag air carrier is 3 hours or less and service by a U.S.-flag air carrier would double the travel time. SBIR-II 8 10/04

30 16. Audit and Records a. Cost or Pricing Data. The Grants Officer or other duly authorized representatives of the National Science Foundation shall have the right to examine and audit all of the Grantee's books, records, documents and other data, regardless of form (e.g., machine readable media such as disk, tape, etc.) or type (e.g., data bases, applications software, database management software, utilities, etc.) including computations and projections, related to proposing, negotiating, pricing, or performing the grant or amendment, in order to evaluate the accuracy, completeness, and currency of the cost and pricing data. The right of examination shall extend to all documents necessary to permit adequate evaluation of the cost or pricing data submitted, along with the computations and projections used. b. Technical Performance and Reports. The Grants Officer or other duly authorized representatives of the National Science Foundation shall have to right to examine and audit books, records, other documents, and supporting materials, for the purpose of evaluating technical performance and reports under this award. c. Availability. The Grantee shall make available at its office at all reasonable times all books, documents, papers, and records pertinent to this award including the materials described in paragraphs a. and b. above, and the financial and other records relating to project income required by Article 13, for examination, audit, or reproduction, until 3 years after final payment under this grant. In addition, 1. If this grant is completely or partially terminated, the records relating to the work terminated shall be made available for 3 years after any resulting final termination settlement; and 2. Records that relate to appeals, litigation, or the settlement of claims arising out of the performance of the project shall be retained until such audits, appeals, litigation, or claims have been disposed of. d. The Grantee may transfer computer data in machine readable form from one reliable computer medium to another. The Grantee's computer data retention and transfer procedures shall maintain the integrity, reliability, and security of the original data. The Grantee's choice of form or type of materials described in paragraphs a. and b. above of this article affects neither the Grantee's obligations nor the Government's rights under this article. e. Notwithstanding any other provision in this Article, the Director of the National Science Foundation and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access to any pertinent books, documents, papers, and records of the Grantee organization, to make audits, examinations, excerpts and transcripts. Further, any negotiated contract in excess of the simplified acquisition threshold (currently $100,000) made by the Grantee shall include a provision to the effect that the Grantee, the Director of the National Science Foundation, the Comptroller General of the United States, or any of their duly authorized representatives shall have access to pertinent records for similar purposes. f. The Grantee shall insert a clause containing all the terms of this article, including this paragraph f. in all subcontracts under this grant that exceed the simplified acquisition threshold (currently $100,000), altering the clause only as necessary to identify properly the contracting parties and the Grants Officer under the NSF grant. (See Article 4, which requires NSF approval to subcontract.) SBIR-II 9 10/04

31 17. Price Reduction for Defective Cost or Pricing Data a. If any price, including profit, negotiated in connection with this grant, was increased by any significant amount because (1) the Grantee or its subcontractor furnished cost or pricing data that were not complete, accurate and current as certified in its Certificate of Current Cost or Pricing Data, (2) a subcontractor or prospective subcontractor furnished the Grantee cost or pricing data that were not complete, accurate and current as certified in its Certificate of Current Cost or Pricing Data, or (3) any of these parties furnish data of any description that were not accurate, the price or cost shall be reduced accordingly and the grant shall be amended to reflect the reduction. b. Any reduction in the grant price under paragraph a. above due to defective data from a prospective subcontractor that was not subsequently awarded the subcontract shall be limited to the amount, plus applicable overhead and profit markup, by which (1) the actual subcontract or (2) the actual cost to the Grantee, if there was not subcontract, was less than the prospective subcontract cost estimate submitted by the Grantee; provided, that the actual subcontract price was not itself affected by defective cost or pricing data. c. 1. If the Grants Officer determines under paragraph a. of this clause that a price or cost reduction should be made, the Grantee agrees not to raise the following matters