The SBIR/STTR Information Form provides basic information about the applicant business, including business size and ownership, whether the applicant is applying for an SBIR or STTR award, or both, and the nature of the business ownership .  

The SBIR/STTR Information Form requires that applicants indicate specific information concerning the type of award they are apply for, the size and ownership of their small business, if the business is located in a HUBZone, and whether the proposed research and development will be performed completely in the United States, among other pertinent information.  Additionally, applicants will need to enter the 9-digit code received upon successful registration as an SBA with SBIR.gov. 

Applicants should be prepared to answer questions regarding any proposed subcontracts with Federal laboratories or any other Federal Government agencies for their application.  If the application does include such subcontracts, the relevant laboratories and/or agencies will need to be listed in Field 2.  If the applicant and/or Program Director/Principal Investigator has previously submitted proposals for essentially equivalent work under other Federal program solicitations or received other Federal awards for essentially equivalent work, the Federal agencies are required to be listed in Field 5.   

DOE provides discretionary funding in the amount of $6500 for the commercialization of SBIR/STTR-funded technologies through the Technical and Business Assistance Program (TABA).  Applicants may choose to use their own service provider or work with Larta, Inc., DOE’s preferred vendor and this information is captured in Field 7 of the SBIR/STTR Information Form.  If applicants elect to use DOE’s vendor, they do not need to include the services in the budget.  However, if the applicant chooses to use their own vendor, those services will need to be included as a subcontract or consultant in the budget and will need to be addressed in the budget justification.  More information regarding TABA is included in the budget section of this guide.  For information regarding the TABA program and the services provided by Larta Inc., please see the websites listed at right.   

Lastly, applicants will need to upload their Commercialization Plan in Field 8 of the SBIR/STTR Information form.  Instructions for completing the Commercialization Plan and a sample may be found here. 

SBIR/STTR Information Form Sections Shortcuts

SBIR/STTR Information Form Instructions: Fields 1-8

SBIR/STTR Information Form Instructions:  Program Type Specific Fields 9-13 

Helpful Tips: 

  • Have the 9-digit code that you received through registration of your small business with SBIR.gov at hand as it is required for this form. 
  • Be sure that you have the names of all Federal laboratories or Federal Government agencies that are participating in the proposed project with your firm. 
  • Determine the number of employees that will be working at your firm at the time of award.  
  • Determine if the small business is located in a HUBZone.  This may be determined by visiting the SBIR.gov website and entering the business address in the search field.  For more information about HUBZones and their locations, please visit the SBIR website included below.    
  • Be sure that the Commercialization Plan is completed as you must upload it as an attachment to Field 8. 
  • If you have received an SBIR Phase II award prior to this application, be prepared to provide a company commercialization history and upload the history to the SBIR/STTR Information form. 
  • If applying for an STTR award, have the UEI for the on-profit research partner on hand as this information will need to be entered in Field 13.  

Websites & Tutorials: 

Blank & Sample Forms:

  • A sample filled SBIR/STTR Information form:

                 


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