Phase I Proposal Submission

General Information

Please note that this is general information about Phase I proposals, and is not meant to replace the guidance in the official DoD  23.B BAA, which can be found on the DoD SBIR/STTR Proposal Submission system.

Phase I proposals should address the feasibility of a solution to the topic. The Army anticipates funding two STTR Phase I contracts to small businesses with their research institution partner for each topic.  The Army reserves the right to not fund a topic if the proposals received have insufficient merit.  Phase I contracts are limited to a maximum of $197,000.00 over a period not to exceed six months. Awards will be made on the basis of technical evaluations using the criteria described in the DoD 23.B BAA and availability of Army STTR funds.

The DoD SBIR/STTR Proposal Submission system provides instructions and tutorials for preparation and submission of your proposal. You must include a Company Commercialization Report (CCR), as part of each proposal submitted, as Volume 4.  If you have not updated your commercialization information in the past year, or need to review a copy of your report, visit the SBA’s SBIR/STTR site.  Please note that improper handling of the CCR may have a direct impact on the review and evaluation of the proposal.

The Army requires your entire proposal to be submitted electronically through the DoD-wide SBIR/STTR Proposal Submission website.

STTR Proposals consist of six volumes:  Proposal Cover Sheet (Vol. 1), Technical Volume (Vol. 2), Cost Volume (Vol. 3) and Company Commercialization Report (Vol. 4), Supporting Documents (Vol. 5) to include Contractor Certification Regarding Provision of Prohibited Video Surveillance and Telecommunications Services and Equipment and Foreign Disclosure Addendum, Fraud, Waste, and Abuse Training (Vol. 6).  Please note that Volume 5 (Supporting Documents) and Volume 6 (Fraud, Waste and Abuse) are now required as noted at the DoD SBIR/STTR website for Phase I proposals.  Proposals not conforming to the terms of the DoD 21.C BAA will not be considered.

The Army has established a 10-page limitation for Technical Volumes submitted in response to its topics.  This does not include the Proposal Cover Sheets (pages 1 and 2, added electronically by the DoD submission site), the Cost Volume, or the CCR.  The Technical Volume includes, but is not limited to: table of contents, pages left blank, references and letters of support. Please utilize Volume 5 (Supporting Documents) to include any appendices, key personnel biographical information, and all attachments in the submission. The Army requires that small businesses complete the Cost Volume form on the DoD Submission site versus submitting it within the body of the uploaded Technical Volume.  Do not include blank pages, duplicate the electronically generated cover pages or put information normally associated with the Technical Volume such as descriptions of capability or intent in other sections of the proposal as these will count toward the 10-page limit.

For the official instructions on your Phase I proposal submission, refer the DoD 23.B BAA which can be found on the DoD SBIR/STTR Proposal Submission system.