In Tutorial 9 we introduced the Proposal Preparation Checklist and recommended that you download that document and keep it close to your computer while working on your proposal. This tutorial goes into a little more detail and introduces a companion document on DOE’s website entitled Instructions for Completing a DOE SBIR/STTR Phase I Grant Application. This document starts with a chart that introduces the components of the documentation applicants need to submit as part of their SBIR or STTR application package. This summary chart can be found towards the beginning of this pdf.

In the list of mandatory and optional forms, it confirms the format in which documents should be submitted and whether the forms are “not applicable”, stand alone, or to be attached to specific fields on the grants.gov site. As an aside, if you find an inconsistency between this information in this document and the FOA, always follow the guidelines in the Funding Opportunity Announcement or FOA. Also please let DOE know of the inconsistency, so that it can be immediately addressed.

In looking at the Summary of documents, you will notice that the phrase “Not applicable” is used next to headings. This is really just to let you know that this is not a document per se – but a reference to a section of the application. Please also note that this entire 83-page document is a very detailed explanation of how to complete the DOE SBIR or STTR grant application package. Rather than trying to reiterate in detail what is well expressed in this document, let me spend a moment showing you how to use this document.

When you start to assemble your application package, have this document handy. Take a look at the list of components and look at those concepts that may be unfamiliar or confusing. For example, I wanted to know where is the “appropriate block” to include information on “R&R Senior/ Key Persons”. To find this information, I searched the document for the phrase “R&R Senior/Key Persons”, carefully copying the exact phrase from the component list. The “find” function immediately took me to a section heading within this document with the same name. There I found a screen shot from grants.gov showing me what to expect and what fields I needed to complete in this section.

The associated, written explanation was very helpful and also contained information that I found surprising. For example, you need to complete this section, before completing the Budget form, because info in that section is populated with the information that you enter here. The document also contained useful information about the Principal Investigator stating for example, that “non-U.S. citizens are eligible to perform work on SBIR/STTR projects provided they are legally empowered to work in the U.S. and perform the project work in the U. S. at the time that an award is made and throughout its duration.” Once you enter the information in the section on grants. Gov – the information is pre-populated in the SF424 form.