as a defense: (a) The Grantee or subcontractor was a sole source supplier or otherwise was in a superior bargaining position and thus the price of the grant would not have been modified even if accurate, complete and current cost or pricing data had been submitted. (b) The Grants Officer should have known that the cost or pricing data in issue were defective even though the Grantee or subcontractor took no affirmative action to bring the character of the data to the attention of the Grants Officer. (c)the Grantee or subcontractor did not submit a Certificate of Current Cost or Pricing Data. 2. Except as prohibited by c.3. of this article, an offset in an amount determined appropriate by the Grants Officer based upon the facts shall be allowed against the amount of a grant price reduction if- (a) The Grantee certifies to the Grants Officer that, to the best of the Grantee's knowledge and belief, the Grantee is entitled to the offset in the amount requested; and (b) The Grantee proves that the cost or pricing data (or price of amendment) and that the data was not submitted before such date. 3. An offset shall not be allowed if- (a) The understated data was known by the Grantee to be understated when the Certificate of Current Cost or Pricing Data was signed; or (b) The Government proves that the facts demonstrate that the grant price would not have been increased in the amount to be offset even if the available data had been submitted before the date of the agreement on price. SBIR-II 10 10/04

32 d. If any reduction in the grant price under this article reduces the price for which payment was made prior to the date of the amendment reflecting the price reduction, the Grantee shall be liable to and shall pay the United States at the time such overpayment is repaid simple interest on the amount of such overpayment to be computed from the date(s) of overpayment to the Grantee to the date the Government is repaid by the Grantee at the applicable underpayment rate effective for each quarter prescribed by the Secretary of the Treasury under 26 U.S.C. 6621(a)(2). 18. Site Visits The Foundation, through authorized representatives, has the right, at all reasonable times, to make site visits to review project accomplishments and management control systems and to provide such technical assistance as may be required. If any site visit is made by the Foundation on the premises of the Grantee or a subcontractor under the grant, the Grantee shall provide and shall require its subcontractors to provide all reasonable facilities and assistance for the safety and convenience of the Government representatives in the performance of their duties. All site visits and evaluations shall be performed in such a manner as will not unduly delay the work. 19. Suspension or Termination a. The grant may be suspended or terminated in whole or in part, when the Foundation believes that the Grantee has materially failed to comply with the terms and conditions of the grant, including failure to provide satisfactory reports as required under Article 6, Grant Reporting Requirements, or when the Foundation has other reasonable cause, or for any reason by mutual agreement between the Foundation and the Grantee upon the request of either party, or when the parties cannot mutually agree to a termination. b. Normally, action by the Foundation to suspend or terminate a grant will be taken only after the Grantee has been informed by the Foundation of any deficiency on its part and given an opportunity to correct it; but the Foundation may immediately suspend or terminate the grant without notice when it believes such action is reasonable to protect the interests of the Government. c. No costs incurred during a suspension period or after the effective date of a termination will be allowable, except those costs which, in the opinion of the Foundation, the Grantee could not reasonably avoid or eliminate, or which were otherwise authorized by the suspension or termination notice, provided such costs would otherwise be allowable under the terms of the grant and 48 CFR Part 31. d. Within 30 days of the termination date, the Grantee will furnish a summary of progress under the grant and an itemized accounting of costs incurred prior to the termination date or pursuant to c., above. Final allowable costs under a termination settlement shall be in accordance with the terms of the grant, including this article, and the commercial cost principles contained at 48 CFR Part 31, giving due consideration to the progress under the grant. In no event will the total of NSF payments under a terminated grant exceed the grant amount, or the NSF pro rata share when cost sharing was anticipated, whichever is less. e. A notice of termination other than by mutual agreement and/or the final settlement amount may be subject to review pursuant to Article 20, Termination Review Procedure. SBIR-II 11 10/04

