Presentation from AAPS PharmSci360 (October 23, 2023) in which I describe highlights of my Springer/AAPS book Winning Grants (https://link.springer.com/book/10.1007/978-3-031-27516-6) - presenting a 'how to' guide on writing small business grants - e.g. NIH STTR and SBIR grants. Written by someone experienced in winning such grants.

1. Monday, Oct 23, 12:00 – 1:00 pm ET
Sean Ekins, Ph.D., D.Sc.
How to Win a (Small Business) Grant

2. Slide 2
Session Description and Objectives
• Hear from an experienced grant writer and
author of the new book Winning Grants. Learn valuable insights on the entire grant-writing
process to help you write—and win—the funding
you need, including:
• Whether to collaborate or submit a solo grant
• What to do before you start writing your
proposal
• How to write and edit a proposal that stands
out and connects positively with grant
reviewers.
• Steps you can take after submittal to increase
your odds of winning
• We will focus on small
business grants (Small
Business Innovation
Research and Small
Business Technology
Transfer grants) to help
you build your firm and
protect intellectual
property.

3. Slide 3
Biography and Contact Information
• CEO Collaborations Pharmaceuticals, Inc.
• >27 years of Pharma experience
• Published > 360 papers
• Written and won numerous grants from the U.S.
National Institutes of Health and Department of
Defense totaling close to $30M over the past 18
years.
• Contact me sean@collaborationspharma.com

4. Slide 4
• GeneGo – 2005 Phase II SBIR $750,000
• Snowden – 2007 3 STTRs $890,000
• CDD – 2010- 2018 4 STTR and SBIRs ~$2.8M
• Phoenix Nest - 2014-2018 5 STTRS ~$7.5M
• CPI - 2016-PRESENT >20 grants ~$17.3M
A Brief History of my Grant Funding
STTR, SBIR, R01,
UG2/UH3,DOD,
DTRA, matching
grants…

5. Slide 5
Company Funding
• S-Corp - sole owner and board member. No VC or angel funding.
• Can convert to Delaware C-Corp easily
• Software and pipeline development funded by NIH or DoD funding ($17.3M)
• Profit from customers reinvested to fund patents and Internal R&D
Tuberculosis
Ebola, Chagas
HIV, Batten
Countermeasures
Acetylcholinesterase
Inhibitors
Tuberculosis
Metabolism of
Organophosphates
Opioid Abuse

6. Slide 6
Our Story
Founded in 2015
Pre-clinical stage company
Develops software for drug discovery and consumer product
applications
>20 grants funded (~$17M) since 2016
3 Labs ~2,000 sqft incubator space at NC State University
9 orphan drug designations for rare & neglected diseases
3 pediatric rare disease designations
Multiple patents filed
7 trademarks
Collaborations Pharmaceuticals, Inc.

7. Slide 7
Over a decade
ago I tried to
synthesize how
to write grants
faster…

8. Slide 8
I Wrote a Book on Winning Grants
• Could I help others to win grants
• Could the reader learn from my experience
• Writing it down helped me understand my method
• Provide a template to win grants!
• Pro tip: Listen to reviewers and do what they want

9. Slide 9
Who is the Target Audience for the Book
• Anyone new to grants
• Academics, industry
• Anyone starting a company looking to fund it with
grants
• Someone hired to win grants
• Inspire younger scientists
• Older scientists wanting a change of direction
• Families wanting to start a company to treat their
children with a rare disease
• All ages !
• Pro tip: Ideally having a credible CV

10. Slide 10
Why you Should do it
• You cannot win a lottery
unless you buy a ticket
• You cannot win a grant unless
you write one
• You are in control of your
destiny
• No VC
• Money to develop products
• America’s seed fund

11. Slide 11
Why go after a Small Business Grant
• Cycles Jan 5, April 5, Sept 5,
• I find the Jan 5 cycle is best as
perhaps fewer people submit
• Luck, timing can make a
difference

12. Slide 12
What you Need to do Before you Write
a Grant
• Decide which grant to pursue
• Read the instructions
• Pro tip: Have an idea of what you want to do

13. Slide 13
Overview
• $1.3bn set aside for NIH STTR / SBIR
• $2bn set aside for Defense STTR / SBIR
• Payline is higher than for academic grants
• Payline for SBIR better than STTR –
varies by NIH group
• Academics need a company to go after
these grants
• Pro tip: This is non-dilutive funding –
nearly free money

14. Slide 14
What a Grant will not Fund
• Legal fees / patent fees
• Sales / Marketing
• But you can add a 7% fee
on a small business grant
- use that for anything

15. Slide 15
How to do it – What you Need to Begin
Initially STTR/SBIR
Need for an academic collaborator (if STTR)
You need a Principal Investigator (STTR or SBIR)
You need a company
You need to do ~ 5 registrations on govt websites, grants.gov, Commons etc…
You need an idea of what you want to write
A phase 1 grant does not need preliminary data..but it helps
Pro tip: You may need some preliminary data (does not have to be data you
generated)

