Elements of a Winning Proposal

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Elements of a Winning Proposal

• Michael Dunaway
• Technology Infusion, Inc.

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Breaking News

• DoD awards 40.4 million to universities for
  research equipment Published in M2 PressWIRE on
  Friday, 17 March 2006 at 19 12 GMT(C) 2006, M2
  Communications Ltd. The Department of Defense
  (DoD) today announced plans to award 40.4
  million to academic institutions to support the
  purchase of research instrumentation. The awards
  are being made under the Defense University
  Research Instrumentation Program (DURIP). The 183
  awards to 88 academic institutions are expected
  to range from about 51,000 to 1 million and
  average 217,000. DURIP supports the purchase of
  state-of-the-art equipment that augments current
  university capabilities or develops new
  university capabilities to perform cutting-edge
  defense research. DURIP meets a critical need by
  enabling university researchers to purchase
  scientific equipment costing 50,000 or more to
  conduct DoD-relevant research.

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SBIR/STTR Program

• SBIR is a highly competitive program that
  encourages small business to explore their
  technological potential and provides the
  incentive to profit from its commercialization.
  By including qualified small businesses in the
  nation's RD arena, high-tech innovation is
  stimulated and the United States gains
  entrepreneurial spirit as it meets its specific
  research and development needs.
• Small Business Administration
  http//www.sba.gov/sbir/indexSBIR-STTR.html

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What is Innovation Research?

• Innovation a new idea, method or device
• Research
• A systematic, intensive study that results in
  greater knowledge and understanding about a
  subject.
• A systematic study directed toward applying new
  knowledge to meet a recognized need.
• A systematic application of knowledge toward the
  production of useful materials, devices, and
  methods.

Phase I proposals must address innovation and
present a research plan!
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Benefits of a SBIR/STTR Project

• Innovative Research is research that leads to a
  commercial product that will result in new jobs
  and contribute to the countrys economy.
• Encourages participation of economically and
  socially disadvantaged and minority-owned small
  businesses.
• Commercialization can occur as
• a product for sale to the general public (always
  the case with NSF, DoEd, NIH)
• A product used by a agency (usually the case with
  DoD, NASA, DOE)
• The small business retains rights to the
  intellectual property developed under an
  SBIR/STTR, with opportunity for sole source
  contracting in Phase II (DoD, DOE, NASA).

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RDTE Budget Activities
6.1 Basic Research. Basic research is systematic
study directed toward greater knowledge or
understanding of the fundamental aspects of
phenomena and of observable facts without
specific applications towards processes or
products in mind. It includes a scientific study
and experimentation directed toward increasing
fundamental knowledge and understanding in those
fields of the physical, engineering,
environmental, and life sciences related to
long-term national security needs. It is
farsighted high payoff research that provides the
basis for technological progress. 6.2 Applied
Research. Applied research is systematic study to
understand the means to meet a recognized and
specific need. It is a systematic expansion and
application of knowledge to develop useful
materials, devices, and systems or methods. It
may be oriented, ultimately, toward the design,
development, and improvement of prototypes and
new processes to meet general mission area
requirements. 6.3 Advanced Technology
Development (ATD). Development of subsystems and
components and efforts to integrate subsystems
and components into system prototypes for field
experiments and/or tests in a simulated
environment. ATD includes concept and technology
demonstration of components and subsystems or
system models. The models may be form, fit and
function prototypes or scaled models that serve
the same demonstration purpose. The results of
this type of effort are proof of technological
feasibility and assessment of subsystem and
component operability and producibility. 6.4
Advanced Component Development and Prototypes
(ACDP). Efforts necessary to evaluate integrated
technologies, representative modes or prototype
systems in a high fidelity and realistic
operating environment. ACDP phase includes
system specific efforts that help expedite
technology transition from the laboratory to
operational use. Emphasis is on proving component
and subsystem maturity prior to integration in
major systems and may involve risk reduction
initiatives. 6.5 System Development and
Demonstration (SDD). SDD programs focus on
conducting engineering and manufacturing
development tasks aimed at meeting validated
requirements prior to full-rate production.
Prototype performance is near or at planned
operational system levels. Characteristics
involve mature system development, integration
and demonstration and conducting live test and
evaluation and initial operational test and
evaluation (IOTE) of production representative
articles.
DoD Financial Management Regulation, Vol. 2B
0502, UNIFORM BUDGET AND FISCAL ACCOUNTING
CLASSIFICATION
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Technology Readiness Levels
1 Basic principles observed and reported Lowest
level of technology readiness. Scientific
research begins to be translated into applied
RD. 2 Technology concept and/or
application Invention begins. Once basic
principles are observed, practical applications
formulated can be invented. Applications
are speculative and there is no proof
or detailed analysis to support the
assumptions. 3 Analytical and experimental
critical functions Active RD initiated. Includes
analytic and laboratory studies to physically
and characteristic proof of concept. validate
analytical predictions of separate elements of
the technology. 4 Component and/or breadboard
validation Basic technological components are
integrated to establish that they work in a
laboratory environment together. This is
relatively low fidelity compared to the
eventual system. 5 Component and/or
breadboard validation in Fidelity of technology
increases significantly. The basic components
are a relevant environment. Integrated with
reasonably realistic supporting elements so that
it can be tested in a simulated environment
(e.g., high fidelity laboratory integration). 6
System/Subsystem model or prototype Representative
model or prototype system, which is well beyond
TRL 5, demonstration in a relevant
environment. Is tested in a relevant, i.e.,
simulated operational environment. This
represents a major step up in the
technologys demonstrated readiness. 7 System
Prototype demonstration in an Prototype near, or
at, planned operational system. Represents a
major step operational environment. From TRL
6, requiring demonstration of an actual system
prototype. 8 Actual system completed and
flight qualified Technology has been proven to
work in its final form and under expected
through test and demonstration. conditions. In
almost all cases TRL 8 signals end of true system
RD. 9 System proven in successful mission
operations. Actual application of the technology
in final form under mission conditions.
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DoD Phase I Winners - 2001