33 20. Termination Review Procedure a. A request for review of a notice of termination should be addressed to the Director, Division of Grants and Agreements, National Science Foundation, 4201 Wilson Boulevard, Arlington VA, It must be postmarked no later than 30 days after the date of the letter notifying the awardee of the termination or settlement. b. The request for review must contain a full statement of the awardee's position and the pertinent facts and reasons in support of such position. c. Review of a notice of termination or settlement will be conducted in accordance with GPM Section 923. d. Pending resolution of the request for review, the notice of termination shall remain in effect. 21. Nondiscrimination a. The grant and any program assisted thereby are subject to the provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d), the regulations issued pursuant thereto by the Foundation (45 CFR 611), and the Assurance of Compliance which the Grantee has filed with the Foundation. No person on the basis of race, color, national origin, or handicap shall be excluded from participation in, be denied benefits of, or otherwise be subjected to discrimination under the grant. In addition, if the project involves an education activity or program, as defined by Title IX of the Education Amendments of 1972 (20 U.S.C ), no person on the basis of sex shall be excluded from participation in the project. Further, by acceptance of the grant, the Grantee assures the Foundation that it will comply with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and the Foundation's implementing regulations (45 CFR 605). b. The Grantee shall obtain from each organization that applies to be or serves as a subrecipient, subgrantee or subcontractor under the grant (for other than the provision of commercially available supplies, materials, equipment, or general support services) an Assurance of Compliance with Title VI of the Civil Rights Act of Civil Rights Act assurances may be filed with the Grantee in one of two ways: (1) by written notification that the appropriate Assurance of Compliance form has been executed and filed either with the Foundation or the U.S. Department of Health and Human Services; or (2) by executing and filing with the Grantee an NSF Assurance of Compliance Form. The Grantee shall obtain assurances pursuant to Section 504 of the Rehabilitation Act of 1973, as amended, from subrecipients by incorporating into the subagreement a provision that acceptance of the subagreement constitutes assurance. c. The Grantee agrees to comply with the Age Discrimination Act of 1975 (42 U.S.C et seq.) as implemented by the Department of Health and Human Service regulations at 45 CFR 90 and the regulations of the Foundation at 45 CFR 617. In the event the Grantee passes on NSF financial assistance to subrecipients, this provision shall apply to the subrecipients, and the instrument under which the Federal financial assistance is passed to the subrecipient shall contain a provision identical to this provision. 22. National Security: Classifiable Results Originating Under NSF Grants a. NSF does not have original classification authority and does not normally support classified projects. It therefore does not expect that results of NSF-supported research projects will be classifiable, except in very rare instances. SBIR-II 12 10/04

34 b. Executive Order [60 Federal Register (1995)] states that basic scientific research information not clearly related to the national security may not be classified [Section 1.8(b)]. Nevertheless, some information concerning (among other things) scientific, technological or economic matters relating to the national security or cryptology may require classification [Sections 1.5(c) & (e)]. c. There may therefore be cases when an NSF awardee originates information during the course of an NSF-supported project that the awardee believes requires classification under Executive Order [Section 1.4(e)]. d. In such a case, the awardee has the responsibility to promptly: 1. submit the information directly to the U.S. Government agency with appropriate subject matter interest and classification authority, or, if uncertain which agency should receive the information, to the Director of the Information Security Oversight Office, General Services Administration; 2. protect the information as though it were classified until the awardee is informed that the information does not require classification, but not longer than 30 days after receipt by the agency with subject matter interest or by the General Services Administration; and 3. notify the cognizant NSF Program Officer. e. The Executive Order requires the agency with appropriate subject matter interest and classification authority to decide within 30 days whether to classify the material. If it determines the information to require classification, the awardee shall cooperate with that agency, NSF, or other appropriate agencies in securing all related project notes and papers. f. If the information is determined to require classification, the performing organization may wish or need to discontinue the project. 