All Phase 0 Applications must be received 3 weeks prior to the Agencies submittal deadline Application for Louisiana SBIR/STTR Phase Zero Part I Program Instructions for the Application Requests for Louisiana SBIR/STTR Phase Zero Part I program funds must be submitted on the accompanying six page application form. Adequate space is provided to respond to the specific requests in sufficient detail. A need for additional space or attachments may be an indication that your approach is not well thought out. However, a one-page attachment is permitted to describe extenuating circumstances. Additionally, biographical information on key personnel, including the principal investigator, must be attached to the six-page application. The biographical information is limited to one page per key personnel and the information must be submitted electronically. The applicant must use 10-point type to complete the form. Times, Times Roman, or Arial typeface is preferred. The applications are best supported by utilizing Microsoft Word to input information. Please review the Louisiana SBIR/STTR Program information document for details regarding the Phase Zero Part I package content. 1. Submit only the 6-page application to the committee. Omit the cover page and the instructions when submitting your application. 2. Fill out all sections in the form that are applicable to your company. 3. In order to type your information into a section, click in the area below the required field and begin typing. 4. In order to check a box, double click on the box, change the default value to checked, and click OK. 5. All responses must fit within the allotted space. Application for Louisiana SBIR/STTR Phase Zero Part I Funds Form A: Company Information Company Information: Office Use Only Application #: 1. Legal Business Name: 2. TIN #: 3. Date: 4. Contact Name: 6. Business Phone #: 7. Business Fax #: 8. Business Address: 9. City: 10. State: 12. Company E-mail Address: 5. Title: 13. Company Web Site URL: 11. Zip Code: 14. Date Company Founded: Company Profile: 15. Company Structure: (Check one) 16. 17. 18. 19. 20. 21. Sole Proprietorship S Corporation Partnership Limited Liability Company Corporation Present number of employees: Less than 5 51 to 100 (Check one) 6 to 15 101 to 150 16 to 25 151 to 250 26 to 50 251 to 500 Estimated Annual Revenue: Less than $100,000 $500,001 to $1,000,000 (Check one) $100,001 to $250,000 $1,000,001 to $5,000,000 $250,001 to $500,000 $Over $5,000,000 Type of Business: Engineering Consulting Service Establishment (Check one) Manufacturing/Producer Wholesaler/Retailer Research/Development Other: Technology Cluster: Advanced Materials Manufacturing/Micromanufacturing (Check all that apply) Agriculture Related Medical & Biomedical Technology Environmental Technology Oil & Gas Production/Services Food Technology Petrochemical Information Technology Other: Small Business Certification: Socially & Economically Disadvantaged Small Business Concern (Check one) Minority-Owned Veteran Status SBA 8 (a) Certified Woman-Owned Primary & Secondary Standard industrial codes (SIC): 22. Will all Phase I efforts be conducted within Louisiana? If not, please explain in Section D.11. Yes No Previous SBIR/STTR Experience: 23. Has your company previously received a Louisiana SBIR/STTR 24. How may SBIR/STTR Phase I or Phase II proposals have your Phase Zero Grant? Yes No company previously submitted? 25. Agency Submission Dept of Agriculture Dept of Health & Human Services (Check all that apply) Dept of Commerce Dept of Transportation Dept of Defense Environmental Protection Agency Dept of Education NASA Dept of Energy National Science Foundation 26. How many SBIR/STTR Phase I awards has your company won? 28. Awarding Agency (Check all that apply) 27. How many SBIR/STTR Phase II Awards has your company won? Dept of Agriculture Dept of Commerce Dept of Defense Dept of Education Dept of Energy Dept of Health & Human Services Dept of Transportation Environmental Protection Agency NASA National Science Foundation 29. Briefly Describe your Company’s Background and History: Version 11/01/2008 Page 2 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form B: Partner Information (if applicable) Partner Information: 1. Legal Business Name: 4. Contact Name: 8. Business Address: 2. 