DHS SBIR Phase I Submission Checklist

Preparing a successful DHS SBIR Phase I proposal starts well before the submission portal opens. With strict formatting rules, required registrations, and a tightly defined set of proposal components, even small errors can disqualify an otherwise strong application. This guide breaks down every part of the DHS Phase I submission process into a clear, step-by-step checklist—organized by proposal components and designed to help you stay compliant, competitive, and on time.

Whether this is your first time applying or you’ve submitted SBIR proposals to other agencies, this checklist focuses specifically on DHS Science and Technology Directorate requirements. Each section outlines what to submit, how to format it, and what to watch for—so nothing slips through the cracks.

Submission Timeline Overview

DHS SBIR Phase I proposals operate on a strict schedule. Planning backward from the submission deadline is the most reliable way to ensure you meet every requirement and avoid last-minute issues. Here’s a high-level breakdown of the key preparation windows:

Required Registrations and Eligibility Checks

Before you can begin uploading documents or even accessing the DHS SBIR portal, you must complete several federal registrations and confirm that your business meets SBIR eligibility standards.

Confirm Your Eligibility

• Your business must have 500 or fewer employees.
• At least 51% must be U.S.-owned and operated.
• The Principal Investigator (PI) must be primarily employed by your business during the award period.
• All research and development must be conducted in the U.S., with rare exceptions.

SAM.gov Registration

Register your business at SAM.gov to obtain a Unique Entity ID (UEI). This process can take several weeks, especially if your data must be verified. An active SAM registration is mandatory for submission.

SBA Company Registry

Register at SBIR.gov to generate your SBA Company Registration PDF. This one-page document includes your SBC Control ID and must be uploaded with your proposal.

DHS SBIR Portal Account

Create an account at sbir.dhs.gov. You’ll need your Tax ID Number (TIN or EIN), business name, and UEI. Ensure your account is fully set up and validated well before the deadline, as technical issues close to submission day are difficult to resolve.

Proposal Package Components

A DHS SBIR Phase I proposal must include multiple components—some entered directly into the online portal and others uploaded as PDFs. Every element must be complete and consistent to pass administrative review.

Online Cover Sheet

The Cover Sheet is filled out in the DHS SBIR portal and includes:

• Project title, topic number, and proposal number
• Company and Principal Investigator information
• Contact information and brief abstract

Use identical contact information across all sections and documents. DHS requires the topic number and proposal number to appear in the header of every page of your uploaded technical PDF.

Online Cost Proposal

This section is entered into the portal’s built-in cost form and generates an official cost summary.

You’ll need to input:

• Direct labor costs and categories
• Fringe benefits, overhead, and G&A rates
• Material and equipment costs
• Travel and other direct costs
• Any subcontractor/consultant allocations

Important Budget Limit
The Phase I budget must not exceed $175,000—including all direct and indirect costs.

Before final submission, double-check that your uploaded technical proposal and cost narrative align with the figures entered online.

Upload Components

All uploaded files must comply with DHS formatting rules, page limits, and file naming conventions. The Technical Proposal and Briefing Chart are central to your application and must reflect the same project scope and costs detailed in your portal entries.

Technical Proposal (PDF Upload)

This is the main body of your Phase I application. DHS requires a strict format and sequence for the technical volume, with proposals limited to 15 pages total—including figures, resumes, and references. Use Times New Roman 12-point font, single-column layout, and 1-inch margins. Do not include proprietary markings on the cover sheet or abstract, and never password-protect your PDF.

Below is a summary of the 11 mandatory sections you must include:

Briefing Chart (Quad Chart)

Upload a one-page project summary using the DHS-provided quad chart template (see solicitation Attachment 3). This visual document should concisely show:

• Project objectives and need
• Key innovation
• Technical approach
• Anticipated benefits

Avoid proprietary content and ensure this document aligns with your Technical Proposal abstract and objectives.

Additional Uploads and Optional Documents

In addition to the core documents, DHS requires several uploads depending on your company’s circumstances and the specific topic you’re addressing. Make sure these are included if applicable—missing one can jeopardize your submission.

SBA Company Registration PDF

This one-page document confirms that you’ve registered your small business at SBIR.gov. It must:

• Be current
• Match the company name used in your other documents
• Be uploaded as a standalone PDF

Disclosure of Foreign Relationships

If any member of your team—or your company—has foreign affiliations, investments, or employees, you are required to upload a foreign relationship disclosure. This includes:

• Foreign nationals involved in the project
• Foreign investment or contracts
• Subcontractors outside the U.S.

Disqualification Risk
Failure to submit required foreign disclosure forms may result in rejection under DHS security screening (13 CFR 121.702).

If no foreign relationships exist, this document is not required—but double-check the solicitation instructions to confirm.

NDA or Other Topic-Specific Forms

Most DHS topics do not require an NDA, but some do—particularly those involving Government Furnished Information (GFI). If required:

• Download the NDA from the solicitation
• Fill, sign, and upload as instructed

Additionally, read the solicitation closely for any other certifications or forms. For example, you may need to acknowledge SBIR Funding Agreement Certifications at the time of award.

Final Formatting and Compliance Tips

DHS has firm formatting and submission rules. Even strong proposals will be rejected if they don’t conform. These final checks can help you avoid technical disqualification.

PDF Requirements

• All uploaded files must be in standard, non-password-protected PDF format.
• Use Times New Roman, 12-point font, single column, with 1-inch margins.
• You may use 10-point font in tables or figures, but text must remain legible.

Header Format

• Every page of the Technical Proposal PDF must include the company name, topic number, and proposal number in the header.

Page Limit Enforcement

• The Technical Proposal limit is 15 pages, including all content: text, tables, figures, resumes, and references.
• DHS uses a hard cutoff. Uploading even a single line over the limit may cause rejection by the submission portal.

Submission Tip
Proposals that exceed DHS page limits—even by one line—are automatically disqualified.

Upload Validation

• Uploads must display correctly in the DHS portal—preview every file.
• Ensure each filename matches portal instructions.
• Validate final totals across your cost proposal, technical proposal, and briefing chart.

Before hitting “Submit,” do a complete second-person review—have someone not involved in writing walk through every requirement and uploaded file.

Wrap-Up

Submitting a DHS SBIR Phase I proposal is as much about precision as it is about innovation. With multiple required documents, formatting rules, and registration systems involved, success depends on more than a good idea—it requires disciplined execution.

Use this checklist not just as a task list, but as a compliance roadmap. Missing even one detail—like an outdated registration or a header formatting error—can cost you the opportunity to compete. Start early, follow the requirements closely, and double-check every field, file, and upload. If your technology fits a DHS need, your proposal deserves the best chance to move forward.