23. Animal Welfare Any awardee performing research on vertebrate animals shall comply with the Animal Welfare Act [7 U.S.C et seq] and the regulations promulgated thereunder by the Secretary of Agriculture [9 CFR, ] pertaining to the humane care, handling, and treatment of vertebrate animals held or used for research, teaching or other activities supported by Federal awards. The awardee is expected to ensure that the guidelines described in the National Academy of Science (NAS) Publication, Guide for the Care and Use of Laboratory Animals (1996) are followed and to comply with the Public Health Service Policy and Government Principles Regarding the Care and Use of Animals (included as Appendix D to the NAS Guide). NOTE--The awardee may request registration of its facility and a current listing of licensed dealers from the Regional Office of the Animal and Plant Health Inspection Service (APHIS), USDA, for the region in which its research facility is located. The location of the appropriate APHIS Regional Office, as well as information concerning this program, may be obtained by contacting the Senior Staff Officer, Animal Care Staff, USDA/APHIS, Federal Center Building, Hyattsville, MD Research Involving Recombinant DNA Molecules If this award supports research involving recombinant DNA molecules, the awardee agrees to comply with the requirements of GPM Section 712. SBIR-II 13 10/04

35 25. Clean Air and Water (Applicable only if the grant exceeds $100,000, or a facility to be used has been the subject of a conviction under the Clean Air Act (42 U.S.C. 7413(c)(1)) or the Clean Water Act (33 U.S.C. 1318) and is listed by EPA, or the grant is not otherwise exempt.) The grantee agrees as follows: a. To comply with all the requirements of section 114 of the Clean Air Act (42 U.S.C. 7414) and section 308 of the Clean Water Act (33 U.S.C. 1318), relating to inspection, monitoring, entry, reports, and information, as well as other requirements specified in section 114 and section 308 of the Air Act and the Water Act, respectively, and all regulations and guidelines issued thereunder before the award of the grant. b. That no portion of the work required by the grant will be performed in a facility listed on the Environmental Protection Agency List of Violating Facilities on the date that the grant was awarded unless and until EPA eliminates the name of such facility or facilities from such listing. c. To use its best efforts to comply with clean air standards and clean water standards at the facility in which the grant is being performed. d. To insert the substance of the provisions of this article into any nonexempt subcontract. 26. Human Research Subjects The Grantee is responsible for the protection of the rights and welfare of any human subjects involved in research, development and related activities supported by this grant. The Grantee agrees to comply with the NSF regulation, entitled, "Protection of Human Subjects, 45 CFR 690." 27. Resolution of Conflicting Conditions Should there be any inconsistency between any special conditions contained in the grant and these Grant General Conditions, the special conditions in the grant shall control. Should there be any inconsistency between these Grant General Conditions, any special conditions contained in the grant, and any NSF guides, brochures, etc., cited or included by reference in the grant, the matter should be referred to the NSF Grants Officer for guidance. OTHER CONSIDERATIONS 28. Liability The Foundation cannot assume any liability for accidents, illnesses, or claims arising out of any work supported by a grant or for unauthorized use of patented or copyrighted materials. The Grantee institution is advised to take such steps as may be deemed necessary to insure or protect itself, its employees and its property. SBIR-II 14 10/04

36 29. Activities Abroad The Grantee should assure that grant activities carried on outside the United States are coordinated as necessary with appropriate Government authorities and that appropriate licenses, permits or approvals are obtained prior to undertaking proposed activities. The Foundation does not assume responsibility for Grantee compliance with the laws and regulations of the country in which the work is to be conducted. 30. Sharing of Findings, Data, and Other Research Products a. NSF expects significant findings from research and education activities it supports to be promptly submitted for publication, with authorship that accurately reflects the contributions of those involved. It expects investigators to share with other researchers, at no more than incremental cost and within a reasonable time, the data, samples, physical collections, and other supporting materials created or gathered in the course of the work. It also encourages Grantees to share software and inventions or otherwise act to make the innovations they embody widely useful and usable. b. Adjustments and, where essential, exceptions may be allowed to safeguard the rights of individuals and subjects, the validity of results, or the integrity of collections or to accommodate legitimate interests of investigators. 