1. The Ins and Outs of NIH SBIR Contracts and Grants (Grants) Andre D. Walker, B.S. Grants Management Specialist National Heart, Lung, and Blood Institute Office of Grants Management Thursday, October 24, 2014

2.  What differentiates SBIR/STTR Grants and Contract  How to hear about and submit proposals in response to SBIR contract solicitations  Some of the unique requirements of contracts vs. grants, such as reporting and OMB requirements In This Session, You Will learn…. 2

3.  What is a Grant?  A financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity. What differentiates SBIR/STTR Grants and Contract? 3

4. Omnibus Solicitation for SBIR Grants Solicitation for SBIR Contracts Scope of the proposal Investigator-defined (within mission of NIH) Defined by the NIH (focused topics) Solicitation FrequencyApril, August, December (3X/year)~ August (Once per year) Questions pre-award? May speak with Program Officer and Grants Management MUST contact the contracting officer Basis for Award Priority Score/Programmatic Review Proposal Scores, PO review, Negotiations with Offeror SubmissionElectronic (Grants.gov)Paper Submission Awardee DashboardeRA CommonsNo dashboard Reporting Final report (Phase I); Annual progress reports (Phase II) Monthly/Quarterly progress reports Phase II transition May apply as soon as Phase I aims are completed All contractors invited by the NIH 1x/year to submit Phase II proposal* Set-aside of funds for particular areas? NOYES

5.  Know your application’s review date  eRA Commons  Check your score  Check your IC’s current funding plan  Search Payline, Funding Plan, ask a PO/GMS  Read your summary statement  You will want to address comments in either a resubmission or in your next Phase application  Talk to your Program Official and Grants Management Specialist Unique Requirements after Submission…

6.  Just In Time information  Requested ~4 weeks before Council  http://grants.nih.gov/grants/peer/jit.pdf http://grants.nih.gov/grants/peer/jit.pdf -Current other support -IRS Form W-9 -Certifications –IRB, IACUC –Human Subjects Education –Human Embryonic Stem Cell registration –SBIR/STTR Funding Agreement –Financial Systems Questionnaire Unique Requirements after Submission…

7.  Just In Time information continued…  http://grants.nih.gov/grants/peer/jit.pdf http://grants.nih.gov/grants/peer/jit.pdf –SAM Registration –Key Personnel Other Support –SBIR Registry –Venture Capital Operating Companies Unique Requirements after Submission…

8.  Read your Notice of Award  When do you need to submit: -Financial information (invoices, audits) -Progress Reports (annual and/or final) -Phase 2 application may be accepted in lieu of Phase 1 Final Progress Report  Talk to your Program Official  Talk to your Grants Management contact  Maintain your SAM registration (annually) After Funding…

9.  Within 90 days of the end of the grant budget period  Final Progress Report (see the NOT-OD-12-152 for current requirements) -http://grants.nih.gov/grants/funding/sbirsttr1/2014-2_SBIR-STTR- topics.pdfhttp://grants.nih.gov/grants/funding/sbirsttr1/2014-2_SBIR-STTR- topics.pdf  Final Invention Statement and Certification (HHS 568) -http://grants.nih.gov/grants/hhs568.pdfhttp://grants.nih.gov/grants/hhs568.pdf  Annual Invention Utilization Reports -http://grants.nih.gov/grants/policy/nihgps_2011/nihgps_ch8.htm#_Toc 271264954http://grants.nih.gov/grants/policy/nihgps_2011/nihgps_ch8.htm#_Toc 271264954  Federal Financial Report (FFR) -http://era.nih.gov/files/ffr_user_guide.pdfhttp://era.nih.gov/files/ffr_user_guide.pdf  Phase II Data Collection Requirement for Government Tech-Net Database – if applicable SBIR/STTR Final Reporting Requirements

10. Andre D. Walker Grants Management Specialist National Heart, Lung, and Blood Institute email: walkera@mail.nih.govwalkera@mail.nih.gov Office: 301-435-0151 10 Contact