5. Title: 12. Company E-mail Address: TIN #: 3. Date: 6. Business Phone #: 7. Business Fax #: 9. City: 10. State: 13. Company Web Site URL: 11. Zip Code: 14. Date Company Founded: Company Profile: 15. Company Structure: (Check one) 16. Present number of employees: (Check one) 17. Estimated Annual Revenue: (Check one) 18. Type of Business: (Check one) 19. Technology Cluster: (Check all that apply) Sole Proprietorship Partnership Corporation Less than 5 6 to 15 16 to 25 26 to 50 Less than $100,000 $100,001 to $250,000 $250,001 to $500,000 Engineering Consulting Manufacturing/Producer Research/Development Advanced Materials Agriculture Related Environmental Technology Food Technology Information Technology S Corporation Limited Liability Company 51 to 100 101 to 150 151 to 250 251 to 500 $500,001 to $1,000,000 $1,000,001 to $5,000,000 $Over $5,000,000 Service Establishment Wholesaler/Retailer Other: Manufacturing/Micromanufacturing Medical & Biomedical Technology Oil & Gas Production/Services Petrochemical Other: 20. Small Business Certification: (Check one) Socially & Economically Disadvantaged Small Business Concern Minority-Owned Veteran Status SBA 8 (a) Certified Woman-Owned 21. Primary & Secondary Standard Industrial Codes (SIC): 22. Will all Phase I efforts be conducted within Louisiana? please explain in Section D.11. Yes If not, No Previous SBIR/STTR Experience: 23. Has your company previously received a Louisiana SBIR/STTR Phase Zero Grant? Yes No 25. Agency Submission (Check all that apply) Dept of Agriculture Dept of Commerce Dept of Defense Dept of Education Dept of Energy 26. How many SBIR/STTR Phase I awards have your company won? 28. Awarding Agency (Check all that apply) 29. 24. How may SBIR/STTR Phase I or Phase II proposals have your company previously submitted? Dept of Health & Human Services Dept of Transportation Environmental Protection Agency NASA National Science Foundation 27. How many SBIR/STTR Phase II awards have your company won? Dept of Agriculture Dept of Commerce Dept of Defense Dept of Education Dept of Energy Dept of Health & Human Services Dept of Transportation Environmental Protection Agency NASA National Science Foundation Briefly Describe your Company’s Background and History: Version 11/01/2008 Page 3 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form C: University Information (if applicable) University Information: 1. University Name: 4. Contact Name: 8. Address: 5. Title: 12. E-mail Address: 2. TIN #: 3. Date: 6. Phone #: 7. Fax #: 9. City: 10. State: 13. Web Site URL: 11. Zip Code: Previous SBIR/STTR Experience: 14. Has your laboratory previously received a Louisiana SBIR/STTR Phase Zero Grant? Yes No 16. Agency Submission (Check all that apply) 15. How may SBIR/STTR Phase I or Phase II proposals have your laboratory previously submitted? Dept of Agriculture Dept of Commerce Dept of Defense Dept of Education Dept of Energy 17. How many SBIR/STTR Phase I and Phase II awards have your laboratory won? 18. Awarding Agency (Check all that apply) Dept of Health & Human Services Dept of Transportation Environmental Protection Agency NASA National Science Foundation Phase I: _____ Dept of Agriculture Dept of Commerce Dept of Defense Dept of Education Dept of Energy Phase II: _____ Dept of Health & Human Services Dept of Transportation Environmental Protection Agency NASA National Science Foundation Laboratory Profile: 19. Name of your laboratory or department: 21. Technology Cluster: (Check all that apply) 20. Number of faculty researchers: Advanced Materials Agriculture Related Environmental Technology Food Technology Information Technology Manufacturing/Micromanufacturing Medical & Biomedical Technology Oil & Gas Production/Services Petrochemical Other: 22. Briefly describe your laboratory’s areas of research: 23. What level of participation with industry does your laboratory seek ? (Check all that apply) None Assist with proposal writing Lease laboratory equipment Project consulting Full partnership 24. List all significant laboratory equipment and capabilities that would interest industry: Version 11/01/2008 Page 4 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form D: Phase One Information Solicitation Information: 1. SBIR/STTR Agency Solicitation: 4. Type of Application: SBIR STTR 5. 2. Solicitation Topic Number: Solicitation Closing Date: 3. Solicitation Topic Title: 6. Have you contacted the Agency Program Manager and/or Topic Manager to discuss details of the solicitation and possible research approaches? Yes No Your Phase I Concept: 7. Tentative title for your Phase I proposal: 8. State the objective of your proposed research: 9. Define the specific technical problem or opportunity addressed in the subtopic and its importance: 10. Specify the technical objectives of the Phase I work, including the questions it will answer to determine the feasibility of the proposed approach: 11. Specify the Phase I work plan as to what is planned, how and where work will be performed and the final product to be delivered: 12. Identify corporate experience and expertise relevant to the proposed research: 13. Describe briefly the commercialization potential of your approach: Version 11/01/2008 Page 5 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form E: Phase Zero Information Phase Zero Work Plan: 1. Describe the work required to develop your Phase I proposal: 2. Identify and discuss the principal hurdle that you must overcome in developing a competitive proposal: 3. List the major milestones and completion dates for the development of your proposal: 4. Describe the steps you will take to assure that the finished proposal is well organized and clearly written: Version 11/01/2008 Page 6 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form F: Proposal Development Costs Direct Labor Costs: 1. Name (Company Personnel) 6. Name (Partners & Consultants): Totals 2. Role In Proposal Preparation: 3. 