31. Sense of the Congress on Use of Funds Recent Acts making appropriations to NSF provide It is the sense of the Congress that, to the greatest extent practicable, all equipment and products purchased with funds made available in this Act should be American-made and require the Foundation to notify awardees of that statement. 32. Increasing Seat Belt Use in the United States In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16, 1997, grantees are encouraged to adopt and enforce on-the-job seat belt policies and programs for their employees when operating company-owned, rented, or personally owned vehicles. Appendix A PATENT RIGHTS (APRIL, 1992) a. Definitions. 1. INVENTION means any invention or discovery which is or may be patentable or otherwise protectable under title 35 of the U.S.C., to any novel variety of plant which is or may be protected under the Plant Variety Protection Act (7 U.S.C et seq.). 2. SUBJECT INVENTION means any invention of the grantee conceived or first actually reduced to practice in the performance of work under this grant, provided that in the case of a variety of plant, the date of determination (as defined in section 41(d)) must also occur during the period of grant performance. 3. PRACTICAL APPLICATION means to manufacture in the case of a composition or product, to practice in the case of a process or method, or to operate in the case of a machine or system; and, in each case, under such conditions as to establish that the invention is being utilized and that its benefits are to the extent permitted by law or Government regulations available to the public on reasonable terms. SBIR-II 15 10/04

37 4. MADE when used in relation to any invention means the conception or first actual reduction to practice of such invention. 5. NON-PROFIT ORGANIZATION means a domestic university or other institution of higher education or an organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. 501(c)) and exempt from taxation under section 501(a) of the Internal Revenue Code (26 U.S.C. 501(a)) or any domestic non-profit scientific or educational organization qualified under a State non-profit organization statute. b. Allocation of Principal Rights. The grantee may retain the entire right, title, and interest throughout the world to each subject invention subject to the provisions of this Patent Rights clause and 35 U.S.C With respect to any subject invention in which the grantee retains title, the Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the U.S. the subject invention throughout the world. If the grant indicates it is subject to an identified international agreement or treaty, the National Science Foundation (NSF) also has the right to direct the grantee to convey to any foreign participant such patent rights to subject inventions as are required to comply with that agreement or treaty. c. Invention Disclosure, Election of Title and Filing of Patent Applications by Grantee. 1. The grantee will disclose each subject invention to NSF within two months after the inventor discloses it in writing to grantee personnel responsible for the administration of patent matters. The disclosure to NSF shall be in the form of a written report and shall identify the grant under which the invention was made and the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding of the nature, purpose, operation, and, to the extent known, the physical, chemical, biological or electrical characteristics of the invention. The disclosure shall also identify any publication, on sale or public use of the invention and whether a manuscript describing the invention has been submitted for publication and, if so, whether it has been accepted for publication at the time of disclosure. In addition, after disclosure to NSF, the grantee will promptly notify NSF of the acceptance of any manuscript describing the invention for publication or of any on sale or public use planned by the grantee. 2. The grantee will elect in writing whether or not to retain title to any such invention by notifying NSF within two years of disclosure to NSF. However, in any case where publication, on sale, or public use has initiated the one-year statutory period wherein valid patent protection can still be obtained in the U.S., the period for election of title may be shortened by NSF to a date that is no more than 60 days prior to the end of the statutory period. 3. The grantee will file its initial patent application on an invention to which it elects to retain title within one year after election of title or, if earlier, prior to the end of any statutory period wherein valid patent protection can be obtained in the U.S. after a publication, on sale, or public use. The grantee will file patent applications in additional countries or international patent offices within either ten months of the corresponding initial patent application, or six months from the date when permission is granted by the Commissioner of Patents and Trademarks to file foreign patent applications when such filing has been prohibited by a Secrecy Order. 4. Requests for extension of the time for disclosure to NSF, election, and filing under subparagraphs 1., 2., and 3. may, at the discretion of NSF, be granted. d. Conditions When the Government May Obtain Title. The grantee will convey to NSF, upon written request, title to any subject invention: SBIR-II 16 10/04

