Proposal Guidelines

The proposal cover sheet must be completed online. Include a brief description of the problem or opportunity, objectives, description of the effort and anticipated results. Summarize expected benefits and applications of the proposed research to the Government or the private sector in the space provided. The Project Summary of successful proposals will be submitted for publication with unlimited distribution. Therefore, the summary should not contain classified or proprietary information.on text goes here

The Technical Volume consists of a single PDF file with your firm name, topic number, and proposal number in the header of each page. All documentation should use no smaller than 10 point font on standard 8.5" X 11" paper with one-inch margins and not be in 2 column format. Pages must be numbered consecutively.

The Technical Volume includes: identification and significance of the problem or opportunity, the technical approach and objectives, key personnel background and qualifications, facility information (as applicable), relationship of the proposed work to any prior, current, or pending support of similar proposals or awards, commercialization strategy, references, and letters of support. Do not include blank pages.

The submission site does not limit the overall file size for each electronic proposal submission. However, file uploads may take a great deal of time depending on the internet provider's connection speed and the size of the file. If you experience problems uploading a proposal, email the DSIP Defense SBIR/STTR Innovation Portal at dodsbirsupport@reisystems.com. The Army will NOT accept any proposals that are not submitted through the on-line submission site. Please submit proposals early to avoid delays due to high user volume.

The content of the Technical Volume and the maximum number of pages varies between Phase I and Phase II.

Proposals submitted containing a Technical Volume over the page limit will be deemed NON- COMPLIANT and will not be evaluated.

Maximum number of pages:

• Phase I: 10 pages

• Phase II: 20 pages

THE PHASE II TECHNICAL VOLUME MUST INCLUDE THE FOLLOWING:

Results of the Phase I Work

Discuss the objectives of the Phase I effort, the type of research conducted, findings or results of the research, and technical feasibility. In accordance with BAA guidelines, if the Phase I effort is not complete at time of Phase II submission, the small business may use the Phase I progress report language reported in the Phase II proposal verbatim for purposes of the Phase I final report. Changes to accommodate results and modifications required to integrate the final report into a self-contained, comprehensive, and logically structured document after Phase II proposal submission is allowed.

Phase II Technical Objectives and Approach

List the specific technical objectives of the Phase II research and describe the technical approach to be used in meeting these objectives. Methods designed to achieve each objective should be discussed in detail.

Phase II Work Plan

Provide an explicit, detailed description of the Phase II approach. Indicate what is planned, how and where the work will be carried out, a schedule of major events, and the final product to be delivered. A Phase II effort should attempt to accomplish the technical feasibility demonstrated in Phase I, including any potential transition of results to the Government or private sector. This section contains a substantial portion of the total proposal and must clearly show advancement in the research, or research and development, appropriate for Phase II. For the purposes of the Army STTR Program, the research and development will be conducted jointly by a small business concern and a research institution in which not less than 40% of the work is performed by the small business concern, and not less than 30% of the work is performed by a single research institution. The percentage of work is usually measured by both direct and indirect costs. For Army STTR Phase I and II, the principal investigator must be primarily employed with the small business firm or the research institution at the time of award. The research or research and development must be performed by the small business in the United States. Deviations from these requirements must be approved in writing by the Contracting Officer during contract negotiations.

Describe significant activities directly related to the proposed effort, including any activities conducted by the Principal Investigator, the small business, consultants, or others. Report how these activities interface with the proposed project and discuss any planned coordination with outside sources. The proposal must convey to evaluators state of the art awareness in the specific approach proposed by the small business.

State the anticipated results of the proposed approach if the project is successful. Discuss the significance of the Phase II effort in providing a foundation for a Phase III research or research and development effort.

Phase II Proposals must describe the "vision" or "end-state" of the research and the most likely strategy or path for transition of the project from research to an operational capability that satisfies one or more Army operational or technical requirements in a new or existing system, larger research program, or as a stand-alone product or service. Also describe the strategy for converting the results of the proposed Phase II research into a product or non-R&D service with widespread commercial use -- including private sector. The commercialization strategy must address the following questions:

1. What is the first product that this technology will go into?

2. Who will be your customers, and what is your estimate of the market size?

3. How much money will you need to bring the technology to market, and how will you raise that money?

4. Does your company contain marketing expertise and, if not, how do you intend to bring that expertise into the company?

5. Who are your competitors, and what is your price and/or quality advantage over your competitors?

The commercialization strategy must also include a schedule showing the quantitative commercialization results from the Phase II project that your company expects to report in its Company Commercialization Report Updates one year after the start of Phase II, at the completion of Phase II, and after the completion of Phase II (i.e., amount of additional investment, sales revenue, etc.). Note that the technology transition and commercialization strategy is separate from the Commercialization Report described below. The strategy addresses how you propose to transition and/or commercialize this research, while the report addresses success in commercializing the results of past Phase II awards.

Identify key personnel who will be involved in the Phase II effort, include education and experience directly related to the effort, and list any relevant publications. Identify the Principal Investigator and include a concise resume.

Describe available instrumentation and physical facilities necessary to carry out the Phase II effort. Justify items of equipment detailed in the cost proposal to be purchased, including Government Furnished Equipment (GFE). All requirements for government furnished equipment or other assets, as well as associated costs, must be determined and agreed to during Phase II contract negotiations. State whether or not the facilities where the proposed work will be performed meet federal, state (name) and local environmental laws and regulations including, but not limited to: airborne emissions, waterborne effluents, external radiation levels, outdoor noise, solid and bulk waste disposal practices, and handling and storage of toxic and hazardous materials.

Describe in detail and identify in the Cost Volume involvement of the research institution (minimum of 30% the research or research and development effort) and any other subcontractors or consultants. As stated previously, a minimum of 40% of the research or research and development effort must be performed by the small business proposing the Phase II work.

A detailed, firm fixed price or cost plus fixed fee Phase II proposal must be submitted online and in the proper format shown in the Cost Breakdown Guidance in the DoD SBIR/STTR BAA. There is no need to provide information for items that do not apply to the proposed project, however, enough information must be provided to allow the Army evaluators to assess how the small business plans to use the requested funds if the contract is awarded. Phase II proposals should reflect cost data based upon a contract award date six months after submission of the Phase II proposal. Phase II contracts are awarded for a two year development and prototype production. Indicate funding requirements for "Year 1" and "Year 2" in the cost proposal.

List all key personnel by name and job title and provide the number of hours dedicated to the project as direct labor.

Special tooling, test equipment, and materials costs directly related to the specific effort may be included under Phase II. This may include items such as innovative instrumentation and/or automatic test equipment. The inclusion of equipment and material will be carefully reviewed relative to need and appropriateness for the work proposed.

The Contracting Officer will determine if the purchase of special tooling and test equipment is advantageous to the Government. Title to property furnished by the Government or acquired with Government funds will be vested with the Department of the Army; unless it is determined that transfer of title to the contractor would be more cost-effective than recovery of the equipment by the Army.

Cost for travel funds must be justified and related to the needs of the project. Cost-sharing is permitted; however, cost sharing is not required nor will it be an evaluation factor in the consideration of a proposal.

Past commercialization performance is captured in the mandatory Company Commercialization Report (CCR) Volume 4 of the proposal. Each firm must initiate and/or update their commercialization history with the Small Business Administration at https://www.sbir.gov/ and upload the generated report (PDF file) onto the DoD Submission site for their firm. Once loaded, the firm can attach the CCR to their proposals whenever a BAA specifically calls for a Volume 4. The Army STTR program does review and consider CCR during the evaluation process for selection decisions.