A grant readiness checklist evaluates 7 competitiveness factors -- publications, patents, academic partnerships, prior grants, clinical data, SAM.gov registration, and letters of intent -- before you invest 40-100+ hours in a full application. Each factor carries agency-specific penalty weights that predict your likelihood of winning.
A typical SBIR application costs 40-100+ hours of founder and team time. At $100-$150/hr opportunity cost, that's $5K-$15K before you submit a single page. SBA program data suggests first-time applicants win roughly 1 in 5 applications -- the exact rate varies by agency and program year. Spending 10 minutes on this readiness check is the highest-ROI activity in the entire grant process.
Why Do Readiness Gaps Kill Grant Applications?
Across dozens of early-stage companies we've assessed for grant readiness, we consistently see the same gaps. In a representative sample, every single company had at least one readiness gap. The most common:
- No academic partner: 36% of companies
- SAM.gov not registered: 27%
- No peer-reviewed publications: 27%
- No named Principal Investigator: 18%
These gaps are predictable and fixable -- but only if you identify them before investing 80+ hours in an application. The worst outcome isn't rejection. It's spending 3 months writing an application that was never competitive to begin with.
Different agencies penalize different gaps. NIH cares deeply about publications and preliminary data. NSF and DoD care more about patents and IP protection. Knowing which gaps matter for your target agency saves you from fixing the wrong things first.
The 7-Point Grant Readiness Checklist for Startups
These are the 7 factors that predict grant competitiveness, each with specific penalty or bonus weights. Score yourself honestly before you invest in an application.
1. Peer-Reviewed Publications
Penalty if missing: -5 points (all agencies), -15 points (NIH specifically)
NIH study sections expect preliminary data even for Phase I applications, even though it's technically "not required." Reviewers who see zero publications or pilot results will question whether your technology is real.
What counts: Journal articles, conference papers, preprints on bioRxiv/medRxiv, and white papers. A single preprint showing pilot data can move your score significantly.
If you're missing this: Post a preprint. bioRxiv and medRxiv accept submissions in 2-3 weeks.
2. Patents or Provisional Patents
Penalty if missing: -5 points (NSF, DoD programs)
NSF and DoD reviewers look for IP protection as a signal your technology is defensible and commercially viable.
What counts: Granted patents, pending applications, or provisional patents. A provisional costs $1,500-$3,000 and gives you 12 months of protection.
If you're missing this: File a provisional patent. It takes 2-4 weeks with attorney support.
3. Academic or University Partnerships
Penalty if missing: -10 points (NIH, STTR programs), -5 points (NSF)
STTR literally requires a university partner -- minimum 30% of the work goes to the research institution. Even for SBIR, NIH study sections favor applications with academic collaborators because they signal scientific rigor and access to research infrastructure.
What counts: A named co-investigator at a university, a subcontract agreement, or a formal letter of collaboration. An informal advisory relationship isn't enough.
If you're missing this: Contact university tech transfer offices in your research area. Many universities actively seek STTR partnerships because they benefit from indirect cost recovery. Offer a subcontract and expect 4-8 weeks to formalize a partnership.
4. Prior Federal Grant Awards
Penalty if missing: -5 points (all programs)
Agencies prefer funding companies that have successfully managed federal grants before. It reduces their risk. If you've never held a federal award, reviewers will wonder whether your team can handle the reporting and compliance requirements.
What counts: Prior SBIR/STTR awards, other federal grants, or state-level innovation grants. Even a $25K state grant demonstrates basic grant management capability.
If you're missing this: Apply to your state's SBIR matching program first. Many states offer $25K-$100K pre-SBIR awards specifically designed to build this track record.
5. Clinical Data or IRB Protocol
Penalty if missing: -10 points (NIH), -5 points (other health-focused programs)
For health technology targeting NIH, reviewers expect evidence of clinical relevance. You don't need a completed trial -- but some clinical data or an active IRB protocol shows you've engaged with the regulatory pathway.
What counts: Published case studies, pilot results (even small N), an active IRB protocol, or a clinical site letter of intent. For non-health companies, skip this factor entirely.
If you're missing this: Partner with a clinical site for a small pilot, or submit an IRB protocol (4-8 weeks at most institutions).
6. SAM.gov Registration
Status: Pass/Fail (disqualifying if missing)
You cannot receive a federal award without an active SAM.gov registration, and it takes 30-60 days to process. There is no expedited path. This is the #1 administrative surprise for first-time applicants -- and the most avoidable.
What to do: Register at SAM.gov today. It's free. You'll need your UEI, EIN, and bank account information. Set a calendar reminder to renew annually.
7. Letters of Intent from End-Users
Bonus if present: +10 points (all programs)
Letters of intent from potential customers, clinical partners, or government end-users are the strongest commercialization signal in a grant application. Reviewers want evidence that someone actually wants what you're building.
Additional bonuses: Published case study (+5), active pilot or demo (+5), prior agency program officer relationship (+5).