7. Role In Proposal Preparation: Est. Hours: 8. Est. Hours: 4. Hourly Rate: 5. Total Cost: 9. Hourly Rate: 10. Total Cost: 11. Total Direct Labor Costs: (5+10) Other Direct Costs: Totals 12. Travel (Specify): 13. Materials & Supplies (Itemize): 14. Other Direct Costs (Specify): 15. Total Direct Costs: (11+12+13+14) Indirect Costs: 16. Total Indirect Costs (Specify rate and base): 17. Total Amount Requested: Amount Requested Should Not Exceed $2,500 18. Total Proposal Preparation Costs: (15+16) 19. Cost Justification: (Briefly describe the need for each of the direct cost items.) CERTFICATION AND ACCEPTANCE: I certify that the statements herein are true and accurate to the best of my knowledge. I agree to comply with all requirements of the Louisiana SBIR/STTR Phase Zero Program and those of the federal agency to which our SBIR or STTR Phase I proposal is submitted. 20. Signature of Company Officer/Title: 21. Date: Version 11/01/2008 Page 7 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Instructions for Completing the Louisiana SBIR/STTR Phase Zero Application Form A: Company Information Required form for all company applications. University researchers should substitute Form C. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. Business Name – Enter the legal business name of the company applying for the Phase Zero grant. TIN# - Enter the company’s Tax Identification Number or personal Social Security Number of the Corporate/Business Authorized Representative Date – Enter the date of Phase Zero Application Contact Name – Enter the contact person responsible for coordinating the Phase Zero application process. Contact Title – Enter the contact person’s title. Business Phone # - Self explanatory Business Fax # - Self explanatory Business Address – Self explanatory City – Self explanatory State – Self explanatory Zip – Self explanatory Company E-mail Address – Self explanatory Company Web Site URL – Self explanatory Date Company Founded – Enter Month & Year the Company Began Company Structure – Self explanatory Present # of Employees – Check the response that applies to your company Estimated Annual Revenue – Check the response that applies to your company Type of Business – Check the applicable situation Technology Cluster – Check all that apply Small Business Certification – Check the applicable category that pertains to the business’ certification if any. SIC – Enter the company’s primary & secondary Standard Industrial Code (http://www.census.gov/epcd/www/naics.html ) Phase I Location - Self Explanatory Previously Awarded Phase Zero – Self Explanatory Previous SBIR/STTR Proposals – Self Explanatory Agency Submission – Self Explanatory SBIR/STTR Phase I Awards Won – Self Explanatory SBIR/STTR Phase II Awards Won – Self Explanatory Awarding Agency – Self Explanatory Company Background & History – Briefly provide a description of your company’s background, history, and experience, as well as, business and research goals. Version 11/01/2008 Page 8 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form B: Partner Information (if applicable) Complete this form only if the applying company is partnering with another company or the applying company is utilizing facilities and services of another company in your Phase One Work Plan. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. Business Name – Enter the legal business name of the company to which is applying for the Phase Zero grant. TIN# - Enter the organization’s Tax Identification Number or personal Social Security Number of the Corporate/Business Authorized Representative Date – Enter the date of Phase Zero Application Contact Name – Enter the contact person responsible for coordinating the Phase Zero application process. Contact Title – Enter the contact person’s title. Business Phone # - Self explanatory Business Fax # - Self explanatory Business Address – Self explanatory City – Self explanatory State – Self explanatory Zip – Self explanatory Company E-mail Address – Self explanatory Company Web Site URL – Self explanatory Date Company Founded – Enter Month & Year Company Began Company Structure – Self explanatory Present # of Employees – Check the response that applies to your company Estimated Annual Revenue – Check the response that applies to your company Type of Business – Check the applicable situation Technology Cluster – Check all that apply Small Business Certification – Check the applicable category