Networking for Success
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1 Helpful Hints Series Helpful Hints for SBIR/STTR Summary Report Networking for Success December 2015 Distribution A: Approved for public release; distribution unlimited. 1 December Refer other requests for this document to AFRL/SB, Wright-Patterson AFB, Ohio.
2 Introduction Helpful Hints for SBIR/STTR Summary Reporting is part of the Helpful Hints series which collectively describes the roles and general responsibilities of the organizations that plan and execute the Air Force SBIR/STTR program. The Air Force requires the submission of summary reports as part of the Air Force SBIR/STTR Phase II contract awards. All Air Force Phase II SBIR/STTR awardees will be required to submit two reports: (1) a Phase II interim summary report, and (2) a Phase II final summary report. These summary reports supplement other periodic progress reports and the final technical report, which are customarily required by Phase II contracts. Effective Aug. 2, 2011, Phase I summary reports were no longer processed for posting to the Air Force SBIR/STTR website. This guide only addresses processing of Phase II reports. Purpose The purpose of summary reports is to highlight research & development (R&D) accomplishments to prospective buyers (e.g., military acquisition program offices, prime contractors) in order to facilitate partnering and Phase III commercialization opportunities. Summary reports are posted on the Air Force SBIR/STTR website to facilitate commercialization and transition opportunities. The appearance of a summary report on the Air Force Small Business Innovation Research/Small Business Technology Transfer (SBIR/ STTR) website does not constitute an endorsement by the government of the information provided. The Topic/Award Data Search section of the Air Force SBIR/STTR website displays Phase I/II proposal abstracts, summary reports, and success stories, sorted by firm and solicitation topic number. Whereas a proposal abstract is written at the beginning of the contractual phase, a summary report is written as the R&D progresses toward transition readiness. Further, when Phase III transition/commercialization is realized, the firm may elect to work with its technical point of contact (TPOC) in developing an innovation or transition success story. Each of these documents plays a distinct role in furthering and/or reporting transition opportunities. Phase II interim and final summary reports should reflect relatively mature R&D accomplishments that are ready for transition to Phase III commercialization. Success stories demonstrate transition results, prompting additional buyers to be interested in the technology (often leading to spin-offs and further R&D progress). Phase II Summary Report Submission Cycle When required by the solicitation/contract, a Phase II interim summary report should normally be submitted 12 months after the start date of the Phase II contract. The firm should refer to the contract data requirements list or other language in the contract for specific guidance. When preparing this interim summary report, the firm should start by the reviewing the wording in the Phase II proposal abstract. The proposal abstract indicates what the firm intends to accomplish if a Phase II contract is awarded. By contrast, the interim summary report should reflect progress made during the first year and general R&D expectations during the remaining year. The interim summary report may be thought of as an updated Phase II abstract. An interim summary report should not exceed 500 words, and a single graphic/photo may be included with the report. A Phase II final summary report should normally be submitted concurrently with the final technical report. The firm should refer to the contract data requirements list or other language in the contract for specific guidance on submitting the final technical report. When preparing this final summary report, the firm should start by the reviewing the wording in the Phase II interim summary report and the Phase II proposal abstract. The final summary report may be thought of as an updated interim summary report, showing the R&D accomplishments made during the entire Phase II cycle. Among other things, transition readiness should be addressed. A final summary report should not exceed 500 words, and a single graphic/photo may be included.
