DOE SBIR Phase I Applicant FAQ

Introduction

If you’re new to the Department of Energy’s SBIR program, the application process can seem complex. This guide is tailored specifically for first-time applicants looking to pursue a Phase I award with DOE. It addresses the most common questions small businesses ask as they prepare to apply, from eligibility to submission logistics. Whether you’re a solo founder or part of a growing team, this FAQ-style guide will walk you through what you need to know—clearly, concisely, and without unnecessary jargon.

Program Basics & Eligibility

What is the DOE SBIR Phase I Program?

DOE SBIR Phase I awards are short-term, early-stage R&D grants—usually up to $200,000—to help small businesses demonstrate the feasibility of a new scientific or energy-related idea. Projects typically last between six and twelve months. The purpose is to test whether your concept is viable before scaling up to a Phase II project, which funds full development over two years. If your Phase I effort shows technical merit and commercial potential, you may be invited to compete for Phase II funding.

What kinds of technologies does DOE fund?

DOE supports a wide range of research across science and energy domains. Each year, it releases two separate solicitations featuring topics from different offices. These range from advanced computing, materials, and fusion energy to clean energy systems, grid modernization, and cybersecurity. The specific focus areas vary with each solicitation, so always refer to the current Topics Document to find where your innovation fits.

Is my business eligible to apply?

To apply, you must be a for-profit U.S. business with 500 or fewer employees. Your company needs to be at least 51% owned and controlled by U.S. citizens or permanent residents. The Principal Investigator (PI) must be primarily employed by your business—spending more than half their time with you during the project. There’s no minimum team size; even a solo entrepreneur can apply, provided you demonstrate the capacity to carry out the R&D.

Competitiveness and Strategic Positioning

How competitive is a DOE SBIR Phase I?

DOE SBIR Phase I is highly competitive. Historically, only about 10–20% of proposals get funded, though this varies by topic and year. Even proposals rated “excellent” can be declined if the topic is oversubscribed or budget constraints limit the number of awards. Proposals go through peer review and are scored on scientific merit, team capability, and commercialization potential. Final selections also consider DOE’s strategic priorities, which may mean balancing funds across diverse topic areas.

Important
Even highly rated proposals may not receive funding if the topic is oversubscribed or DOE budget priorities shift.

Submitting a strong application takes effort, and rejection is common on the first try. Many awardees were successful only after revising and resubmitting based on reviewer feedback. If you’re serious about developing your technology, treat this as a multi-cycle opportunity—not a one-shot deal.

Administrative Prerequisites

What registrations are required before I apply?

Before you can submit a DOE SBIR proposal, you must complete several registrations—some of which can take weeks to process. These include:

• SAM.gov: Register your company to get a Unique Entity Identifier (UEI). Required for all federal awards.
• Grants.gov: The portal where you’ll submit your application. Requires linking with your SAM registration.
• SBIR.gov: Register your business with the SBA’s SBIR database to get a Company Control ID.
• DOE PAMS: Create accounts for both the PI and Business Official in DOE’s Portfolio Analysis and Management System, used to submit the Letter of Intent (LOI).

Plan for 6–8 weeks to complete these registrations if you’re starting from scratch. SAM.gov is often the slowest due to entity validation steps.

Recommendation
Start your SAM.gov registration at least 6 weeks before the solicitation deadline—it’s often the slowest step.

Finding Topics and Solicitation Details

Where do I find DOE’s SBIR topics and solicitations?

Each year, DOE issues two SBIR/STTR solicitations (called “Releases”), and each follows a two-step announcement process:

1. Topics Document: Released about a month before the full solicitation, this preview outlines all technical topics and subtopics. It helps you identify which areas align with your innovation before proposals are accepted.
2. Funding Opportunity Announcement (FOA): This official document includes all proposal rules, deadlines, and submission instructions. It’s published on both the DOE SBIR website and Grants.gov.

Check both sites regularly, and sign up for DOE SBIR alert emails so you don’t miss a release.

When are the solicitations and deadlines?

DOE runs two Phase I cycles annually:

• Release 1: Topics typically posted in August or September, with proposals due around October.
• Release 2: Topics released in December or January, with proposals due in February.

A critical early milestone is the Letter of Intent (LOI) deadline, which usually falls 3 weeks after the FOA is posted. If you miss the LOI deadline, you won’t be able to submit a full proposal for that cycle.

Letter of Intent (LOI) Requirements

What is a Letter of Intent and is it required?

Yes, the LOI is mandatory for all DOE SBIR and STTR Phase I applications. If you don’t submit one by the stated deadline, you won’t be able to submit a full proposal. The LOI is not a formal letter—it’s a 500-word abstract describing your project idea, submitted through the DOE PAMS portal. You’ll include your business info, the topic and subtopic you’re targeting, and a short technical summary.

DOE uses your LOI to assign reviewers and check whether your proposal idea is appropriate for the selected topic. If your LOI is “nonresponsive,” DOE will notify you before the proposal deadline so you can adjust or change topics if needed.

Compliance Warning
Missing the LOI deadline means you are ineligible to submit a full Phase I application for that release cycle.

How do I submit the LOI in PAMS?

To submit, log in to your PAMS account and create a new LOI under the current FOA. You’ll enter:

• Company name and UEI
• Principal Investigator (PI) info
• Target topic and subtopic
• Proposal title and abstract (~500 words)

Only the PI or an authorized Business Official can submit the LOI. Once submitted, DOE typically confirms receipt within a few days. Unless you receive a warning about topic non-responsiveness, you can proceed with your proposal.

What Happens Next

What happens after I submit my application?

Once submitted through Grants.gov, your proposal enters DOE’s multi-stage review process. First, it’s checked for administrative compliance—this includes making sure all required documents are included and formatted correctly. Proposals that pass this check move on to technical peer review.

During peer review, experts score your application based on three core criteria:

• Scientific and technical merit
• Qualifications of the team
• Commercialization potential

DOE uses these scores, along with internal program priorities, to make funding decisions. Even highly rated proposals may not be funded if resources are limited or if the topic area is oversubscribed.

You can typically expect to hear back within three to six months of submission. If selected, you’ll receive a notification and begin the award negotiation process. If declined, you’ll get reviewer feedback to help strengthen future submissions.