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The chart below is meant to provide a guideline for the completion of the many steps involved in an SBIR/STTR grant application.  This planner begins with the release of the Topics document.  Certain steps will take much longer than others, while others will require more leg work to complete such as gathering required documentation from collaborating partners and securing biosketches from key personnel who may not be employed by the applicant organization.  Further, it is essential that applicants allow themselves as much time as possible to work on the Project Narrative and provide an application that is responsive to the FOA.  

This schedule was developed with small business organizations in mind that have limited staff and are relatively new to the SBIR/STTR grant application process.  We recognized that experienced grant writers or companies with larger staffs, and personnel dedicated to specific areas, may approach this process differently.  In addition to the actions listed below, applicants should also review the DOE Funding Opportunities website and plan to attend upcoming webinars associated with the FOA.  



Standard

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12 week
schedule - starts when Topics Document Released

12345678910111213
Review Topics/
Subtopcs
Subtopics

Select best Topic/subtopic pair












Decide SBIR/STTR or BothSBIR or STTR or BothIf STTR, reach out to Research Institution (RI)










Contact Topic Author
Send email

Contact topic authorFollow
-
up if necessary









Locate Service Providers
SBDC, PTAC, Phase 0RegistrationsPAMSSAM registration
visit https://www.sbir.gov/local-assistance










Registrations PAMSSAMSSBAGrants.gov
SBA




Prepare Project Narrative
Write partGet feedbackWrite moreGet feedbackWrite moreGet FeedbackTweakGet Feedback

Document & Finalize Outline Gather & Adjudicate Feedback on OutlineComplete Draft of First Half*Gather & Adjudicate Feedback on First HalfComplete Draft of Second Half**Gather & Adjudicate Feedback on Second HalfReview & Edit Completed Draft Gather & Adjudicate Feedback on Completed DraftAdd Proprietary  Markings
Add markings



Download /review FOA


Download FOA from DOE website








Letter of Intent (LOI)


Write Draft
Get feedbacksubmit LOI
LOIGather & Adjudicate FeedbackSubmit LOI in PAMS






Principal Investigator (PI) role
Role?Confirm whoBudget Justification Staffing $Facilities $Get Feedback


Determine Possible PIsDefine and document PIs role on the projectConfirm final PIAuthor PI Biosketch, and Current/Pending Support List






Budget

Determine Project ScopeCreate Budget EstimateComplete Detailed Budget AssemblyGather & Adjudicate Feedback (if necessary)Finalize





Employees, subs, consultants
DiscussConfirm



Estimate Staffing Needs

Build Staff Breakdown (employee/sub/1099)

Gather & Adjudicate Feedback (if necessary)Confirm





Budget Justification 



Gather Supporting Docs & Write Staff JustificationGather Supporting Docs & Write Facilities  JustificationGather & Adjudicate Feedback (if necessary)Finalize




Required Forms (RI, subs)
Distribute




Send forms to RI/SubsRI/Subs fill out formsFollow
-
up
SecureNEW ITEM: PIER PLANThink aboutReach outPrepare
and Finalize





Commercialization Plan




Review
Ex.
Example and Finalize OutlineCreate First Draft
Get Feedback
Gather & Adjudicate Feedback (if necessary)Finalize



Letters of Support
Think aboutReach outFollow-up






Create a list of possible referencesContact References & Provide GuidanceFollow Up & Finalize Letters of SupportFinalize Letters of Support
Secure



Access Grants.gov workspace
Download formsStart completing








Log-in & Begin Completing FormsComplete Forms as Required by FOAFinalize Forms as Required by FOA
Get feedback as needed


Prepare Abstract/Summary
Prepare










Author Abstract

Biosketches
Format?







Identify PersonnelRequest Biosketches from all
Proof
Personnel Review, provide feedback, and ask for updatesFinalize all Biosketches and Current & Pending Support

Full Application due










Submit earlyApplication due
Have questions about FOA?Reach out to DOE Help Desk as needed; as well as help for Grants.gov and PAMS


Week 

Activities -

12

Standard Calendar 

1 

Topics Released 

  • Download & review topics/subtopics document
 
  • .
  • Determine potential topic/subtopic pair
 
  • .
  • Determine SBIR, STTR, or both.
  • Research issuing office - review mission, needs, research, programs
 Assess ability to successfully respond to topic/subtopic pair 

2 

  • Begin PAM registration
  • If applying for STTR or both, contact Research Institution (RI) or locate potential RI.
  • Contact Topic Author
/Manager if you have questions 
  • Consider personnel and/or partnerships required to respond to topic/subtopic pair 
  • Begin SAM registration 

    • 2 

  • Begin PAMS registration 
    • if necessary.
    • Continue contacting local service providers if necessary.
    • Download DOE SBIR/STTR Application checklist
     
    Review
    • Document and Finalize outline of Project Narrative
    Guidelines

    3 

    • Verify that PAM registration is complete if you have not received notification yet 
    • Register in Grants.gov 
    • Continue formulating/drafting Project Narrative 
    • If STTR and RI not determined yet, continue to work on establishing partnership with appropriate RI. 
    • Begin to formulate budget.  Try to determine as early as possible if subcontractors, consortia, or other partnerships will be necessary to carry out proposed R&D. 

    4 

    FOA Released 

    • . 
  • Determine type of application:  SBIR, STTR, or Both
  • If STTR application, begin contacts with RI if you have an established relationship with appropriate institution of if you have an institution in mind.  If you do not have an RI in mind or an established relationship, review the “Partnering” resources page in the SBIR online guide and take steps to find a partner RI. 
  • Begin formulating/drafting Project Narrative 
  • Determine PI and other key personnel (if possible) 

    • 3 

    • Begin SAM registration.
    • Follow up with Topic Author if necessary.
    • Gather and adjudicate feedback on Project Narrative outline.
    • Determine possible PI. 
    • Determine project scope for budgeting purposes.