3 Phase II Summary Report Submission Process Summary reports must be submitted electronically via the Small Business area of the Air Force SBIR/STTR website. Log into the Small Business area by entering your company name and password. If you have issues accessing your account, contact the Air Force SBIR/ STTR Help Desk at or (937) After you have successfully logged in, select the Summary Reports button on the right-hand side of the screen. The Summary Report Listing page is displayed (Fig. 1). It is in the format of a grid that shows all the summary reports you have created and their current status (i.e., draft, submitted). Three actions icons are located on the grid. From left to right they are: Edit, Delete and View. References to Specific Aircraft Models and Weapon Systems Unless there is a compelling reason to refer to a specific aircraft model, omit such reference or refer to a generic category. Don t name-drop specific aircraft models or weapons systems for writing effect. Unless there is a compelling reason for referring to a specific aircraft or weapon system in describing your technology or its application, it is advisable to not refer to the aircraft or weapon system. For instance, if a specific aircraft model (e.g., F-22) is mentioned, your report may then need to be coordinated with the F-22 system program office as part of the security review process. At the same time, reference to fighter aircraft might help you make the same point without causing the added clearance steps. Remember, be sure to properly define all acronyms. Figure 1. Summary report listing page Edit Displays the current summary report. Click the Edit link to make any additions/changes and to save again as Draft or to Submit as Final. If your report is already been submitted the Edit feature is no longer active. Delete Click Delete to remove a summary report in Draft status. Please note that you cannot delete a report in Submitted status. View To view your summary report as it might appear when posted within the Topic/Award Data Search section of the Air Force SBIR/STTR website, click View Report to see it in portable document format (PDF). Some Writing Dos and Don ts Although there is no one best way for drafting summary reports, we want small businesses to be aware of some fundamental security and public affairs considerations involved within the clearance process. Technical Details Provide technical information in a generic fashion. Remember, this is a public website that can be viewed by foreign entities, as well as U.S. buyers. As a general rule, be prudent with the use of specific technical details. It is advisable to provide technical information in a generic fashion to the degree possible. A summary report, intended for posting to the Air Force SBIR/STTR website, should not be as detailed as the technical report submitted for cataloguing with the Defense Technical Information Center at the end of Phase II. In a summary report, it is best to avoid references to specific (e.g., numeric) technical attributes, like product dimensions, speed, or tolerance levels. Rather, provide marketing-type information that can be promulgated within the public domain. Writing with Restraint Avoid spectacular claims. When presenting the R&D accomplishments and anticipated benefits, a factual, moderate approach is best. While you may feel that your SBIR technology will save X millions or billions of dollars if used, this sort of claim can present clearance problems. It is more appropriate to indicate that substantial cost savings could occur in maintenance, training, etc., categories. Similarly, use meaningful, yet restrained, language in describing your technology s attributes.
4 Report Length: Seeking the Proper Balance A summary report with just a couple of sentences can give the impression that your R&D results might not be substantive or meaningful. At the same time, an overly verbose and rambling report can cause the reader to get lost in the details and lose interest. Provide a sufficient amount of information, but not an excessive. It is all a matter of balance. If prospective buyers want additional information, Add Summary Report To add a new summary report click the Add Sumary Report link above the grid. This is the means by which you electronically prepare and submit a summary report. When preparing a summary report, please keep the following in mind: The summary report is prepared by the SBIR/STTR firm, with only minor Air Force editing of the report for security and public affairs clearance purposes. The report is not an Air Force prepared or verified document, and a disclaimer will be posted to that effect within the Air Force SBIR/STTR website. Summary reports are intended for posting to the Air Force s public SBIR/STTR website. Small businesses must ensure that such reports do not include any classified, proprietary or otherwise sensitive information. Be prudent with the use of specific technical details. Include a photograph or graphic image to help illustrate your technology. Once you click Add Summary Report, you will open an electronic form in Edit mode with the heading Add Summary Report Details, There are three primary sections: Summary Report Point of Contact This information is optional with the exception of the phone number. All these items are highly recommended: Prefix First name Last name address Phone number (Required) Grant U.S. Air Force Permission In order to post your summary report to the Air Force SBIR/STTR website, you need to select I Do in response to the posted question which reads: Do you grant the US Air Force permission to edit some or all of the information provided here and use it on a website available to the general public and/or for use in printed materials? Note: If I Do Not is selected, the summary report cannot be saved as a draft or submitted as final. Report Details Type Select the type of summary report (Phase II interim or Phase II final) Title See Proposal Number below. This field is autopopulated by selecting the Select Proposal link. The field can then be edited to allow for minor wording modifications that might add clarification. Proposal Number Click the Select Proposal link to automatically populate the Title, Proposal Number, Topic Number, and Command. This information comes from the Phase II award abstract database, based on your selection. Clearance Number: Air Force personnel will assign this following review and