The DOE SBIR/STTR application process is intensive, requiring in excess of 100 hours of time for first-time applicants. The following table provides an overview of the forms that need to be completed and included with the application package, as well as guidance on level of effort for each form and recommendations on order of form completion.
Name of Document | Document Requirement Criteria | Preparation Recommendations |
Application for Federal Assistance, SF-424 Form | Required | This can be filled out once you have completed your budget. It requires ~ 1 hour. |
Research and Related: Budget Form | Required | Prior to completing this form, you will need to have developed your Project Narrative - in particular your work plan linked to the feasibility objectives. Additionally, you should have established all personnel, sub awardees, and labor, equipment, travel, supplies and material costs, including hours and rates for all personnel. Finally your indirect rate is required. This form requires a significant amount of effort, and requires knowledge of the total effort and purchases required to complete your Phase I project, so start as soon as your work plan is in order. |
Additional Senior Key Persons, if applicable | Only required if there are in excess of 99 Senior Key Persons over the PI. | |
Additional Equipment, if applicable | In the event the applicant is requesting more than 10 equipment items, additional equipment needs to be included as a separate attachment. | Equipment is defined as a tangible item purchased with grant funds that has a value of $5,000 or more. |
Budget Justification | Required | This form can be completed along with the budget once applicant knows all labor, equipment, travel, supplies and material costs, including hours and rates for all personnel. Note that budget and budget justification numbers must match! |
Research and Related: Senior/Key Person Profile (Expanded) Form | Required. This form will support the PI and up to 99 additional senior/key personnel. On the addition of the 99th senior/key person, you will be presented with an option to upload an additional file with the required information for all other senior/key personnel. | Complete once key personnel are identified |
Biographical Sketch for each person | Required | Complete once key personnel are identified. Please note that a biographical sketch is required for all key personnel and other individuals considered essential for the project. |
Current & Pending Support for each person, if applicable | Include only for key personnel with current and pending funding to report. | Complete once key personnel are identified |
Research and Related: Other Project Information Form | Required | Multiple required forms will be uploaded to this location. |
Project Abstract and Summary | Required | This should be completed after the Project Narrative as it requires summarizing your plan. |
Project Narrative (PN) | Required | This is one of the most critical parts of the application, get started right away! |
Data Management Plan | Not required if you do not plan to disclose your protected data (Option 1). See specifics | If you plan to disclose certain elements of your generated data (DMP Option 2), this plan will require careful consideration |
Disclosure of Foreign Relationships | Required | This form should be relatively easy to complete, particularly if you have little to no foreign relationships. It may be more time intensive if you have significant foreign relationships. |
Level of Effort & Max Funding Worksheet | Required | This form should be completed once your budget is completed and should only require 20 minutes. |
Other—Letter of Commitment for consultant, sub-award, or research institution, if applicable | Required for each consultant, sub-award or research institution. See sample. | Start 6 weeks in advance, giving your proposed sub awardees time to put together the letter and consider providing them with sample wording. |
Letters of Support, if applicable | Not required, but encouraged. If future or present private sector partners and/or customers are interested in testing, investing, purchasing or other role in support of your technology development, you should include such letters as they will be considered as part of the evaluation criterion on “Impact.” See samples. | Start 6 weeks in advance if you are getting letters of support, giving your partners time to put together the letter and consider providing them with sample wording. |
SBA Company Registration | Required | This is a quick process. Please note that you will need your company UEI to complete the registration. |
Company Commercialization Report from SBIR.gov for STTR-Only applications, if applicable | This is required if you have received a Phase II report from any federal agency. | |
Authorization for non-DOE/NNSA FFRDCs, if applicable | Required if you are working with a non-DOE or NNSA Federally Funded Research and Development Center (FFRDC) as a sub-contractor. If this applies, the Federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. | If needed, this form likely requires at least 6 weeks lead time in order to give the Federal agency time to prepare the document. |
Authorization for DOE/NNSA FFRDC, if applicable and if available | Required if you are working with a DOE or NNSA FFRDC as a sub-contractor. If this applies, the cognizant DOE Contracting Officer must authorize in writing the use of a DOE/NNSA FFRDC on the proposed project and this authorization should be submitted with the application. | If needed, this form likely requires at least 6 weeks lead time in order to give the DOE time to prepare the document. |
Research and Related: Sub-award Budget Form, if applicable | Required only if application includes subawards. Applicants must provide a separate R&R budget and budget justification for each subrecipient, such as a RI, subcontractor, or consortium. | Start early, giving your proposed sub awardees time to put together their budget. |
Budget Justification for each Sub-award | Required only if application includes subawards. Applicants must provide a separate R&R budget and budget justification for each subrecipient, such as a RI, subcontractor, or consortium. | Start early, giving your proposed sub awardees time to put together their budget justification. |
SF-LLL, Disclosure of Lobbying Activities, if applicable | Complete and submit a Disclosure of Lobbying Activities only if the applicant is lobbying the SBIR/STTR agency and/or someone in Congress regarding the application. If a subawardee of the application is lobbying the SBIR/STTR agency and/or someone in Congress regarding the application, a form will also be required for their firm/organization. | |
Project/Performance Site Location(s) | Required information on the location(s) where the work will be performed | This form is relatively straightforward. Under 1 hour |
SBIR/STTR Information Form | Required | This form is relatively straightforward |
Phase I Commercialization Plan | Required | Start early, develop this along with your Project Narrative |
Table Key:
|