38 1. if the grantee fails to disclose or elect the subject invention within the times specified in paragraph c. above, or elects not to retain title; provided that NSF may only request title within 60 days after learning of the failure of the grantee to disclose or elect within the specified times; 2. in those countries in which the grantee fails to file patent applications within the times specified in paragraph c. above, but prior to its receipt of the written request of NSF, the grantee shall continue to retain title in that country; or 3. in any country in which the grantee decides not to continue the prosecution of any application for, to pay the maintenance fees on, or defend in a reexamination or opposition proceeding on, a patent on a subject invention. e. Minimum Rights to Grantee. 1. The grantee will retain a non-exclusive royalty-free license throughout the world in each subject invention to which the Government obtains title, except if the grantee fails to disclose the subject invention within the times specified in paragraph c. above. The grantee's license extends to its domestic subsidiaries and affiliates, if any, within the corporate structure of which the grantee is a party and includes the right to grant sublicenses of the same scope to the extent the grantee was legally obligated to do so at the time the grant was awarded. The license is transferable only with the approval of NSF except when transferred to the successor of that part of the grantee's business to which the invention pertains. 2. The grantee's domestic license may be revoked or modified by NSF to the extent necessary to achieve expeditious practical application of the subject invention pursuant to an application for an exclusive license submitted in accordance with applicable provisions at 37 CFR 404. This license will not be revoked in that field of use or the geographical areas in which the grantee has achieved practical application and continues to make the benefits of the invention reasonably accessible to the public. The license in any foreign country may be revoked or modified at discretion of NSF to the extent the grantee, its licensees, or its domestic subsidiaries or affiliates have failed to achieve practical application in that foreign country. 3. Before revocation or modification of the license, NSF will furnish the grantee a written notice of its intention to revoke or modify the license, and the grantee will be allowed thirty days (or such other time as may be authorized by NSF for good cause shown by the grantee) after the notice to show cause why the license should not be revoked or modified. The grantee has the right to appeal, in accordance with applicable regulations in 37 CFR 404 concerning the licensing of Government-owned inventions, any decision concerning the revocation or modification of its license. f. Grantee Action to Protect Government's Interest. 1. The grantee agrees to execute or to have executed and promptly deliver to NSF all instruments necessary to: (i) establish or confirm the rights the Government has throughout the world in those subject inventions for which the grantee retains title; and (ii) convey title to NSF when requested under paragraph d. above, and to enable the Government to obtain patent protection throughout the world in that subject invention. 2. The grantee agrees to require, by written agreement, its employees, other than clerical and nontechnical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the grantee each subject invention made under this grant in order that the grantee can comply with the disclosure provisions of paragraph c. above, SBIR-II 17 10/04

39 and to execute all papers necessary to file patent applications on subject inventions and to establish the Government's rights in the subject inventions. The disclosure format should require, as a minimum, the information requested by paragraph c.1. above. The grantee shall instruct such employees through the employee agreements or other suitable educational programs on the importance of reporting inventions in sufficient time to permit the filing of patent applications prior to U.S. or foreign statutory bars. 3. The grantee will notify NSF of any decision not to continue prosecution of a patent application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a patent, in any country, not less than 30 days before the expiration of the response period required by the relevant patent office. 4. The grantee agrees to include, within the specification of any U.S. patent application and any patent issuing thereon covering a subject invention, the following statement: "This invention was made with Government support under (identify the grant) awarded by the National Science Foundation. The Government has certain rights in this invention." 