1. Cleantech Open
2013 Webinar Series
Tuesday, July 30, 2013
Session 2: Alternative Sources of Funding - Grants

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Global Partner

3. 3 Cleantech Open Confidential Information – All Rights Reserved
National Sponsors

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Thank You To All Our Sponsors!

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The Summer Program – July – September 2013
Date Time
(PDT)
Session I – Worksheets Time
(PDT)
Special Topic Sessions
7/9
1:30 to
2:30pm
Business Model Canvas (Review)
2:45 to
4:00pm
LaunchPad Central (Review)
7/16
1:30 to
2:30pm
Product/Market Fit
2:45 to
4:00pm
Systems Review, PR 101
7/23
1:30 to
2:30pm
Markets and Getting to Them
2:45 to
4:00pm
Term Sheets
7/30
1:30 to
2:30pm
Product/Technology Validation
2:45 to
4:00pm
Alternative Sources of Funding - Grant
Writing / Crowd Sourcing
8/6
1:30 to
2:30pm
Financials Analysis & Planning
2:45 to
4:00pm
IP Licensing from 3rd Parties
8/13
1:30 to
2:30pm
Legal Environment, Issues and Risks
2:45 to
4:00pm
Cap Tables
8/20
1:30 to
2:30pm
Management Team
2:45 to
4:00pm
Working with the Utilities
8/27
1:30 to
2:30pm
Sustainability
2:45 to
4:00pm
Tell Your Story, Sell Your Story
(Communicating value to stake holders)
9/10
1:30 to
2:30pm
Last Chance For Questions
9/11
1:30 to
2:30pm
Investor Presentation
Mentor Assessment
2:45 to
4:00pm
Mock Judging, Regional Awards, Global
Forum

6. 6 Cleantech Open Confidential Information – All Rights Reserved
Session 2: Alternative Sources of Funding: Grants
2:45pm – 4:00pm, PDT
• Cleantech entrepreneur
• Designer
• Recipient of 3 DOE grants
Speaker:
John Breshears
President at Architectural Applications

7. finding and securing grant support –
some hints and tips for non-dilutive funding
john breshears, president & ceo
architectural applications
July 30, 2013

8. introduction

9. what we do
target markets
investment
founded
headquarters
architectural applications, inc.
product development
intellectual property licensing
high performance buildings consulting
commercial & residential building owners & operators
$1.8M to date
2011, C-corporation
Portland, OR

10. the opportunity: global population
>50
%

11. the opportunity: electricity used for building a/c
50
%
41
%
32
%

12. solution
large-scale,
membrane-based
exchangers

13. funding history
us department of energy,
advanced research projects – energy (arpa-e)
proof-of-concept grant
2010-2011, 12 months, $458,265 +
us department of energy,
small business technology transfer grant, phase 1 (sttr)
technical feasiblity grant
2011-2012, 9 months, $99,979
us department of energy,
small business technology transfer grant, phase 2 (sttr)
development & demonstration grant
2012-2014, 24 months, $937,833 +

14. grant /grant/
A sum of money given by an organization, esp.
a government, for a particular purpose.

15. what
funding and other types of support
typically does need to be repaid
usually non-diluting capital
frequently few or no IP rights compromised (need to verify)
grants vs. cooperative agreements

16. why
mission-driven
philanthropic
indirect goals-driven

17. where
federal government
state & local governments
utilities
non-profits
foreign governments

18. how
identifying
proposing
executing

19. identifying
locating opportunities that fit
with your product

20. all-agency
federal database:
grants.gov

22. looking directly at individual
federal agencies:

23. • advanced research projects – energy (arpa-e)
• energy efficiency & renewable energy
• electricity delivery & energy reliability
• nuclear energy
department of energy:

24. department of energy:
https://arpa-e-foa.energy.gov

25. department of energy:
http://www1.eere.energy.gov/buildings/technologies/index.html

