Wisconsin S B I R: Small Business Innovation Research / Fast: Federal and State Technology Partnership
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Phase I Proposal

You should research prior proposal awards and the proposal writing process before attempting an SBIR or STTR. Some excellent resources are:

Topics

There are three parts of the proposal process that specifically relate to your topic.

1. Choose a proposal topic.

Ten agencies participate in the SBIR program, and five of these also participate in the STTR program. Every year, these agencies list R&D topics of interest on their web sites. These agencies will provide approximately 1.2 billion dollars annually to fund SBIR and STTR research efforts. While each federal agency manages its own SBIR/STTR program, including topic solicitations, proposal evaluations, and award decisions, the SBA has oversight over the SBIR and STTR programs.

2. Locate a federal agency and target one of their research topics.

  • Consider all of the agency's topic solicitations. Agencies regularly update their solicitation release and submission dates.
  • Check each individual agency's SBIR web site for specific information and tips about solicitations, submitting proposals, and past award information.
  • Many agencies have unique requirements for their proposals.
  • Examining an agency's topics helps you select appropriate research interests for that agency. For example, the Department of Energy performs work on the human genome, despite the impression that this research may be unrelated to energy.
  • Don't assume that an agency is uninterested in an innovation until you examine the solicitation.
  • All the necessary information can be found in each agency's solicitation.

You can find past award winner's abstracts for each agency on the SBA tech-net site. This will help you understand the types of projects that an agency is funding.


3. Each agency selects the best proposals and awards grants or contracts to small businesses that present the most innovative solutions.

  • The proposal system varies amongst agencies; they are either peer reviewed internally or externally.
  • When writing a proposal, consider the merit review process. Find out what the agency emphasizes. Funded proposals usually have the greatest scientific merit in the topic area.

SBIR and STTR new topic notification service

Pacific Northwest National Laboratory's offers an SBIR/STTR topic alerting service. This service informs subscribers when agencies place new solicitations on the web. It also provides background information about SBIRs and STTRs, proposal writing tips, and other useful program information.

Strong SBIR and STTR proposals

Strong proposals emphasize three points:

  • How the technology is innovative
  • How it relates to the topic
  • What its commercialization potential is

A strong proposal also demonstrates a comprehensive knowledge of the state of the art (i.e., the current scientific literature) of the topic. For Department of Defense topics, the Defense Technical Information Center (DTIC) is a key resource for topic information.

Proposal evaluation criteria

Agencies award SBIR and STTR proposals and contracts competitively, based on the proposals' scientific and technical merit as well as commercialization potential. Knowledgeable scientists and engineers evaluate the proposals.

While the criteria varies between agencies, typical criteria include information on the:

  • Originality and significance of the proposed research
  • Qualification and experience of the investigators
  • Technical merit and feasibility of the science or technology proposed for achieving the goal
  • Suitability of the company's facilities
  • Commercial potential of the innovation
  • Budget that is both realistic and relevant to the scope of the proposed work

Increasing your chances

Do your homework to learn about the targeted agency. What have they funded in the past? Identify commercialization pathways and peotential applications of your technology.

If possible, talk to the SBIR/STTR program manager at the agency to identify the agency's technical representative for your topic. Talk to the person who wrote the solicitation. Talking to these scientists and engineers will provide useful information on their current and future research interests. Take every opportunity to discuss the topic that interests you during these interviews. This information will strengthen your current or future proposals. Some agencies will not permit such interviews after they begin accepting proposals.

As you begin writing your proposal, remember that good writing skills cannot disguise poor research.  Regardless of the level of organization, a proposal is most often rejected if it reflects poor research methods.

Special Department of Defense (DOD) assistance

If a DOD topic interests you, contact the nearest Defense Technical Information Center (DTIC). The DTIC provides scientific and technical information concerning research and development projects funded by DOD agencies. Use this information to prepare better proposals. DTIC information is in the DOD solicitation. Also see http://www.dtic.mil/.

SBIR and STTR timelines

After submitting a Phase I proposal, typically expect to wait four to six months before learning if the proposal will be funded, and up to three additional months to receive the funds. A Phase I SBIR or STTR proposal typically requires eight to ten weeks of writing, and $1500 to $5000 for preliminary research, market analysis, and manuscript preparation. You must complete Phase I research within a certain amount of time; read the specific agency's guidelines for the research timeline.

A Phase II award takes ten to twelve weeks to write, and requires an additional commercialization plan. In that plan, the company demonstrates how they will bring their technological innovation to the marketplace. After submitting the Phase II proposal, the waiting period is about the same as for a Phase I.


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Page Published: 03/15/2002 · Page Last Modified: 10/18/2004
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