How to get LOIs: Ask beta testers, pilot customers, or clinical collaborators to write a 1-page letter stating their willingness to participate in your research. Most will say yes -- it costs them nothing.
How to Score Your Grant Readiness by Agency
Start with a base score of 100, then subtract penalties for each missing asset and add bonuses for each asset you have. These weights come from Cada's competitiveness scoring methodology, developed from analyzing 50+ SBIR applications. They reflect how much each missing asset typically reduces your chances at each agency -- not official agency criteria, but practitioner estimates based on patterns in reviewer behavior.
| Factor | All Agencies | NIH | NSF | DoD | ARPA-H |
|---|---|---|---|---|---|
| No publications | -5 | -15 | -5 | -5 | -5 |
| No patents | -- | -- | -5 | -5 | -- |
| No academic partner | -5 | -10 | -5 | -- | -- |
| No prior federal grants | -5 | -5 | -5 | -5 | -5 |
| No clinical data (health) | -5 | -10 | -- | -- | -5 |
| SAM.gov not registered | FAIL | FAIL | FAIL | FAIL | FAIL |
| LOI from end-user | +10 | +10 | +10 | +10 | +10 |
| Published case study | +5 | +5 | +5 | +5 | +5 |
| Active pilot/demo | +5 | +5 | +5 | +5 | +5 |
| Agency relationship | +5 | +5 | +5 | +5 | +5 |
What Your Score Means
| Score | Readiness Level | Recommendation |
|---|---|---|
| 80-100 | Strong | Proceed with your application. Focus on proposal quality. |
| 60-79 | Competitive with gaps | Address specific gaps before applying. Budget 30-60 days of prep. |
| 40-59 | Significant prep needed | Build foundational assets first. Plan for 60-90 days of readiness work. |
| Below 40 | Not ready | Focus entirely on gap remediation. Reassess in 3-6 months. |
Example: A medical device startup targeting NIH SBIR Phase I has publications and pilot clinical data (no penalty), but no SAM.gov registration (FAIL), no academic partner (-10), and no prior grants (-5). After registering on SAM.gov, their NIH score: 85 -- strong, but adding a university collaborator would close the last meaningful gap.
A note on ARPA-H: this is a newer agency still developing its review norms. The penalty weights above are estimates based on early patterns and may shift as the agency matures. NIH and NSF weights are more established.
What to Do If You Score Below 60
Scoring below 60 doesn't mean "give up." It means "prepare first, apply second." Most gaps are closable in 60-90 days.
Quick wins (2-4 weeks):
- Register on SAM.gov (free, but allow 30-60 days for processing -- start today)
- File a provisional patent ($1,500-$3,000, gives you 12 months of protection)
- Request LOIs from beta testers or pilot customers (1-2 week turnaround)
Medium-term (4-8 weeks):
- Post a preprint on bioRxiv or medRxiv (2-3 weeks to acceptance)
- Contact university tech transfer offices for STTR partnerships
- Apply for state SBIR matching grants ($25K-$100K)
Longer-term (8-12 weeks):
- Initiate a small pilot study and submit an IRB protocol
- Build agency program officer relationships through webinars, conferences, and informational calls
Closing 2-3 gaps before applying is almost always worth the delay. A 60-day prep period that moves your score from 55 to 80 dramatically changes your odds -- and saves you from spending 3 months on an application that reviewers would have flagged in the first round.
Frequently Asked Questions
Can I apply for SBIR without publications?
Yes -- publications are not a formal requirement at any agency. But NIH penalizes proposals without preliminary data more heavily than any other agency. NSF and DoD care more about patents and commercial traction. If you're targeting NIH, even a single preprint on bioRxiv helps significantly.
How long does SAM.gov registration take?
30-60 days, with no expedited process available. You need a UEI, EIN, and bank account information. If you're considering applying for any federal grant in the next 6 months, register today.
Do I need a patent before applying for SBIR?
It depends on the agency. NSF and DoD value IP protection more heavily. A provisional patent ($1,500-$3,000) is sufficient -- you don't need a granted patent. At NIH, publications and preliminary data matter more than patents.
What if I don't have an academic partner?
For SBIR, you don't need one -- it's optional. STTR requires a research institution to perform at least 30% of the work. Even for SBIR at NIH, adding an academic collaborator lifts your competitiveness by roughly 10 points because study sections see university involvement as a signal of scientific rigor.
How accurate are these penalty weights?
These weights come from Cada's experience analyzing 50+ SBIR applications across major agencies. They're practitioner estimates based on reviewer behavior patterns, not official agency scoring criteria. Think of them as directional guidance for where to focus your preparation, not precise predictions.
Want a Professional Competitiveness Assessment?
This checklist gives you the framework. A professional assessment gives you the specific answer for your company, your technology, and your target agency.
Book a free 15-minute readiness call with Cada. You'll get a personalized competitiveness score, specific guidance on which agencies to target, which gaps to close first, and an honest answer on whether the investment is worth your time right now. No pitch, no obligation -- just a straight assessment from a team that's written 50+ SBIR applications.
