SF424

The SF424 Form is the first form that applicants encounter in the application workspace and certain fields in the SF424 will auto populate fields in other forms as the applicant progresses through the workspace.  The SF424 serves as an overall summary document of the proposed project in that it includes the contact information and addresses of the Applicant Organization, the Administrative/Business Representative, and the PI, the project topic and subtopic, the project title, and the requested federal funding amount, among other essential pieces of information.  

As the SF424 is used by multiple granting agencies, not all fields are applicable to DOE SBIR applications.  Additionally, certain fields will auto populate based upon the funding opportunity selected, and other fields are to be used by the representatives at the granting agency.  In the step-by-step instructions below, we indicate exactly which fields will require the attention of the applicant.  However, before delving into the step-by-step instructions, we would like to suggest that applicants gather certain pieces of information that will help streamline the process.    

General PI Requirements & Restrictions Pages Status Spreadsheet 

General PI Requirements & Restrictions 

The PI is the key individual designated by the applicant to direct the project.  The PI must be knowledgeable in all technical aspects of the grant application and be capable of leading the research effort.  As the DOE’s evaluation of the grant application is critically dependent on the qualifications of the PI, this individual should be chosen very carefully.  Any changes in the PI that are made after award selection are strongly discouraged and must be pre-approved by the DOE.  Requests for PI changes will be closely scrutinized and may cause delays in grant execution.   

Time Allocated to Project 

The PI is required to devote a considerable part of their time to the project.  “Considerable” means a minimum average of 3 hours per week for the duration of the project for both SBIR and STTR Phase I projects.  For example, a 9-month project, lasting 39 weeks, would require a commitment of 117 hours.  Applicants must state the duration of the project in weeks, if the project is to be completed in less than 9 months, in order to make it clear that this requirement is fully met.  Before a grant is awarded, the PI will be required to sign a statement certifying adherence to these requirements.   

Number of PIs Per Project 

To ensure appropriate technical guidance for the project, only one PI will be accepted per project.  Co-PIs are not permitted.  

Citizenship Requirements 

Non-U.S. citizens are eligible to perform work on SBIR/STTR projects provided they are legally empowered to work in the U.S. at the time that an award is made and throughout its duration.  Before a grant is awarded, the PI will be required to sign a statement certifying adherence to these requirements.   

Additional PI Restrictions – SBIR Program Only 

To be awarded an SBIR grant, the applicant must meet the general requirements and the PI’s primary employment must be with the small business applicant at the time of the award and during the conduct of the proposed research.  Primary employment means no less than 20 hours per week is spent in the employment of the small business during the conduct of the project and no more than 19 hours per week spent in the employment of another organization. 

Additional PI Restrictions – STTR Program Only 

To be awarded an STTR grant, the applicant must meet the general requirements and the PI’s primary employment may be with the small business or the research institution.  However, the small business must still provide technical control and oversight of the project.  If the PI is employed by the research institution, then the PI’s primary employment (at least 20 hours per week) must be with the research institution in order to qualify under STTR.  The PI’s research institution must provide at least 30% of the research effort.   

Additional PI Restrictions when submitting to both SBIR & STTR 

Applicants submitting to both programs must adhere to the PI restrictions set forth.  Therefore, if the PI is employed by the small business, the applicant is eligible to submit to both programs.  However, in cases where the PI is employed by the research institution, the application will ONLY be considered under the STTR Program.