26. department of defense:
• many branches : army, navy, air force, darpa, etc.
• largest agency budget  most grant opportunities
• own customer
• multiple layers of administration
• award process tends to take time

27. department of defense:
http://www.defenseinnovationmarketplace.mil/RIF.html

28. national science foundation
environmental protection agency
department of agriculture
department of the interior
national aeronautics & space agency
other agencies:

29. sbir - small business innovation research
(small business only)
sttr - small business technology transfer
(small business with research institution)
small business
administration:

30. sbir / sttr:
• set-aside required of every federally-funded agency
(% of budget DEDICATED to funding r&d by small
businesses)
• administered jointly through sba and agency
• granting agencies vs. contract agencies

31. sbir / sttr:
http://www.acq.osd.mil/osbp/sbir/

32. sbir / sttr:
• each agency issues 2-3 funding calls annually
• must begin with phase I
• topics are released in advance
• typically a q & a period during which program managers
can be approached for discussion/clarification
• once the formal call for proposals is issued, no further
communication with pm’s is permitted

33. sbir / sttr: topics example

34. sbir / sttr: topics example

35. sbir / sttr: 3-phase sequence
phase 1
feasiblity,
proof-of-
concept
6-9 months
$100-150k
phase 2
phase 3
full r&d
24 months
$1M (max) demonstration,
commercialization
tbd
non-sbir gov’t. funds

36. locating – non-federal sources
• state governments
e.g. california energy commission (cec)
new york state energy r & d authority (nyserda)
• utilities
• incubator/accelerator organizations
• economic development organizations
• non-profits
• foreign governments
e.g. singapore, china, & others

37. questions so far….?

38. proposing

39. proposing
• project work scope
• project schedule
• project budget
• project team

40. proposing: prerequisites
necessary steps may include:
• dunn & bradstreet number
• registration on specialized web portals
(e.g. fedconnect, fedbizopps, etc.)
• demonstrating accounting or other compliance

41. project work scope
• what is the technology?
• how will this work further the grantor’s mission?
• what, exactly, will you accomplish with the funding?
crystal clear – project objectives
milestones (measurable goals)
deliverables
potential risks & mitigations
• remaining steps to achieve goal

42. project work scope
• what is the technology?
• how will this work further the grantor’s mission?
• what, exactly, will you accomplish with the funding?
• remaining steps to achieve goal

43. project work scope
Organize your project into a hierarchical structure:
I. objective (goal)
A. milestone(s) = measurable outcome (did you achieve it?)
1. task(s) = steps necessary to achieve the milestone
a. process
b. challenges
c. risks & mitigations
d. deliverables

44. project work plan
Technical Objectives
There are three technical objectives for Phase II of this multiphase STTR Project each with an
associated milestone specified below.
.
PROJECT OBJECTIVES quarter 1 2 3 4 5 6 7 8
1. Design and document a full-scale building-integrated membrane
exchanger and its integration into building envelope and HVAC systems
that achieves performance at least equal to that validated in previous
phases of work.
Milestone:
Results of exchanger as designed simulated in operation under
conditions listed in Table 1a and achieving performance as specified in
Table 1b.
2. Build and test a full-scale exchanger i) in a laboratory calorimeter to
document net heat balance and ii) in a laboratory building facility to
document resulting HVAC fan and compressor operational energy.
Milestone:
Calorimetric measurements under operational conditions listed in
Table 2a and achieving performance as specified in Table 2b
3. Build, install, and demonstrate a fully integrated and operational
integrated exchanger system installed in an existing commercial building
and compare measured HVAC system performance against benchmark.
Milestone:
Measured results of demonstration building building HVAC system
operational energy use (defined as fans, compressors, pumps, and
auxiliary equipment) showing reductions over benchmark data (Table
3a) as specified in Table 3b.

