ED SBIR Phase I Application Guide

Confirming Your Eligibility

To compete for a Department of Education (DoEd) SBIR Phase I award, your company and proposed Principal Investigator (PI) must meet precise eligibility requirements set by both the Small Business Administration (SBA) and the DoEd’s Institute of Education Sciences (IES).

The first filter is your business structure. You must operate a for-profit small business concern (SBC) headquartered in the United States. Your business and any affiliates must have 500 or fewer employees, and the company must be more than 50% directly owned and controlled by U.S. citizens or permanent residents, or by qualifying U.S.-based small businesses. If your business is majority-owned by venture capital or equity firms, you may still be eligible—provided those investors qualify and DoEd’s SBIR budget cap for such entities hasn’t been met.

The Principal Investigator (PI)—who leads the R&D effort—must be primarily employed by the applicant small business at the time of award and throughout the project period. For DoEd SBIR specifically, “primary employment” means the PI must commit at least 51% of their time to the applying business. The PI must also possess sufficient technical expertise to lead the work, although a PhD is not required. DoEd does not permit co-PIs or shared leadership roles.

Subcontracting is permitted but strictly limited in Phase I. At least two-thirds of the R&D budget must be spent by the small business itself. Only up to one-third of the budget can go to subcontractors or consultants. This rule ensures the awardee remains the central innovator.

If you don’t currently employ someone who meets all PI requirements, you may designate a contingent hire—a qualified candidate who has committed in writing to join your team if the award is granted.

Failure to meet any eligibility criteria—particularly with ownership, PI status, or U.S. operations—will lead to immediate disqualification. Review the solicitation carefully and ensure that your structure and staffing fully align with DoEd SBIR expectations.

Completing Mandatory Registrations

Before you can submit a proposal for a Department of Education SBIR award, your business must complete several government registrations. These steps are not optional—and skipping or delaying them can result in an otherwise strong proposal being rejected without review.

Most urgent is registration at SAM.gov, where your company must obtain a Unique Entity ID (UEI). This identifier has replaced the old DUNS number and is now required on all federal proposals. To register, create a Login.gov account, then start your entity registration. Provide your legal business name, tax ID, and banking information. SAM registration can take several weeks, especially if your documents don’t align exactly, so start early. Annual renewal is required.

Next, register your business with the SBIR.gov Company Registry, managed by the SBA. This short process produces a unique SBC Control ID—a required identifier that must appear in your application materials. Use the same UEI and business information to avoid mismatches. Once registered, you can download your SBC certificate and include it with your proposal.

Contrary to common belief, Grants.gov is not used for Department of Education SBIR proposals. Unlike NIH or DOE, the DoEd uses a contract—not a grant—mechanism. As a result, proposals are submitted via email (with specific formatting and naming conventions), not through a submission portal.

You may also encounter the G5 system, used by DoEd to manage post-award financial and administrative operations. While G5 registration is not required for proposal submission, it becomes relevant if your company is selected for funding. Ensure your UEI is properly linked to your G5 profile if and when you set it up.

Missing or incorrect registrations are a leading reason for proposal rejection. Always double-check that your UEI and SBC ID match the information on your proposal’s cover page and forms.

Understanding the Solicitation and Submission Mechanics

Each year, the Department of Education releases a formal solicitation (or RFP) detailing its SBIR funding opportunity. For Phase I applicants, this document is your definitive guide—it sets the rules, scope, and expectations. Understanding how to find and interpret the solicitation is a key early step.

The primary source for active solicitations is SAM.gov. Search for “ED/IES SBIR” and look for a Phase I RFP such as FY2025 Phase IA (e.g., Solicitation #91990025R0002). Alternatively, you can check the IES SBIR program page on the Department of Education website, which typically links directly to the latest solicitation.

Once you’ve located the correct document, read it thoroughly. Do not assume requirements from prior years or other agencies apply. The Phase IA track, for instance, emphasizes novel technology development and explicitly disallows proposals based on previously developed prototypes—even those from earlier SBIR awards. Misinterpreting these distinctions can immediately disqualify your proposal.

Solicitations also define hard deadlines. For example, the FY25 Phase IA solicitation was released on November 8, 2024, with proposals due by January 8, 2025 at 11:00 AM EST. Late submissions are not reviewed, even if the delay is only a few minutes.

DoEd SBIR does not use Grants.gov for proposal submission. Instead, proposals must be submitted via email to the contracting specialist listed in the solicitation, with attachments named and formatted exactly as specified.

Submission Clarification
DoEd SBIR proposals must be submitted by email, not through Grants.gov.

Solicitations also list a contact person—usually a Contracts Specialist—who can field administrative questions before a certain cutoff date (e.g., December 2, 2024). However, after the solicitation is open, program officers are generally prohibited from offering technical guidance. All substantive questions are answered publicly via amendments on SAM.gov to ensure fairness.

