Preparing and Submitting a Phase I Letter of Intent
The following Letter of Intent Instructions
(25KB) provides guidance on how to prepare and submit a Letter of Intent (LOI). An LOI is a document that you submit in advance of your Phase I application to the DOE SBIR/STTR programs. It contains important information about your application, such as a technical abstract, that will assist DOE in identifying reviewers in advance of receiving your application. Applicants must submit a LOI for every application; only those applicants that submit a LOI by the due date are eligible to submit a full application.
Preparing a DOE SBIR/STTR Phase I Grant Application
The Instructions for Completing a DOE SBIR/STTR Phase I Grant Application (1.3MB) 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 Phase I Grant Small Business Technology Transfer (STTR) Phase I Grants. This application guide is used as a companion document to completing the SF424 (R&R) form and the following required forms. Each item listed below as a separate document. SBIR/STTR applicants will also complete the "SBIR/STTR Information component."
SF424 Research & Related (R&R) Application for Federal Assistance
- SFLLL Disclosure of Lobbying Activities, if applicable (Optional)
Project/Performance Site Location(s)
R&R Other Project Information
- Project Summary/Abstract
- Project Narrative, including required appendices
- Level-of-Effort Worksheet
- DOE Phase I Application Checklist
R&R Senior/Key Person Profile (Expanded)
Research and Related Budget
- R&R Budget - Section A&B
- R&R Budget - Section C, D & E
- R&R Budget - Section F-K
- Budget Justification (34KB)
- R&R Budget - Cumulative Budget
SBIR/STTR Information
Commercialization Plan for Phase I SBIR/STTR – Example: (95KB)
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 should be no more than 2 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.
To assist you in submitting the necessary forms with your SBIR/STTR Phase I grant application, please refer to the DOE SBIR/STTR Phase I Application Checklist. (12KB)
Guidance for Indirect Rate Submission: (20KB)
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.
Click here for the Excel spreadsheet (15KB)
Level of Effort Worksheet: (21KB)
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 (18KB)
Useful Documents for Awardees
Property and Commercialization Rights: applies to STTR Program Only
The Small Business Administration Policy Directive (PD) establishes policy for the conduct of the STTR program. The PD requires that an agreement exist between the Small Business Concern (SBC) and the participating Research Institution concerning the allocation of property and commercialization rights.
DOE Certification Form: Certification for Property and Commercialization Rights Agreement (12KB)
Please use this DOE Certification form to certify that an agreement exists between an SBC and the Research Institution that allocates intellectual property rights and rights, if any, to carry out follow-on research, development, or commercialization resulting from an STTR project.
General Terms and Conditions: (111KB)
The general terms and conditions do not restate all the provisions of applicable statutes and regulations, nor do they represent an exhaustive listing of all requirements applicable to this Assistance Agreement. Rather, they highlight and are consistent with those requirements which are especially pertinent to research grants in general.
Funding Agreement Certification – Time of Award
Awardees are required to sign the following funding agreement certifications at time of award:
Funding Agreement Certification – Life Cycle
Awardees will also sign certifications when they submit renewal applications or at the completion of their award.