16. Slide 16
The Idea
• It does not have to be a truly novel
idea, but practical implementation
• Need to think what the product will be
• Software, molecule, device etc.
• Can you do it – do you have the skills
/ facilities
• What will your company do, offer
• How will you sell or license it
• Check grant topics – on website
• Apply to a specific topic vs Omnibus
• Pro tip: get into the habit of
constantly having ideas

17. Slide 17
Go Solo or Collaborate?
• It’s a double-edged sword
• If you collaborate you have to be organized earlier
• Collaborators will want a good slice of budget
• Who owns IP?
• Add credibility if your CV is not in the field
• Do what is in the best interest of the grant
• If you don’t have a collaborator, find one - ideal for first time grantees
• Go after an academic – STTR -
• Instant access to a lab and credibility
• Leverage their facilities and equipment
• Pro Tip: Have a back-up plan if you have to replace a collaborator

18. Slide 18
What the Entrepreneur Needs to Know
• Learn how to do it by working for
someone else -
• Small business grants – 3
opportunities / yr to submit
• Phase I
• Phase II
• Fast track – Phase I and Phase II
• Direct to Phase II
• Pro tip – start small

19. Slide 19
• STTR – you need to collaborate with an academic/ institute – Must do 40%
of the work and the institute must do at least 30% minimum.
• SBIR – you can collaborate with an academic etc..upto 33% of grant goes
to them in Phase I and 50% in Phase II.
• SBIR ..or you can keep all the money for your company
• SBIR normally 6 months – 1 yr. $295,924
• STTR normally 1yr $295,924
• Phase 2 – 2-3 years for a total of $1,710,531
• Straight to Phase II, Fast track etc…
• Pro tip : Some grants have budget exemptions so you can ask for
even more $$$$
The Small Print

20. Slide 20
DOD Grants
• Look for whitepapers listing topics
• Differences in format, layout requirements etc.
• DTRA also like to have a powerpoint that summarizes the
proposal – Quad chart

21. Slide 21
The Grant Package – NIH
• Cover letter
• Aims – 1 page
• Summary – 1 page
• Narrative – 4-5 sentences
• Strategy - 6 pages
• References - unlimited
• Data and Software Sharing Plan
• Budget justification
• Facilities – unlimited
• NIH Multiple-PI Leadership Plan
• Animal Justification
• Biosketches – 5 page max per person
• Letters of support – from companies and collaborators
• Authentication of Key Biological and/or Chemical Resources
• Pro tip : Make sure you have everything needed and check for new forms
Doing the first grant is like climbing a mountain!
Once you have everything the next is easier

22. Slide 22
I write a single doc
• Keeps it all together
• Helps with editing / tracking pages used
• Can move text around easier
• When finished – create individual docs and save
as pdfs
• Saves time – takes about 15-20 min
• Then these PDFs get uploaded into the grants
package forms on grants.gov or uploaded in
ASSIST
• Pro tip: To create docs and save is as simple
as cut and paste

23. Slide 23
Biosketch
• You could do this before writing a grant
• Spend time on making this look polished
• Go into considerable detail about yourself
• Sell yourself
• Make sure its upto date
• Add your Papers – and highlight your contribution
• Tailor the biosketch to the grant topic
• 5 page max
• Format changes regularly
• Different grants want different style – some may be
shorter
• Pro tip: This is a living document – keep it fresh –
demonstrate that you can do it – impress the
reviewers

24. Slide 24
Facilities and Equipment
• You can write before the grant
• Unlimited pages
• Show that you have the space, equipment
• add pictures
• Add an org chart
• List SAB,
• Details on computers
• Tell them about any products you have
developed already
• Pro-tip: This is extra space – use it

25. Slide 25
Phase II Grant
• Write a report on the work done so far in Phase I..
Which is included in..
• 12-page strategy doc laying out what you want to do in
Phase II
• 12-page commercialization
• Provide examples of applications / collaborations
• Pro tip: A phase II grant is significantly more
work than a Phase I – 4-5x

26. Slide 26
Aims
• Try to make a concise overview of project
• Give brief aims / milestones of grant and make sure these are
identical in Strategy
• Use the whole page
• This needs to be really tight & well written.
• It will be read closely.

27. Slide 27
• I. Significance
• Overview
• Improvements to scientific capabilities
• Impact on practice if aims are achieved
• Commercialization pathway
• II. Innovation
• III. Approach
• Specific aims and overall research strategy
• Phase 1 progress report
• Preliminary studies prior to phase I
• Methodology
• Milestones and benchmarks for success
• Expected outcomes
• Problems, alternative strategies and risk assessment
• IV. Scientific rigor
Strategy – 6 pages (P1) 12 pages (P2)
Create a compelling story
Show why it matters
Demonstrate that you can do it!