5. The grantee or its representative will complete, execute and forward to NSF a confirmation of a License to the U.S. Government within two months of filing any domestic or foreign patent application. 6. The grantee or its representative will forward to NSF a copy of any U.S. patent covering a subject invention within two months after it is issued. g. Subcontracts. 1. The grantee will include this Patent Rights clause, suitably modified to identify the parties, in all subcontracts, regardless of tier, for experimental, developmental or research work. The subcontractor will retain all rights provided for the grantee in this Patent Rights clause, and the grantee will not, as part of the consideration for awarding the subcontract, obtain rights in the subcontractors' subject inventions. 2. In the case of subcontracts, at any tier, when the prime award by NSF was a contract (but not a grant or cooperative agreement), NSF, subcontractor, and contractor agree that the mutual obligations of the parties created by this Patent Rights clause constitute a contract between the subcontractor and the Foundation with respect to those matters covered by this Patent Rights clause. h. Reporting on Utilization of Subject Inventions. The grantee agrees to submit on request periodic reports no more frequently than annually on the utilization of a subject invention or on efforts at obtaining such utilization that are being made by the grantee or its licensees or assignees. Such reports shall include information regarding the status of development, date of first commercial sale or use, gross royalties received by the grantee and such other data and information as NSF may reasonably specify. The grantee also agrees to provide additional reports in connection with any march-in proceeding undertaken by NSF in accordance with paragraph j. of this Patent Rights clause. As required by 35 U.S.C. 202(c)(5), NSF agrees it will not disclose such information to persons outside the Government without the permission of the grantee. i. Preference for United States Industry. Notwithstanding any other provision of this Patent Rights clause, the grantee agrees that neither it nor any assignee will grant to any person the exclusive right to use or sell any subject invention in the U.S. unless such person agrees that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the U.S. However, in individual cases, the requirement for such an agreement may be waived by NSF upon a showing by the grantee or its assignee that reasonable but unsuccessful efforts have been made to grant licenses on similar terms to potential licensees that would be likely to manufacture substantially in the U.S. or that under the circumstances domestic manufacture is not commercially feasible. SBIR-II 18 10/04

40 j. March-in Rights. The grantee agrees that with respect to any subject invention in which it has acquired title, NSF has the right in accordance with procedures at 37 CFR and NSF regulations at 45 CFR to require the grantee, an assignee or exclusive licensee of a subject invention to grant a non-exclusive, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances and if the grantee, assignee, or exclusive licensee refuses such a request, NSF has the right to grant such a license itself if NSF determines that: 1. such action is necessary because the grantee or assignee has not taken or is not expected to take within a reasonable time, effective steps to achieve practical application of the subject invention in such field of use; 2. such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the grantee, assignee, or their licensees; 3. such action is necessary to meet requirements for public use specified by Federal regulations and such requirements are not reasonably satisfied by the grantee, assignee, or licensee; or 4. such action is necessary because the agreement required by paragraph i. of this Patent Rights clause has not been obtained or waived or because a licensee of the exclusive right to use or sell any subject invention in the U.S. is in breach of such agreement. k. Special Provisions for Grants with Non-profit Organizations. If the grantee is a non-profit organization, it agrees that: 1. rights to a subject invention in the U.S. may not be assigned without the approval of NSF, except where such assignment is made to an organization which has as one of its primary functions the management of inventions, provided that such assignee will be subject to the same provisions as the grantee; 2. the grantee will share royalties collected on a subject invention with the inventor, including Federal employee co-inventors (when NSF deems it appropriate) when the subject invention is assigned in accordance with 35 U.S.C. 202(e) and 37 CFR ; 3. the balance of any royalties or income earned by the grantee with respect to subject inventions, after payment of expenses (including payments to inventors) incidental to the administration of subject inventions, will be utilized for the support of