Steps you should take to ensure greater success in DoD SBIR/STTR Phase I proposal submission:

Because DoD utilizes the SBIR/STTR program to support the development and eventual acquisition of technologies needed for specific Defense applications, companies intending to succeed in the program must be committed to follow through the initial technology development with the steps required to ensure that the final product can enter Defense procurement channels, either directly or through another Defense contractor (usually a major Prime Contractor). This commitment, and the planning to back it up, should be plainly evident to Defense Program Managers as they review your DoD Phase I SBIR or STTR proposal - you cannot wait until a Phase I award has been made to begin this transition and commercialization planning.

Solicitation information and topic descriptions are provided at the DoD SBIR/STTR website: http://www.acq.osd.mil/osbp/sbir/ Additional useful information, including a topic search engine, is provided at the SBIR Gateway: http://www.zyn.com/sbir/, as well as at SBIRWorld.com: http://www.sbirworld.com/.   The DoD also has a DOD SBIR/STTR Topic Search Engine at: http://www.dodsbir.net/Topics/Default.asp.

Upcoming DoD Solicitation Dates (tentative - check http://www.acq.osd.mil/osbp/sbir/ for updates):

*STTR rules requires that a minimum of 30% of the work, as measured by both the direct and indirect costs, be carried out by a "research institution" such as a university or FFRDC (Federally Funded R&D Center - see list provided by NSF, or DoD's list). The award contract must be with the small business, which must perform a minimum of 40% of the Phase I work.  The PI (Principal Investigator) for a DoD STTR may be at either the company or the research institution (rules for other agencies vary regarding employment of the PI on an STTR).  Also note that no portion of an STTR award may be subcontracted back to any Federal government agency, including military academies. However, the SBA may issue a case-by-case waiver to this provision after review of the DoD Component’s written justification (see solicitation for details).  

Before You Begin Your Proposal: Keep in mind that developing a competitive proposal is a major committment of your time and effort.  You want to ensure as best you can that your efforts are well-focused and that you have a reasonable chance of winning.  Beyond that, you must be sure that if you do win, you will be working on a project that furthers your business goals, and will lead you towards development of a profitable product or service. Most successful companies actually lose money on Phase I, as an investment for future Phase II and Phase III profits.  Before starting your proposal writing, and well before the "Blackout" date, you should complete the following to determine if the topic of interest is an appropriate fit for your company or team:

• Conduct initial background research on the appropriate DoD programs or systems (often specified in the topic description), and find out about any similar topics from past solicitations:
  • Google searches are usually a good place to start.  Use appropriate keywords and system names (from the topic) as search criteria. If too many hits occur, you can use the search field limiter "site:mil" to restrict your search to DoD websites, or the more restrictive "site:army.mil" "site:af.mil" or "site:navy.mil" etc.
  • To find out about similar past topics, go to the SBIR Gateway (http://www.zyn.com/sbir/) and search "Closed SBIR/STTR Solicitation Topics" using similar keywords, or even search by the TPOC’s name, to find out about previous related solicitations.
  • If there were similar or related topics, search the DoD Awards Database (http://www.dodsbir.net/Awards/Default.asp) to find out who won for those topics.  For older awards, a Phase II award for one of the winners may be listed.  More recent awards may not be posted at this site - check DoD SBIR/STTR Links for the specific award databases for Air Force, Army or Navy Components, which are usually more up-to-date than the DoD Award Database.  
  • Find out more about the listed winners, especially any Phase II winners.  Visit their website, or even call them to find out if they're willing to discuss their technology and/or results.
  • Go to DoD SBIR/STTR Links for more information about the specific DoD Component issuing the solicitation topic.  For example, if it's a DARPA topic, go to the link to DARPA Programs to find out which specific program the topic might support, and/or the DARPA programs managed by the listed TPOCs.  For CBD (Chemical/Biological Defense) topics, review the information at the JPEO-CBD website, and other websites listed at DoD SBIR/STTR Links under "CBD SBIR." 
  • Find out more about the specific organization/center issuing the topic.  For example, in the 2009.1 Navy solicitation, topics N091-001 thru N091-043 are managed by NAVAIR (Naval Air Systems Command).  Links to NAVAIR may be found through at DoD SBIR/STTR Links. 

• After you've conducted this background research, contact the listed DoD TPOC(s) to discuss their specific needs, and to get a better understanding of how you might meet those needs superbly.  Note that you should not be trying to "sell" your approach to them over the phone, but rather listening to them as your future customer, and demonstrating a keen interest in helping them solve their specific issues. 

Note that recent solicitations provided the following clarification regarding discussions with TPOCS:

"Direct Contact with Topic Authors.
... During this period, proposers have an opportunity to contact topic authors by telephone or e-mail to ask technical questions about specific solicitations topics.  Questions should be limited to specific information related to improving the understanding of a particular topic’s requirements.  Offerors may not ask for advice or guidance on solution approach, nor submit additional material to the topic author.  If information given in response to a question is deemed necessary for the preparation of proposals, that information will be made available to the public through SITIS."

Points for discussion might include:

• Is this a major or ongoing issue for that Service (or other branches of the military as well)?  In other words, are they likely to have follow-on funding for Phase II and Phase III?
• How many proposals do they expect to fund? Note: where only one Phase I award is anticipated, Program Managers are unlikely to take risks with unproven technology or unknown companies.  In this regard, the Army previously averaged only 1.4 Phase I awards per topic, while the Air Force averaged at least two awards per topic, and the Navy averaged 2.5 Phase I awards per topic.  Agencies funding more awards per topic are usually more open to "fresh faces" and new approaches.
• Who is (are) the Prime Contractor(s), if any, for the system(s) this is to be used in?
• Have any Prime Contractors expressed interest in this topic as a potential collaborator with interested small businesses?
• Would the TPOC be willing to consider a face-to-face meeting for more detailed discussions? Note: the Army has set a policy of not permitting such meetings after topics have been posted, even prior to the Blackout.
• Can the TPOC refer you to other personnel using this technology, or working on related technologies, for further discussions?  Such contacts may provide helpful discussions, even after the Blackout.
• Do they normally review proposals on-line, or use B&W print-outs (low resolution ink jet, or even second-hand copies)? This can give you an indication of whether or not color or high-resolution graphics should be avoided in your proposal.
• Is the TPOC familiar with other approaches that have been tried in the past, and their results?  Based upon your background research for this (see above), you may be able to ask the TPOCs about the outcomes for specific past awards.

• Develop a conceptual Transition Plan for how your company, perhaps in a strategic alliance with other companies or Prime Contractors, could ultimately get the resulting technology into the Defense acquisition cycle and into the hands of the Warfighter. Questions for you to consider may include:
  • Do you expect to eventually sell this directly to the military? If so, how will you deliver and service the products (especially if used in worldwide deployments)?
  • Would you be working with a Prime Contractor? If so, who is (are) the Prime Contractor(s) for the systems or products this technology will go into? Have you established contacts with any of the Primes?
  • Will you be making the product yourself? If it's a manufactured product, do you have the facilities to make this, or who could you partner with? If it needs to be made in large quantities, will you/they be able to scale up rapidly?
  • Have you had any experience in developing and commercializing similar products, or in military procurement?

You can contact Ray Friesenhahn at TechLink to get feedback on your ideas, and suggestions in developing a more effective approach, or finding appropriate partners with whom to work.

Debriefing: After DoD award selections have been made, companies should request a debriefing from the appropriate SBIR Program Manager, in order to improve subsequent proposals (including Phase II, if Phase I awarded).

TechLink's DoD Phase II Assistance Program

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