that pertains to the business’ certification if any. SIC – Enter the company’s primary & secondary Standard Industrial Code (http://www.census.gov/epcd/www/naics.html ) Phase I Location - Self Explanatory Previously Awarded Phase Zero – Self Explanatory Previous SBIR/STTR Proposals – Self Explanatory Agency Submission – Self Explanatory SBIR/STTR Phase I Awards Won – Self Explanatory SBIR/STTR Phase II Awards Won – Self Explanatory Awarding Agency – Self Explanatory Company Background & History – Briefly provide a description of your partnering company’s background, history, and experience, as well as, business and research goals. Version 11/01/2008 Page 9 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form C: University Information (if applicable) Complete this form only if the applicant is a Louisiana university faculty member applying for Phase Zero Part I funding through your university affiliation or the applicant is a company utilizing the facilities and services of a Louisiana university or research center. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. University Name – Enter the legal business name of the company to which is applying for the Phase Zero program. TIN# - Enter your university’s Tax Identification Number. Date – Enter the date of Phase Zero Application Contact Name – Enter the contact person responsible for coordinating the Phase Zero application process. Contact Title – Enter the contact person’s title. Phone # - Self explanatory Fax # - Self explanatory Address – Self explanatory City – Self explanatory State – Self explanatory Zip – Self explanatory E-mail Address – Self explanatory Web Site URL – Self explanatory Previously Awarded Phase Zero – Self Explanatory Previous SBIR/STTR Proposals – Self Explanatory Agency Submission – Self Explanatory SBIR/STTR Phase I Awards Won & SBIR/STTR Phase II Awards Won – Self Explanatory Awarding Agency – Self Explanatory Name of Lab – Self Explanatory Number of Faculty Researchers – Self Explanatory Technology Cluster – Self Explanatory Labs Area of Research – Briefly describe the Labs areas of expertise and research experience. Level of Participation with Industry – Self Explanatory Lab Equipment – Briefly describe the lab facilities that will be utilized in the Phase I process Version 11/01/2008 Page 10 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form D: Phase I Information Required form for all applicants. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. SBIR/STTR Agency Solicitation – Enter the name of Federal agency to which you submit your Phase One proposal. Solicitation Topic Number – Enter the Federal agency’s topic number listed in the solicitation for the toic you are addressing. Solicitation Topic Title – Enter the agency’s title listed in the solicitation for the topic you are addressing. Type of Application – Indicate whether the topic is an SBIR or STTR solicitation. Solicitation Closing Date – Enter the Federal agency’s solicitation closing date to which you are applying. Have you contacted the Soliciting Agency – Discussing details of the solicitation and possible research approaches are highly recommended. The agencies’ Project Managers often provide additional information and insights to their programs that would be beneficial in developing your proposal. Tentative Title for your Phase One Proposal – Should reflect the substance of the project and must be limited to 120 characters and spaces. Do not use the solicitation’s topic title. State the Objective of your Proposed Research – Must be stated in one concise sentence. Describe the Technical Problem or Opportunity – Provide a preliminary description of the Technical Approach you will propose to solve the agency’s research needs. Be concise, but thorough, using only the space provided. Technical Objectives of Phase I Work – Briefly describe technical objectives to determine feasibility of proposed approach. Describe Phase I Work Plan – Briefly describe what the company plans on doing and where company will perform work in the Phase I time period. Identify Corporate Experience – List relevant past activities and available resources that your organization can bring to bear on the proposed research beyond your own personal expertise. Briefly Describe the Commercialization Potential of your Approach - Commercialization potential will be an important component of your Phase I proposal. Provide a brief statement to show that your approach can lead to a marketable product. Version 11/01/2008 Page 11 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form E: Phase Zero Information 1. 2. 3. 