28. Slide 28
Commercialization – 12 pages
Value of project, expected outcomes and impact
Company – describe what you do and who is on your team
Market, customer, and competition – tables help compare products
Intellectual property (IP) protection – what patents do you have
Finance plan - projections
Production and marketing plan
Revenue stream
Pro tip - Keep it real – do not make it up!

29. Slide 29
• If it’s a resubmission you get a page to respond to reviewers
• Do this after writing everything
• Address the main topics
• Keep it clear
• Do not assume you will get the same reviewers as previously
• Show them you agree, thank them
• Show what additional work you have done
• Pro tip: Keep it civil
Introduction – 1 page

30. Slide 30
The Main Event – Writing It
Writing a grant - the first
time is stressful
Make sure you give
yourself extra time
You are literally building
the plane and learning
how to fly in one go
Everything will take
more time than you
imagine the first time
Once you have the
documents you have
invested the time and
next time is easier
Need to make sure you
are consistent across
documents – Aims,
Summary, Strategy etc.
Start small – draft a
summary
If you have a paper use
that to help draft the
strategy
If you are doing with a
collaborator – need to
build in time for
University to approve it
Do as much to help
people – even draft the
letters of support
Close any perceived
gaps / holes in the text
you spot – write
defensively
Pro tip: Take a break
and revisit it later –
print it out and read

31. Slide 31
Edit, Polish, Shine and Repeat
• Check its single spaced
• Editing is an important skill
• Once may not be enough!
• Iterate for a few cycles – perhaps 4 minimum
• Focus on Abstract and Strategy
• Check units - figure numbers, special characters (mM vs mM)
• Have others read it too
• Remember to update the bibliography
• Create a checklist if needed
• Print it out
• Pro tip: Knowing when to stop editing is an art

32. Slide 32
Are you Ready to Submit it?
Once you have
everything you are
ready to upload
Make sure you allow
plenty of time to do
this and to correct
errors
Most systems have
error checking built
in
•Grants.gov vs ASSIST
It is still possible to
upload the wrong
grant and submit it- I
know I have done it
Check the final PDF
conversion
Keep checking – then
submit
Pro tip: You will want
to check everything
goes through OK in
Commons.
Plan to submit 2 days ahead

33. Slide 33
What Happens Next
• The study section
• The review
• Triage/ score
• Reviews /Comments
• With a bit of luck you get a
good score…

34. Slide 34
Post-Submission Steps to Win the Grant
• Provide update/publication info. before review
• Just in time – (JIT) - do it in a timely manner
• Respond to reviewer comments for committee
meeting – focus on resume & summary
comments
• NIH will request lots more information as you get
closer to probable funding
• Get the notice of award (NoA) - celebrate
• Pro tip: Help the program officer do their job

35. Slide 35
An SBIR Case Study from CPI
• I met the parent of a child with rare disease – she pointed me to a shelved
therapeutic asset that lacked funding
• Which led to the following !
Puhl et al., GEN Biotechnology 2023

36. Slide 36
Get Visibility for your Product & Research
• Do a press release (PR) when you get a grant, list
grant number
• If its an STTR try to get the university to do PR
• Reach out to local papers, TV channels if you have
a major milestone/ discovery
• Post on LinkedIn, social media

37. Slide 37
Afterthoughts
• Are you ready to submit more than 1 grant /
cycle
• Yes, try to aim for different study sections
• Explore submitting different grant types
• Do a new grant each SBIR/STTR cycle = 3 /
year
• Do a grant in a day
• Go after bigger grants - center grants
• Don’t give up easily

38. Slide 38
10 pro tips
• Read the grant instructions carefully.
• Give yourself plenty of time to write your first grant
• Get a colleague to read it before you submit it.
• Submit everything requested
• Polish your Biosketch and Aims

39. Slide 39
10 pro tips
• Include really good quality letters of support
• In Phase II grants Commercialization is important
• Check for typos and gaps
• Print out the proposal and read it
• Respond to all the major reviewer comments

40. Slide 40
As a Reviewer What Really Bugs me!
Aka What Not to do
• Proposals without molecule
structures
• Standard error of mean or Standard
deviation
• Cramming too much in – less is more
• Tiny text on figures
• “data not shown”
• Not using full 12 pages for
commercialization
• Leaving pages empty

41. Slide 41
When you get a Grant
• Now you have the official responsibility for it
• Draw down funds etc.
• Annual report
• Close out of grant
• If you get more grants - you may need help with book-keeping

42. Slide 42
References
• https://grants.nih.gov
• https://www.sbir.gov
• https://seed.nih.gov
• https://grants.nih.gov/grants/how-to-apply-application-
guide/resources/sample-applications.htm

43. Slide 43
Questions and Contact Info
Ask me anything!
What did I miss that you need to know?
GOOD LUCK!
Contact me
sean@collaborationspharma.com

44. Slide 44
Acknowledgments
• Ana Puhl
• Thomas Lane
• Fabio Urbina
• Patricia Vignaux
• Maggie Hupcey
• Our many collaborators on grants over the years
• NIH and DOD for funding
• Springer /AAPS