     4 

    FOA Released 

    • Complete draft of first half of the Project Narrative. *Please note, "first half" equates to the following Narrative elements: Identification of the Problem & Technical Approach, Anticipated Public Benefits, Technical Objectives & Work Plan, and the Performance Schedule.
    • Locate appropriate FOA in grants.gov, download, and review for application requirements
    &
    • and specifics
     
  • Finalize senior / key personnel and begin completing biosketches 
  • Begin completing Current & Pending Support for PI and key / senior persons  
  • Begin drafting LOI 
  • Continue drafting Project Narrative 
  • If working with a service provider or reviewer, begin providing Project Narrative sections for review as they are completed for comments 
    • .
    • Write draft LOI. 
    • Define and document PIs role on the project.
    • Complete draft of first half of Project Narrative.
    • Create budget estimate.
    • Estimate Staffing Needs.

    5 

    • Gather and adjudicate feedback on first half of Project Narrative.
    • Gather and adjudicate feedback on LOI.  
    • Confirm PI.
    • Complete detailed budget assembly. 
    • Build Staff Breakdown (employee/sub/1099).
    • Gather supporting documents and write staff justification for Budget Justification.
    • Send forms to RI and any subcontractors.  

    6 

    • Complete draft of second half of Project Narrative. **Please note, "second half" equates to the following Project Narrative elements: Partners: Research Institutions (if applicable), Other Consultants & Subcontractors, Facilities, Other Resources, & Equipment, and Bibliography & References Cited.
    • Submit LOI in PAMS.
    • Author PI Biosketch, and Current/Pending Support List.
    • Gather and adjudicate feedback on Budget.
    • Gather and adjudicate feedback on personnel, if necessary.
    • Gather supporting documentation and write facilities justification if applicable for Budget Justification.
    • Ensure that RI and/or subcontractors are completing forms.  
    • Review example and finalize outline of Commercialization Plan.

    5 

    • Finalize partnerships with RI, consortia, and any partnering organizations 
    • Continue drafting Project Narrative 
    • Continue to formulate budget 
    • Review PIER Plan requirements and begin formulating PIER Plan 
    • Review Commercialization Plan requirements and determine if outside assistance from service provider needed  

    6 

  • Verify SAM registration complete 
  • Submit LOI in PAMS 
  • Begin entering information on the SF424 webform in Grants.gov 
  • Register as SBA on SBIR.gov 
    • Request letters of commitment/funding/support from RI, consortia, and/or any partnering organizations  

    7 

    LOI due 

    • Finalize biosketches for PI and all senior/key persons 
    • Continue drafting Project Narrative 
    • Continue to formulate budget 
    • Divide time between creative aspects of writing Project Narrative and completing required forms - R & R Senior/Key Person Form, R&R Other Project Information Form, SBIR/STTR Information Form.   

    8 

    • If partnering with RI or any subcontractors, send subaward budget documents (downloaded from grants.gov application workspace) to RI or representative for completion 
    • Continue drafting Project Narrative 
    • Continue to formulate budget 
    • Begin Budget Justification Form 
    • Determine data management plan; if working with an RI, ensure that there is agreement on how/if data is to be shared 

    9 

  • Continue drafting Project Narrative 
  • Continue to formulate budget 
  • Divide time between creative aspects of writing Project Narrative and completing required forms - R & R Senior/Key Person Form, R&R Other Project Information Form, SBIR/STTR Information Form.   
  • Complete Level of Effort and Max Funding spreadsheet 
    • Gather and adjudicate feedback on second half of the Project Narrative.
    • Finalize Budget.
    • Confirm personnel. 
    • Create first draft of the Commercialization Plan.
    • Follow up with RI or any subcontractors regarding required forms.
    • Create a list of possible references for Letters of Support. 

    8 

    • Review and edit completed draft of Project Narrative.
    • Finalize Budget Justification.
    • Gather and adjudicate feedback on the Commercialization Plan. 
    • Contact references and provide guidance for Letters of Support.
    • Identify personnel for which biosketches and current and pending support lists are required. 

    9 

    • Begin Grants.gov registration.
    • Gather and adjudicate feedback on completed draft of Project Narrative.
    • Finalize Commercialization Plan.
    • Follow up with references and finalize Letters of Support.
    • Once registered with Grants.gov, create workspace and download application package and begin completing form.
    • Request Biosketches and pending and current support lists from all personnel..
    Review DOE application checklist to ensure all required forms have been completed 

    10 

    Non-responsive feedback, if any, issue 

    • If you receive non-responsive feedback, review, address the comments, and determine next steps 
    • Register as SBC on 
  • Begin finalizing Project Narrative 
  • Begin finalizing Budget 
  • Review subaward budgets (if any) from RI and/or subcontractors 
  • Finalize PIER Plan 
  • Finalize Commercialization Plan 
  • Finalize Budget Justification Form 
    • SBIR.gov
    • Add Proprietary  Markings to Project Narrative.
    • Finalize Letters of Support.
    • Complete forms as required by FOA.
    • Review, provide feedback, and ask for updates on Biosketches and current and pending support lists.  

    11 

    • Finalize forms as required by FOA.
    • Author Abstract / Project Summary.
    • Finalize all Biosketches and current & pending support.

    11 

  • Review Project Narrative for necessary edits and/or adjustments 
  • Review Budget for any errors or inconsistencies 
  • Review Budget Justification to ensure consistency with Budget 
    • Review DOE checklist to ensure all necessary forms completed 

    12 

    Submit application

     

    early.

    13 

    Full application due