Preparing a DOE SBIR/STTR Phase I Grant Application

The Instructions for Completing a DOE SBIR/STTR Phase I Grant Application guide contains instructions and other useful information for preparing the required forms for a grant from the U. S. Department of Energy for Small Business Innovation Research (SBIR) or Small Business Technology Transfer (STTR) Phase I Grants. This application guide is used as a companion document to completing the SF-424 (R&R) form and the required forms.  

Additionally download the DOE SBIR/STTR Phase I Application Requirements Checklist

The following forms are required for a Phase I and II DOE SBIR/STTR Application:

SF-424 Research & Related (R&R) Application for Federal Assistance

R & R Budget

  • Key Persons – Section A
  • Other Persons, if applicable - Section B
  • Equipment, Travel and Support Costs, if applicable - Section C, D & E
  • Other Direct and Indirect Costs, Fee - Section F-K
  • Budget Justification Template – Section L
  • R&R Budget - Cumulative Budget

R&R Senior/Key Person Profile (Expanded)

  • Biographical Sketch for each person
  • Current and Pending Support for each person, if applicable

R&R Other Project Information

  • Project Summary/Abstract
  • Project Narrative, including required appendices (See Table 1.1 in Application Guide)
  • Other – Data Management Plan
  • Other – Letter of Commitment for consultant, sub-award or research institution, if applicable
  • Other – Letters of support, if applicable
  • Other – SBA Company Registration
  • Other – Company Commercialization Report from (STTR-only applications)
  • Level-of-Effort Worksheet (Excel spreadsheet for performing the calculation can be downloaded below)

R&R Sub-award Budget Form, if applicable

  • Budget justification for each Sub-award

SFLLL Disclosure of Lobbying Activities, if applicable (Optional)

Project/Performance Site Location(s)

SBIR/STTR Information Form

Commercialization Plan for Phase I SBIR/STTR – Example:
This is an example (not a template) provided as guidance on the types of information that should be provided as part of the Phase I DOE SBIR/STTR grant application. The Phase I commercialization plan must not exceed 4 pages in length. The information you provide in an SBIR/STTR Phase I commercialization plan will vary greatly with technology and application. For those delivering modifications of existing technology into an existing market, you will know much more about your potential customers and competitors. For those developing new technologies into emerging markets, the market information will be more challenging to obtain or estimate.

Company Commercialization Report

Applicants who have had prior SBIR/STTR Phase II awards from any federal agency must provide the Company Commercialization Report (CCR) from SBIR and STTR awardees are required by the SBA Policy Directive to update and maintain their organization’s CCR on Companies may complete this report by logging into the company’s account on and starting a new Company Commercialization Report. For guidance visit

  • SBIR and Both application uploads within SBIR/STTR Information Form – Field 8
  • STTR-only application uploads within RR Other Project Information Form - Field 12 Other Attachments
Guidance for Indirect Rate Submission:

The following provides some guidance with respect to preparing indirect rates to be used in supporting your grant and/or proposal. The indirect submissions included are examples and are not meant to reflect your actual cost categories or costs. In addition, percentages used to allocate the costs between G&A and overhead are only examples, and you should base your percentages on the best information you have available.

We have created the following three separate spreadsheets, and a DEMO, which you can use as indirect rate tools, depending on whether you are electing to use one, two, or three separate rates.

Level of Effort Worksheet New for FY 2020
For calculating the percent of research and analytical effort performed by the small business, the research institution, if any, and other consultants or subcontractors.
Click here for the Excel spreadsheet

Model Intellectual Property Management Plan

Selected SBIR/STTR topics in which two or more applicants collaborate to achieve a desired R&D objective require an Intellectual Property Management Plan. To facilitate the conclusion of Intellectual Property Management Plans the following Model Plan was developed. Intellectual Property Management Plans facilitate compliance with the terms and conditions of Department of Energy (DOE) financial assistance awards and work authorizations, and expedite commercialization and the dissemination of scientific data. Model clauses are provided in this Model Plan, along with explanatory text in italic.

Phase II Application - Additional Documents*

DOE Investment Multiplier Worksheets
Within your Phase II Commercialization Plan, you must provide an estimate of the DOE Return on Investment (ROI) or Net Present Value (NPV). To help project NPV, please refer these worksheets.


* Required forms for Phase II application.