Introduction
Submitting a Phase I proposal to the Department of Defense (DoD) under the SBIR program is a competitive and highly structured process. Unlike other funding mechanisms, even small formatting mistakes or missing documents can result in automatic rejection. This checklist is designed to walk you through the critical volumes, pre-submission requirements, formatting rules, and evaluation standards that define a successful DoD SBIR Phase I application.
Whether you’re a first-time applicant or a seasoned innovator, following this guide will help ensure that your proposal is complete, compliant, and strategically crafted to stand out.
Overview of Required Volumes
A complete DoD SBIR Phase I proposal typically consists of up to seven distinct volumes, each serving a specific purpose. Most are mandatory, while a few depend on the component or solicitation. Here’s what each volume includes and why it matters:
Volume 1: Proposal Cover Sheet
This online form captures the basic administrative details of your proposal. It includes the project title, topic number, abstract (which must not contain proprietary information), and company identifiers such as DUNS/UEI, CAGE code, and your SBIR.gov SBC registration number. You’ll also list contact information for both the principal investigator (PI) and the business official.
Volume 2: Technical Volume
This is the heart of your application. Most components allow 15–20 pages. You’ll outline the problem statement, technical objectives, and your detailed R&D work plan. It must also describe your team’s qualifications, available facilities, and how you will establish feasibility. Be sure to explain the expected results of Phase I and how they justify Phase II continuation.
Volume 3: Cost Volume
This section provides a detailed budget aligned with your technical work plan. It includes direct labor, fringe benefits, overhead, supplies, travel, subcontracts (if any), and a profit fee (usually capped at 7%). You must follow the SBIR rule requiring the small business to perform at least two-thirds of the work by cost.
Volume 4: Company Commercialization Report (CCR)
Even if you’ve never received SBIR funding before, this online form is mandatory. It captures your firm’s SBIR history (if any), outcomes from prior awards, and commercialization metrics like patents or follow-on funding.
Volume 5: Supporting Documents
Only upload this if allowed by the specific component. It may include key personnel resumes, letters of support from potential customers, or additional budget justifications.
Volume 6: Fraud, Waste, and Abuse (FWA) Certificate
Completion of DoD’s mandatory online FWA training is required. Your certificate must be uploaded with your proposal, and the submission portal will block your application if it’s missing.
Volume 7: Other Disclosures
Some solicitations now require disclosures related to foreign ownership or investment. If your solicitation includes Volume 7, ensure all applicable information is included.
- Cover Sheet
- Technical
- Cost
- CCR
- Support Docs
- FWA Cert
- Disclosures
Basic proposal data including title, topic number, abstract, and contact information. Avoid proprietary info in abstract.
Detailed R&D plan with problem statement, objectives, work plan, team bios, and feasibility rationale.
Budget including labor, indirect costs, travel, subcontracting (must not exceed 1/3 of total), and profit.
Online form showing prior SBIR history, commercialization results, and metrics—even if “none.”
Optional uploads like resumes, letters of support, or expanded budget justifications (if allowed).
Mandatory certificate proving completion of DoD’s fraud, waste, and abuse training.
Required only in some solicitations; may include foreign ownership or investment disclosures.
Formatting and Compliance Rules
DoD SBIR solicitations are unforgiving when it comes to formatting. Administrative rejections—those based on failure to follow instructions—are common and prevent your proposal from being reviewed at all. Here’s what to watch for:
Page Format Requirements
Use 8.5” x 11” pages with 1-inch margins. Acceptable fonts include Times New Roman or Arial at 11 or 12-point size. Anything smaller than 10-point may lead to disqualification. Number all pages consecutively in the Technical Volume.
Header and Footer Details
Each page should include a header or footer with your company name, the topic number, and your proposal number. This ensures proper tracking during internal DoD review.
Page Limits
Most Phase I technical volumes have a page limit of 20 pages, but this varies by component. Some allow additional space for optional tasks; others count everything, including tables and references, toward the limit. Always verify with the latest solicitation.
Appendices and Proprietary Information
Appendices are usually not allowed in Phase I. All critical technical content must fit within the main Technical Volume. If you include proprietary data, mark it appropriately using legends or annotations as specified in the solicitation guidelines.