It’s also critical to note the required proposal format. The solicitation will specify file types (usually PDF), naming conventions, and content layout (e.g., maximum page lengths for each section). Ignoring these can result in rejection.

Take time to cross-reference your project concept with the solicitation’s goals and constraints. ED/IES SBIR prioritizes solutions that are:

• Educationally relevant
• Research-based
• Commercially viable

If your idea doesn’t clearly align, consider revising or waiting for a future cycle with better alignment.

Crafting a Winning DoEd SBIR Phase I Proposal

A compelling Department of Education SBIR Phase I proposal must do more than describe an innovative idea—it must convince reviewers that your team can develop, test, and eventually commercialize a research-driven education technology product. The proposal should follow the structure specified in the solicitation to the letter.

The Project Narrative is the heart of the proposal. Start by defining the problem your product will solve in educational or special education settings. Avoid vague claims; support your case with evidence. Then, outline your proposed solution—what makes it new, how it builds on research, and what risks are involved.

Describe your technical objectives clearly and use SMART criteria (Specific, Measurable, Achievable, Relevant, Time-bound). Your R&D design should show that you’re not just building something—you’re validating it. Include timelines, milestones, and iterative development with user feedback.

Next, explain how you’ll measure success in Phase I. Most DoEd solicitations require usability testing and feasibility research. Avoid jargon; reviewers come from diverse backgrounds.

Your commercialization plan doesn’t have to be final, but it must be credible. Describe the market, customer segments (e.g., K–12 districts, edtech platforms), revenue models, and your company’s path from prototype to sales. If your Phase I shows promise, Phase II funding (up to $1M) can support further development and evaluation.

Common proposal mistakes include:

• Exceeding page limits or using incorrect formatting
• Failing to align with program priorities (e.g., proposing minor enhancements to existing products)
• Vague R&D timelines or “build-it-and-see” approaches
• Weak evidence of market need or buyer interest

Reviewers want to see rigor, feasibility, and impact. Every section should link back to the broader mission: improving educational outcomes through innovative, research-based solutions.

Finally, before submission, perform a compliance check. Confirm file types, naming conventions, and required attachments (e.g., SBC registration, resumes, letters). A single missing item can derail the proposal.

Navigating the Review Process and Strategic Considerations

Once submitted, your DoEd SBIR proposal enters a competitive, multi-step review process. Knowing how your application will be evaluated—and how disqualifications occur—can help you avoid critical mistakes and improve your chances of selection.

All proposals undergo an initial compliance screening. This check ensures that submissions meet page limits, file formatting, budget rules, and required registrations. Proposals that fail this screening are rejected and not forwarded for technical review.

Next, compliant proposals are assigned to expert peer reviewers. Reviewers are selected based on technical, educational, and commercial expertise. They evaluate each application using published evaluation criteria, which typically fall into three categories:

• Technical Merit and Innovation: How clearly does the project address a significant education problem using a novel, research-based technological approach?
• Research and Development Plan: Are the objectives, methods, and timeline realistic and well-conceived? Does the plan include user testing and feasibility validation?
• Team and Commercialization Potential: Is the PI qualified to lead the work? Does the team have the capacity to bring the product to market? Is the business model credible?

Proposals are scored individually and then discussed in a panel meeting. Rankings are established based on scores and narrative justifications. However, ED/IES SBIR also considers programmatic priorities and budget constraints—so high-scoring proposals are not automatically funded.

Some pitfalls lead to instant rejection, including submitting a nearly identical proposal to multiple agencies or resubmitting a past DoEd SBIR proposal without significant revision.

Disqualification Warning
Duplicate or substantially overlapping proposals submitted to multiple agencies or cycles may be rejected without review.

After the panel review, selected applicants typically receive a Notice of Award within 90 days. Non-selected applicants do not receive scores but may request reviewer summaries to inform future submissions.

Understanding this process ensures you not only prepare a stronger proposal but also avoid preventable setbacks in what is already a highly competitive funding opportunity.

Next Steps if Selected or Declined

Whether your proposal is selected or not, the outcome offers valuable next steps.

If your company is awarded a DoEd SBIR Phase I contract, you’ll receive a formal Notice of Award, followed by administrative onboarding. The project typically begins within a few weeks, and you’ll be expected to meet milestones, submit interim reports, and engage with the contracting officer. Prepare early to launch smoothly—confirm staffing, finalize subcontractor agreements, and set up your internal tracking systems.

If your proposal is not selected, don’t shelve it. You can usually request a summary of reviewer comments from the contracting specialist. These insights are crucial for improving future submissions, especially if you plan to revise and reapply in the next cycle.

Best Practice
Use reviewer feedback to strengthen your proposal and resubmit in the next cycle if eligible.