NSF SBIR Phase I Proposal Checklist

Register Your Business and Key Personnel

To submit an NSF SBIR Phase I proposal, your company must complete three separate registrations—each on a different federal platform. These aren’t optional: without them, you won’t be able to upload your proposal. Because some of these systems take weeks to process, registration should begin at least 60 days before your intended deadline.

Once your Unique Entity ID (UEI) is active in SAM.gov, NSF can synchronize it into Research.gov. From there, you can create an organization profile and assign key personnel. Finally, you’ll need an SBC Control ID from the SBA’s SBIR Company Registry to verify your business’s eligibility. Each system requires matching details (name, address, EIN/TIN), so any mismatch—no matter how small—can delay approval.

Timing is critical. SAM.gov is often the slowest step, with processing times of 3–6 weeks. Meanwhile, Research.gov and the SBA registry typically activate within days once your UEI is recognized. Start with SAM, and track each registration’s progress closely.

Submit an NSF Project Pitch

Before you can apply for Phase I funding, the National Science Foundation must invite you to do so—and that starts with submitting a Project Pitch. This brief, structured summary is submitted online and serves as NSF’s first review of whether your technology is a good fit for the program.

The Pitch asks for a concise explanation of your technical innovation, your proposed R&D approach, and the potential commercial impact. It’s not a full proposal, but it should clearly show how your idea aligns with NSF’s goals: high-risk, deep-tech innovation with strong market potential.

You can submit a Pitch at any time—there’s no fixed deadline. After you submit, you’ll typically hear back within three to four weeks. If invited, your email notification will include the proposal window(s) you’re eligible for. This invitation is required: you cannot submit a Phase I proposal without it.

Submitting a strong Project Pitch is the fastest way to determine your eligibility, avoid wasted effort, and focus on NSF-friendly concepts.

Confirm Eligibility to Apply

Before drafting your proposal, make sure your business—and your Principal Investigator (PI)—meet NSF’s eligibility requirements. Overlooking one of these criteria can result in an automatic rejection.

Your business must be:

• A for-profit U.S. small business with 500 or fewer employees (including affiliates).
• Majority-owned (51%+) by U.S. citizens or permanent residents—or by another qualifying small business.
• Primarily operating in the United States.

The PI—who leads the project—must:

• Be primarily employed by your small business (i.e., spend over 51% of their time there).
• Have the legal right to work in the U.S.
• Not be required to hold a specific degree or academic affiliation.

Each company may submit only one proposal per SBIR Phase I submission window. Carefully plan your submission schedule, especially if your team is working on multiple ideas.

NSF also places restrictions on ownership. Companies majority-owned or controlled by venture capital, hedge funds, or private equity firms are not eligible. Minority ownership by VC may be allowed, but it’s essential to review SBA rules before proceeding.

Proposals without a valid Project Pitch invitation will be automatically rejected.
Invitations are valid for 12 months and must be received before submission. No exceptions are made.

Taking a few minutes to double-check your eligibility now could save you weeks of effort later.

Prepare All Required Proposal Documents

Once you’ve received an NSF invitation, it’s time to prepare your proposal. NSF has strict formatting and documentation rules—missing even one required element can lead to automatic rejection. Here’s what your submission must include:

Core Proposal Components

• Cover Sheet: Auto-generated in Research.gov. Includes the SBIR Certification and Phase I Questionnaire.
• Project Summary (1 page): Includes Intellectual Merit and Broader Impacts. Use plain language—reviewers rely heavily on this section.
• Project Description (10–15 pages): The heart of your proposal. Use NSF’s required headings:
  • Intellectual Merit
  • Company/Team
  • Broader Impacts
  • Commercialization Potential

  Address each NSF guidance bullet under these headers in detail.

• References Cited: No page limit, but only cite what’s referenced in your Project Description.
• Budget & Justification: Use NSF’s template. Be specific: explain salaries, fringe, indirect, materials, travel, and any subawards.

Supporting Documents

• Facilities & Equipment: Describe your current resources or access to necessary tools.
• Data Management Plan (1 page): Brief but mandatory.
• Biosketches (NSF format): Required for PI and senior personnel.
• Current & Pending Support: Disclose all other active or proposed research support.
• Collaborators & Affiliations (COA): For conflict-of-interest tracking.
• Synergistic Activities: Highlight up to five relevant contributions per senior team member.

Single-Copy Documents

• Commercialization History: Required if your company has received past Phase I or II awards.
• Letters of Commitment: Only from subcontractors or consultants. Letters of support or endorsements are not allowed.
• Resubmission Change Description: If this is a revision, explain what’s different.
• Reviewer Suggestions or Exclusions: Optional.

Prohibited Attachments

• Letters of support or endorsements
• Marketing brochures
• External URLs or appendices in the narrative

Formatting Requirements

• Font: 11pt Times New Roman or ≥10pt Arial/Palatino
• Margins: 1 inch all around
• Layout: Single column; no more than 6 lines per inch
• Max Lengths: Project Description – 15 pages; Project Summary – 1 page

Submit at least 48 hours before the deadline to avoid Research.gov upload issues.
Late or incomplete submissions won’t be accepted, even due to system delays.

Careful adherence to document requirements and formatting is just as important as the innovation itself. NSF will return proposals without review for even minor violations.

Build a Realistic, Allowable Budget

Your NSF Phase I budget should reflect a lean, focused R&D effort—ambitious enough to show traction, but grounded in realism. The current cap is around $275K–$305K, including indirect costs and company fee. Always check the active solicitation for the exact limit.

Key Budget Categories

• Direct Labor: List each person, title, percent effort, base salary, and total cost.
• Fringe Benefits: Include payroll taxes, health insurance, and other benefits.
• Indirect Costs: If you don’t have a negotiated rate, NSF lets you claim:
  • Up to 50% of direct labor + fringe, or
  • A de minimis rate of 15% on Modified Total Direct Costs (MTDC)

  Choose the higher—both are accepted without documentation.

NSF allows up to 50% of salary + fringe as indirect if you lack a negotiated rate.
This simplifies overhead planning and avoids paperwork delays.

• Materials & Supplies: Only include what’s essential to Phase I R&D.
• Travel: Domestic only. Use for customer discovery or partner meetings—must be well-justified.
• Consultants/Subawards: Include a clear scope of work and budget. Attach letters of commitment.

Required Budget Items

• Technical and Business Assistance (TABA): Up to $6,500.
• NSF I-Corps Training: Allocate ~$25,000 for this customer discovery program.

Watch For

• Unallowable costs (e.g., patent filing, marketing, general business expenses)
• Total indirect + fringe cannot exceed 150% of direct labor.

A well-structured budget shows reviewers that you’re capable of managing federal funds—and that your proposed work is feasible within the Phase I scope.