• Winners are usually start-ups and very small

Small Business Administration http//www.sba.gov/
sbir/index/SBIR-STTR.html
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Steps Toward a Winning Proposal

• Identify SBIR/STTR Solicitation Topic
• Match your capabilities with the governments
  requirements and the markets potential
• Assemble a collaborative team
• (in-house and outside)
• Craft a thorough proposal that answers the
• what and how questions.
• And that capitalizes on your companys unique
  capabilities

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Elements of a Winning Proposal - I

• Project Summary or Abstract
• (Most important part of the proposal!)
• Significance of the Problem
• (Why this problem should be studied.)
• Objectives
• (What you will do when funded.)
• Research/Work Plan
• (How your objectives will be met.)

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Elements of a Winning Proposal - II

• Background and/or Related Work
• (What is the state-of-the-art?
• What is the experience base your team brings?
• Commercialization Issues
• (What this proposal will do for the U.S.
• market and how you intend to attain it.)
• Qualified personnel
• (Are the people on the project team
• capable of conducting the research
• and commercializing the product?)

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A Competitive Phase I Proposal

• A competitive proposal is
• Compelling
• Innovative
• High probability for commercialization
• Matches the culture of the agency
• Compliant
• Meets the objectives of the solicitation
• Consistent
• Scope of work matches cost
• RD goals match commercialization plan
• Cost Effective
• High of RD funds for personnel to
• demonstrate feasibility

Articulate how the solution you are offering
exceeds or redefines the state-of-the-art.
Know what your customer wants!
The proposal must demonstrate technical
competence.
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A Winning Proposal Satisfy the Customers
Requirements
DoD SBIR FY04.2 (Navy 04-153) Technologies to
Defeat Improvised Explosive Devices
_________ proposes to develop its Low Cost
Feedstock Process (LCFP) for producing casting
feedstock by the consolidation of processed
titanium machine turnings. ________ will
demonstrate that LCFP has the potential to
produce low cost, high quality cast components
for combat vehicles. Preliminary analysis
indicates that LCFP offers a 27-44 cost
savings over current ingot producing methods.
This significant cost advantage has the potential
of reducing the price of military cast components
by 16-30. LCFP offers other potential advantages
including (1) low capital cost, (2) rapid
addition of incremental capacity, (3) improved
homogeneity, (4) ability to economically modify
compositions to specific requirements, and (5)
ability to produce small lots. During the Phase 1
Option a production-size LCFP billet from
optimized process will be manufactured in
preparation for Phase II which will include
casting and evaluation of a selected vehicle
component, e.g. an EFV sprocket carrier.
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A Winning Proposal Demonstrate Technical
Competence
HSARPA SB05.2-005 Methods to Determine
Structural Stability

• This project will utilize a non-contact
  ultrasonic sensing system previously developed by
  __________ and convert it from an engineering
  tool to a user-friendly system capable of
  providing real-time measurement of structural
  stability and advanced warning of pending
  collapse. The sensor is capable of measuring very
  small changes in position (less than a
  ten-thousandth of an inch) from a standoff
  distance of over ten feet. The sensor also
  provides high-resolution measurements of velocity
  and acceleration. The system incorporates
  multiple sensors connected by wireless link to a
  central display unit. Unlike laser-based systems,
  the ultrasonic system is capable of operating in
  dense smoke. Phase 1 will focus on the issue of
  how to best use the system for collapse detection
  and prediction in different collapse scenarios
  with specific types of structures utilizing
  specific construction materials. Phase 1 will
  also determine the types of information and the
  preferred manner for displaying that information
  for the first responders and emergency personnel
  who operate at a potential collapse site.

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A Winning Proposal Redefine the State of the Art
DTRA04-006 3-Dimensional Hazard and
Consequence Assessment Visualization

• Spatial three-dimensional visualization systems
  use advanced software and optics to create
  imagery that has been shown to result in faster,
  more accurate responses to dynamic graphical
  environments when compared to previously
  best-in-class 3D-on-2D rendering and stereoscopic
  goggle-based technologies. One aspect of spatial
  3D is that it is real 3D imagery which physically
  occupies a region in space. The first serious
  attempts to create spatial 3D systems stem from
  the 1950s, but a lack of high-quality electronic
  and computational components limited its
  usefulness.

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Support to Prepare Proposal

• PA Innovative Partnership http//www.innovationpar
  tnership.net/
• Technology Infusion, Inc. http//www.technologyinf
  usion.net/