scientific or engineering research or education; and 4. it will make efforts that are reasonable under the circumstances to attract licensees of subject inventions that are small business firms and that it will give preference to a small business firm if the grantee determines that the small business firm has a plan or proposal for marketing the invention which, if executed, is equally likely to bring the invention to practical application as any plans or proposals from applicants that are not small business firms; provided that the grantee is also satisfied that the small business firm has the capability and resources to carry out its plan or proposal. The decision whether to give a preference in any specific case will be at the discretion of the grantee. However, the grantee agrees that the Secretary of Commerce may review the grantee's licensing program and decisions regarding small business applicants, and the grantee will negotiate changes to its licensing policies, procedures or practices with the Secretary when the Secretary's review discloses that the grantee could take reasonable steps to implement more effectively the requirements of this paragraph k.4. SBIR-II 19 10/04

41 l. Communications. All communications required by this Patent Rights clause should be sent to: Patent Assistant Office of the General Counsel National Science Foundation 4201 Wilson Boulevard Arlington, VA SBIR-II 20 10/04

42 SBIR and STTR Webinar Series: The Who, What, When and How of These Federal Grants Leading experts have carefully designed this Webinar series to help you decide: Who should really apply for these grants; who you should turn to for advice What are some important differences between these two grants; what it takes to be competitive vs. merely "compliant"; what you can do to increase your odds of winning When should you participate; when and how to prepare before writing your next proposal; when you win/when you don't: next steps to take How to accurately evaluate your probability for failure vs. success under these programs; how to make rational BID/NO BID decisions; how to handle cost estimates and develop budget proposals, and more! In this Webinar series, each Webinar completely covers one important facet of the SBIR/STTR grant application process, and the series presents four different and equally significant facets. Each Webinar is complete unto itself for the facet it covers. Webinar Series Topics Include: SBIR and STTR: Are these the Right Grants for You? Choose your preferred format: CD-ROM, MP4 or PDF Transcript. *All formats include handouts. SBIR Proposal Structure for Academic Investigators Choose your preferred format: CD-ROM, MP4 or PDF Transcript. *All formats include handouts. Secrets of SBIR Cost Portion: How to Project the Right Indirect Rate for You Choose your preferred format: CD-ROM, MP4 or PDF Transcript. *All formats include handouts. The Do's & Don'ts of Cost Sharing: From the Proposal to the Close-Out Choose your preferred format: CD-ROM, MP4 or PDF Transcript. *All formats include handouts. Click here to learn more about this Series. Limited-Time Offer Valid Until August 15th! Get the entire webinar series for only $249 $199! Simply enter code SBIR50 during check-out! PLUS! Receive complimentary copies of special reports Are SBIR and STTR Grants Right for You? and Secrets of SBIR Cost Portion: How to Project the Right Indirect Rate For You a total savings of $700+! Secrets of SBIR Cost Portion: Executive Report: How to Project the Right Indirect Rate for You Are SBIR and STTR Grants Right for You? Order Online, Call Stephanie at (800) ext. 506 or stephanie@principalinvestigators.org

43 NIH Grants & Funding WEBINARS! Call ext. 506 or visit: 60-Minute On-Demand Webinars: Academic Research Enhancement Award (R15) Grants Available in CD-ROM, MP4 or PDF Transcript - only $197! Look below for your coupon! Finding Your IMPACT Niche: Tips & Tricks of the Impact Section Available in CD-ROM, MP4 or PDF Transcript - only $197! High Risk, High Reward: What Your R21 Should Be Available in CD-ROM, MP4 or PDF Transcript - only $197! Data Management Plans for Successful NIH and NSF Grants Available in CD-ROM, MP4 or PDF Transcript - only $197! Budgeting Your Research: Budget Strategies That Support Your NIH Proposal Available in CD-ROM, MP4 or PDF Transcript - only $197! How to Increase Your Priority Score in a Revised NIH Proposal Available in CD-ROM, MP4 or PDF Transcript - only $197! The Art and Science of Writing K08 or K23 Career Development Grant Application Available in CD-ROM, MP4 or PDF Transcript - only $197! Application Review Strategies: What to Look for Before You Hit the Submit Button Available in CD-ROM, MP4 or PDF Transcript - only $197! $50 OFF TAKE AN EXTRA $50 OFF ANY WEBINAR OF YOUR CHOICE! Choose from various topics: grants and funding, lab management, compliance, intellectual property & more! Choose from Live or On-Demand (CD, MP4 or PDF Transcript). Call ext. 506 and mention code RPTFLY50 to redeem your coupon. Offers cannot be combined. One coupon per person.