Fields 1-8: SBIR/STTR Information Form Instructions

Agency to which you are applying 

Select DOE as the agency to which you are applying. 

SBC Control ID 

Enter the 9-digit code you received from registration of the small business with SBIR.gov. 

Program Type 

Select either STTR or SBIR or Both. 

Application Type 

Check the Phase I box.  Do NOT check the Commercialization Readiness Program box.   

Phase I LOI Number 

Leave this field blank.   

Agency Topic/Subtopic 

Enter the two-digit Topic number and Subtopic letter (e.g.: 08c). 

1a 

• Check the “Yes” box if you certify that at the time of award, your organization will meet the eligibility criteria for a small business as defined in the FOA.   
• Check the “No” box if your organization will not meet the eligibility criteria. 

1b 

Enter the anticipated number of personnel to be employed at your organization at the time of award. 

1c 

• Check the “Yes” box if your organization is majority owned by venture capital operating companies, hedge funds, or private equity firms.   
• Check the “No” box if it is not majority owned by any of these types of entities.   

1d 

• Check the “Yes” box if your organization is a Faculty or Student-Owned entity. 
• Check the “No” box if it is not.  

2 

• Check the “Yes” box the if the application includes subcontracts with Federal laboratories of any other Federal Government agencies.  If yes, then list the names of the Federal laboratories/agencies in the space provided.   
• Check the “No” box if the application does not include any such Federal subcontracts.  

3 

• Check the “Yes” box if the small business is located in a HUBZone.   
• Check the “No” box if the small business is not located in a HUBZone. 

4 

• Check the “Yes” box if all research and development on the project will be performed in its entirety in the United States.   
• Check the “No” box if all research and development on the project will not be performed in the United State.  If “No” is checked, use the “Add Attachment” button to provide an explanation and justification.  

5 

• Check the “Yes” box if the applicant and/or PI has submitted proposals for essentially equivalent work under other Federal program solicitations or received other Federal awards for essentially equivalent work.  If yes, provide the following: 

• Name, address, and point of contact including telephone number of the agency(s) to which a proposal or grant application was submitted, or will be submitted, or from which an award is expected or has been received. 
• Date of submission or the date of award. 
• Title of the grant application. 
• Name and title of the project manager or Principal Investigator for each proposal or grant application submitted or award received. 
• Number and date of the funding opportunity notice under which the application was submitted or award was received. 
• Title of the specific research topic to which the application was submitted or award was received.   
• In the event that a proposal or grant application is selection for award by more than one agency, a negotiation will be conducted among the parties to avoid duplication of effort.   
• If you need to elaborate on your response to this question, please provide the information in a single PDF and attach it to Field 12 of the “Research and Related Other Project Information Form.” 

• Check the “No” box if the applicant and/or PI has not submitted proposals for essentially equivalent work under other Federal program solicitations or received other Federal awards for essentially equivalent work. 

6 

• Check the “Yes” box if the application does not result in an award and the Government is permitted to disclose the title of your proposed project and the name, address, telephone number, and email address of the official signing for the applicant organization, to organizations that may be interested in contacting you for further information (e.g., possible collaborations, investment). 
• Check the “No” box if the Government does not have permission to release your information in the event that the application is not selected for an award. 

7 

• Check the “Yes” box if the application includes a request for SBIR/STTR funds for TABA and the applicant is choosing to select their own vendor for this service.   
• Check the “No” box if the applicant plans to use the agency TABA vendor, which does not require you to include a request for TABA funds in your application. 

8 

Upload the Commercialization Plan as a pdf by clicking “Add Attachment” and selecting the appropriate file on your computer.  Please note that this document may not exceed 4 pages and applications submitted without a Commercialization Plan will be administratively declined.  For more information on the completion of a Commercialization Plan, please see here.