4. Describe the Work Required to Develop your Phase I Proposal – Be concise, but thorough, using only the space provided. Identify and Discuss the One Principal Hurdle that you Must Overcome in Developing a Competitive Proposal – The response primarily will assist reviewers in determining the applicant’s awareness of the components of a strong proposal and the applicant’s resourcefulness in addressing the issue. The seriousness of the identified hurdle is not a factor in the evaluation. Provide a List of Major Milestones and Completion Dates for the Development of your Proposal – Include submission of a final draft of your proposal to LTTO at least two weeks prior to the Federal agency’s final submission date. Describe the Steps that You will take to Assure that the Finished Proposal is Well Organized and Clearly Written - The quality of presentation is a critical component of any proposal. The best ideas may never be funded if not effectively presented to the reviewers. Whether your team is a veteran of numerous proposal submissions or this is your first attempt, you are required to state the expertise or resources you will use to ensure that your proposal is concise, well-written, and possesses an effective use of graphics and a neat appearence. Applicants are advised to take advantage of the resources of the LTTO, the local Small Business Development Centers, as well as numerous proposal writing guides, software, and consultants. LTTO will review the final draft that you submit to them two weeks prior to the Federal agency’s submission date, and make recommendations. Version 11/01/2008 Page 12 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975 Form F: Proposal Development Costs 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. Name – Enter the names of personnel working for the organization that is submitting the Phase Zero application who will be developing the proposal. Role in Proposal Preparation – Enter the title or function that the individual will play in proposal writing. Estimated Hours – Enter the number of hours that each person actually is estimated to work on the Phase One proposal. Hourly rate – Enter the hourly wage of each individual working on the Phase One proposal. Total Cost – Hourly rate (box 4) x estimated hours of the individual (box 3). Name – Enter the names of consultants or personnel from partnering organizations who will work on the Phase One proposal. Role in Proposal Preparation – Enter the title or function that the individual will play in proposal writing. Estimated Hours – Enter the number of hours that each person actually is estimated to work on the Phase One proposal. Hourly rate – Enter the hourly wage of each individual working on the Phase One proposal. Total Cost – Hourly rate (box 9) x estimated hours of the individual (box 8). Total Direct Labor Costs – Total the costs of all labor entered in box 5 and 10. Travel – Estimate all travel-related expenses at rates typically accepted by the State. As a guide, the State of Louisiana automobile mileage rate is $0.308/mile. Materials and Supplies – Identify any materials that will be purchased for the development of the proposal (e.g., laboratory supplies for preliminary experiments.) Other Direct Costs – List all other items that will be purchased for the development of the proposal (e.g., technical manuals, proposal writing guides and software.) Total Direct Costs – Add the numbers in boxes 11, 12, 13, and 14. Total Indirect Costs – Specify rate and base. Use the current rate already negotiated with a federal agency, if available. If no rate has been negotiated, a reasonable estimated rate should be used. Louisiana universities must use the Board of Regents required rate of 25% of total direct labor costs only. Start-up companies that are not familiar with calculating their indirect costs should submit a ballpark estimate if anticipated overhead costs, but should be aware that a more precise indirect cost rate will be required on the Phase One proposal. Total Amount Requested – Enter the amount of Phase Zero funds you are requesting up to a maximum of $2,500.00. Total Proposal Preparation costs – Sum the total of direct costs (box 15) and total indirect costs (box 16). This number should represent the actual estimated costs you expect to encounter to complete the Phase One proposal and may not be the same as the amount requested in box 17. Cost Justification – Briefly describe the need for each of the direct cost items. Signature of Company Officer – The signature of the Corporate/Business Authorized Representative who is empowered to make contractual commitments on behalf of the small business or university is required before funds can be awarded. On the electronically submitted form, type the name of this individual. However, the original should be signed and mailed to the LTTO later along with other documentation described in section III of the Phase Zero Program Description pamphlet. Date – Enter date of signature, Version 11/01/2008 Page 13 of 13 8000 GSRI Ave, Bldg 3000, Baton Rouge, LA 70803-6100 Phone: (225) 578-7555 Website: http://www.ltto.org E-mail: ltto@lsu.edu Fax: (225) 578-3975