45. project work plan
Technical Objectives
There are three technical objectives for Phase II of this multiphase STTR Project each with an
associated milestone specified below.
.
PROJECT OBJECTIVES quarter 1 2 3 4 5 6 7 8
1. Design and document a full-scale building-integrated membrane
exchanger and its integration into building envelope and HVAC systems
that achieves performance at least equal to that validated in previous
phases of work.
Milestone:
Results of exchanger as designed simulated in operation under
conditions listed in Table 1a and achieving performance as specified in
Table 1b.
2. Build and test a full-scale exchanger i) in a laboratory calorimeter to
document net heat balance and ii) in a laboratory building facility to
document resulting HVAC fan and compressor operational energy.
Milestone:
Calorimetric measurements under operational conditions listed in
Table 2a and achieving performance as specified in Table 2b
3. Build, install, and demonstrate a fully integrated and operational
integrated exchanger system installed in an existing commercial building
and compare measured HVAC system performance against benchmark.
Milestone:
Measured results of demonstration building building HVAC system
operational energy use (defined as fans, compressors, pumps, and
auxiliary equipment) showing reductions over benchmark data (Table
3a) as specified in Table 3b.

46. project work plan
Task 2a - Exchanger Fabrication for Lab Test
Challenges:
Xxxxxxxxxxxx
Process:
Xxxxxxxxxxxxxxxx
Risks & Mitigation:
Deliverables:
Documented experiment plan for exchanger testing in the MoWiTT facility
Documented experiment plan for exchanger testing in the AWTF & FLEX facilities
Installed, instrumented, and calibrated systems for the MoWiTT and AWTF/FLEX experiments
R1. Misfits between core-housing-test
chamber.
M1. Coordinate all production and installation
through single contact person.
R2. Air leakage in experimental set up. M2. Pre-inspect apparatus & lab equipment &
gasket liberally during assembly.

47. project budget
• typically must allocate all requested funds
• rules for how the funding may be used and by whom
• overhead rates – why they are important
• cost share - frequently 20-50% of total project cost
- may be supplied as in-kind services
- documented as letter of commitment in proposal
• profit / fee - allowed in SBIR/STTR proposals
• budget preparation can be complex and time consuming

48. project team
• assemble the most best team – look for expertise
• federal grantors often prefer diverse teams:
• small business
• universities
• national laboratories (FFRDC)
• large corporations
• state and local agencies are often biased toward
local proposals

49. questions so far….?

50. executing

51. points to bear in mind:
• reporting requirements –
technical progress, financial progress, other
• accounting methods & procedures
• potential audits
• communication with program managers
• positioning for next steps

52. hints for success:
• learn about opportunities early
• ask questions, learn as much as possible
• follow the proposal directions to the letter
• allow at least as much time to complete budget
portions and work scope portions
• learn from examples of successful proposals
• consider hiring a professional
• be aware of funding timetable (months until $ arrive)

53. resources for success:
• arpa-e university webinar series:
http://arpa-e.energy.gov/?q=arpa-e-site-page/arpa-e-university
• sbir / sttr website:
http://www.sbir.gov
• greenwood consulting blog:
http://www.g-jgreenwood.com
• federal omnibus database (grants.gov):
grants.gov
• newsletters, networks, connections

54. questions?

55. Session 2 Q&A

56. Reminders

57. 57 Cleantech Open Confidential Information – All Rights Reserved
Reminders
• Work on your worksheets – keep up each week, it will make it
easier
• Complete webinar survey you will automatically receive from
Webex – we want your feedback
• Next webinar is Tuesday, August 6th
– Check your Accelerator wiki http://wiki.cleantechopen.com/accelerator-
wiki/2013-webinars/ for updates on webinars
– Session 1: Financial Analysis & Planning - 1:30pm to 2:30pm, PDT
• Speaker: Niraj Kohli, President, CSC
• Be sure to send in your top 3 expectations you have for the next
worksheet webinar. Link is in the August 3rd Session 1 webinar
– Session 2: IP Licensing from Third Parties - 2:45pm-4:00pm, PDT