Consistency Across Volumes
The total cost on your cover sheet must match exactly with the number in your Cost Volume. Inconsistencies, even small ones, are flagged by reviewers and can delay or derail your application.
File Names and Upload Format
Use logical, consistent file names (e.g., “YourCompany_PhaseI_TechVolume.pdf”). Follow portal-specific naming rules when uploading to DSIP.
Submit Early to Avoid Rejection
The DoD’s DSIP portal has a history of last-minute upload delays. Submit at least 48 hours before the deadline to resolve any upload or formatting issues.
Registration and Pre-Submission Setup
Before you can submit a DoD SBIR Phase I proposal, your company must complete several mandatory registrations. These can take weeks, so it’s critical to begin as early as possible.
SBIR.gov Company Registry
Register your small business with the SBA at SBIR.gov and obtain a Small Business Concern (SBC) Identification Number. This number is required on your cover sheet.
Unique Entity ID and SAM.gov Registration
Your company must have a Unique Entity Identifier (UEI) and be fully registered in SAM.gov. This process also generates your CAGE code. Make sure your SAM profile is active and that all company data (name, address) exactly matches what’s on your SBIR proposal.
DSIP Portal Account
All DoD SBIR proposals are submitted through the Defense SBIR/STTR Innovation Portal (DSIP). You’ll need to create a DSIP account and associate it with your company. From there, you can complete online forms (Cover Sheet, Cost Volume) and upload required PDFs.
Data Consistency Matters
Across SBIR.gov, SAM.gov, and DSIP, your company’s legal name and address must match exactly. Mismatches are a common cause of administrative rejection.
Evaluation Criteria and Proposal Strategy
Your DoD SBIR Phase I proposal isn’t just a formality—it’s a competitive submission evaluated by subject matter experts. Understanding the review criteria is essential to crafting a proposal that gets funded.
1. Technical Merit and Innovation
This is the most heavily weighted criterion. Reviewers assess whether your proposed solution is scientifically and technically sound, and whether it addresses the specific topic in an innovative way. A well-articulated R&D plan with clearly defined tasks and milestones is essential.
2. Qualifications of the Team
Your team’s ability to execute the project is critical. This includes the principal investigator’s credentials, supporting staff, consultants, and access to facilities or equipment. Clearly link roles to technical tasks to show you’ve assembled the right people for the job.
3. Commercial Potential
Even at the Phase I level, DoD looks for signs that your innovation could lead to a product or service with defense or dual-use commercial value. This doesn’t require a full business plan, but it should indicate how success in Phase I sets the stage for follow-on development and eventual deployment.
Write for Reviewers, Not Marketers
Keep your language direct and focused on substance. Avoid vague claims and jargon. Assume reviewers have no prior knowledge of your company or technology. Use concrete metrics, cite relevant literature, and connect each section back to feasibility.
Component-Specific Weighting
While the core evaluation criteria are consistent, different DoD components may place slightly more emphasis on one area (e.g., commercialization or innovation). Always check the specific solicitation for weighting details.
Final Tips and Submission Readiness
Before you hit “submit,” a final check can make the difference between a winning proposal and a rejected one. Use this checklist to confirm every critical detail is in place.
- All required volumes are complete and uploaded in the correct slots on DSIP.
- Budget totals match exactly across the Cover Sheet and Cost Volume.
- FWA training is completed and the certificate is uploaded.
- All forms and certifications are signed where required.
- Resumes and letters of support (if permitted) are concise and formatted properly.
- No proprietary information is in the abstract.
- All file names follow naming conventions and are free of special characters.
Internal or External Review
Have someone else—internal or third-party—review your full package. A second set of eyes often catches inconsistencies or formatting issues you might miss.
Naming Conventions and File Format
Follow naming guidelines exactly. Avoid overly long filenames, and use only approved formats like PDF for uploads. This is especially important for Technical and Cost Volumes.
Mandatory Telecom Certification
Failure to upload the signed NDAA §889 Telecommunications Certification can result in immediate proposal rejection. This form is required by DoD to confirm your business does not use banned telecom equipment.