approval of the summary report. Note: If your firm has received a clearance number from the Air Force based on an earlier review of this specific summary report, please indicate this fact in the Additional Comments text block. Contain Classified or Proprietary Information? In order to save your summary report on the Air Force SBIR/STTR public website, the Classified Information and Proprietary Information questions must contain a No response. Would this make a good Innovation/Transition Story? If Yes for a Phase II SBIR/STTR project, please generate and submit a candidate story. See the Search & Submit Success Story link under Small Business section of the website. Key Technology Area Air Force personnel will assign (e.g., Materials/Processes). Summation (Technology Description) For your convenience, your Phase II award abstract narrative (if currently populated in the award database) appear, directly above the Summation and Anticipated Benefits text entry blocks. This allows you to easily copy and paste any desired abstract content as you prepare and edit your text entries.there is a 500- character limit. A spell checking tool is available for your use. Anticipated Benefits Please add/update the anticipated benefits of this effort. There is a 500- character limit. Additional Comments This text block is optional
5 and can be used to provide additional comments that you wish to highlight to the Air Force. These comments will not be released to the public; rather, they will be viewed only by the Air Force. There is a 500-character limit. Photograph Caption Enter a short caption for the attached graphic (if included). There is a 200-character limit. Photograph Image Attaching a photograph/graphic is optional. It allows your summary report to have a more appealing look when it is posted to the Air Force SBIR/ STTR website. The image must be in either.jpg or.gif format. Process Summary Report Once you have completed your entries there are three options located at the top of the report: Back to List After saving your report, this hyperlink takes you back to the Summary Reports grid. The menu grid displays saved summary reports, showing the Type of Report, Title, Topic Number, Proposal Number, and Status. Cancel Selecting this link returns you to the summary report listing (grid). Any changes made to the report that have not been saved will be discarded. Save As Draft/Submit as Final You can save the summary report one of two ways: (1) Save as Draft or (2) Submit as Final. If you save as draft, you can reopen the report in the Edit mode and make further modifications. However, you must ultimately Submit as Final in order to complete the summary report electronic submission process. Once you submit as final, no further company edits are possible and the Air Force will start processing the report for subsequent posting to the Air Force SBIR/STTR website. In the event you notice a significant discrepancy in your summary report after it has been submitted, contact the Air Force SBIR/STTR website manager for assistance. Air Force Review and Approval Each summary report will undergo multiple reviews by Air Force personnel prior to being cleared for posting to the Air Force SBIR/STTR website. Initial Editorial Review The initial review will be of an overall editorial nature. This will be accomplished by the Air Force SBIR/STTR website manager. This review will involves checking to make sure that the graphic image is in a suitable file format so it can be displayed and that a caption accompanies the graphic and performing a general grammatical and spelling check review. Note: Please be sure to define all acronyms. Some minor editing may be done to address material that is contrary to summary report writing guidelines. To the degree possible, the wording submitted by the small business will be used. This is because the summary report is a small business product, not an Air Force initiated or verified document. However, during the review process, anyone in the Air Force review chain may contact the firm for clarification or amplifying details. If the submitted report has substantial deficiencies, the firm may be required to resubmit the report. Technical and Security Reviews A technical review will be conducted by an Air Force representative with knowledge about the specific technology. This is normally the TPOC. The local organization s security review involves an examination of the summary report in terms of looking for any sensitive or inappropriate material for public disclosure. The security review, conducted by the local organization s Operations Security (OPSEC) office, is accomplished prior to assignment of an OPSEC clearance number. Before a summary report can be posted to the Air Force SBIR/STTR website, it must have an OPSEC clearance number assigned. In some instances, local policy may require a public affairs clearance number in lieu of an OPSEC of the number. Each iteration of the Air Force SBIR/STTR website s posting for a specific summary report must undergo a separate security clearance review. Thus, separate clearance numbers will normally be provided for the Phase II interim summary report (clearance # 1) the Phase II final summary report (clearance # 2). Final Quality Assurance Review The Air Force SBIR/STTR website manager s quality assurance review completes the process. The Air Force SBIR/STTR website manager reviews the summary report to make sure that all blocks are properly checked and that a clearance number is assigned. If everything is in order, the summary report will be published on the Air Force SBIR/STTR website. General Information Questions concerning summary report preparation and processing may be addressed to the Air Force SBIR/ STTR website manager (see Contact Us web page for and telephone number). Technical questions relating to a summary report for a specific SBIR topic number should be addressed to the TPOC or other Air Force POC (see SBIR/STTR Points of Contact page on the website).
6 Helpful Hints Series Writing SBIR/STTR Topics Technical Points of Contact (TPOCs) Sponsor Points of Contact (SPOCs) SBIR/STTR Summary Reporting Air Force SBIR/STTR Program Office AFRL/SB th Street Wright-Patterson AFB OH Comm: (800) Fax: (937) Discover Innovate Leverage This pamphlet is intended as a guide only. It does not take precedence over any Air Force directives or instructions.
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