Applicant Resources

Phase I Applicants

  • DOE SBIR Online Learning Center  The DOE SBIR Online Learning web site is available to help Small Businesses understand SBIR/STTR eligibility requirements, program complexities, and ultimately, how to prepare, organize and submit a Phase I proposal in response to a DOE SBIR/STTR Funding Opportunity Announcement (FOA). Get started here
  • DOE Phase 0 Small Business Application AssistanceThe U. S. DOE offers its Phase 0 services to a limited number of first-time DOE SBIR/STTR Phase I participants.  This support, provided by Dawnbreaker is designed to assist eligible small businesses navigate the complexities of the SBIR/STTR proposal process.  During each Phase I Release (normally July/October), DOE sponsors a full menu of services to a limited number of pre-approved small businesses that meet the following eligibility criteria:  1) the small business offers technology innovations relevant to the current and open DOE SBIR/STTR research topics and subtopics; 2) is or will be, prior to award, an eligible small business per 13 CFR 121.702; 3) has not previously applied for a DOE SBIR or STTR award; and, 4) has not received any Phase 0 technical assistance from DOE.  Read More
  • Preparing and Submitting a Phase I Letter of Intent

    A Letter of Intent (LOI) is a document that you submit in advance of your Phase I application to the DOE SBIR/STTR programs. It contains important information about your application, such as a technical abstract, that will assist DOE in identifying reviewers in advance of receiving your application. Read More »

  • Preparing a DOE SBIR/STTR Phase I Grant Application

    The Instructions for Completing a DOE SBIR/STTR Phase I Grant Application guide contains instructions and other useful information for preparing the required forms for a grant from the U. S. Department of Energy for Small Business Innovation Research (SBIR) or Phase I Grant Small Business Technology Transfer (STTR) Phase I Grants. Read More »

Phase II Applicants

Phase II  (first Phase II award)

Phase II applicants can leverage their experience with their Phase I application during Phase II.  The essential requirements for the two applications are very similar with important changes noted below

  • Changing between SBIR and STTR
    • You can switch programs when you apply for Phase II; however, you must meet the eligibility requirements for both programs. 
    • Note that not all program offices issue STTR awards – review your respective Phase I Topic document to confirm
  • Budget
    • The project period can be up to 2 years (with two 1-year budget periods); the maximum award amount is specified in the Phase I topic document.
    • If utilizing TABA funds, those are to be included in the budget and are in addition to the maximum award amount (i.e. if planning to utilize $50K in TABA funds, your maximum award amount increases to $1,150,000 for topics that specify a maximum award amount of $1,100,000).
  • Technical Narrative
    • Can be up to 20 pages and 10,000 words in length, with a 10-point minimum font size.
  • Commercialization Plan
    • A more detailed commercialization plan is required for Phase II, see the Funding Opportunity Announcement for the content requirements.  
    • Can be up to 15 pages and 7500 words in length, with a 10 point minimum font size (excluding letters of support, ROI worksheet and income statement). 
    • Within your Phase II Commercialization Plan, you must provide an estimate of the DOE Return on Investment (ROI) or Net Present Value (NPV) and income statement.  To assist with your ROI or NPV estimate, please refer to this worksheet - DOE Investment Multiplier Calculation Worksheet
  • Technical and Business Assistance (TABA), formerly called Commercialization Assistance
    • The maximum amount available for Phase II TABA support is $50,000.
    • If you wish to use these funds, you will need to include vendor(s) either as subcontractors (include budget/budget justification) or consultants with your application.
    • Note that TABA funds do not count toward the maximum award size (i.e. if planning to utilize $50K in TABA funds, your maximum award amount increases to $1,150,000 for topics that specify a maximum award amount of $1,100,000).
    • Phase II services are not available through the DOE CAP.
Phase IIA & IIB (second Phase II award)

DOE Phase II awardees are eligible to apply for a second Phase II award.  There are two distinct types of follow-on Phase II awards

  • Phase IIA
    • Awards made to projects which require both additional funding and time is to successfully complete the originally planned initial Phase II prototype
  • Phase IIB
    • Awards made to initial Phase II projects that were successfully completed but require additional research and development to transition to commercialization

Additional information about second Phase II awards is contained in the attached presentation 

Phase IIC (third Phase II award)

A third SBIR Phase II award is available to small businesses that have received a DOE SBIR Phase II award and a DOE SBIR Phase IIA or IIB award. This award, which emphasizes commercialization, requires matching funds from a third party investor. Additional information is contained in the attached presentation.

Phase II Cooperative Agreements

All Phase I awards and most Phase II awards will be issued as grants, however a select number of Phase II awards (including initial Phase II, Phase IIA, IIB, and IIC) may be issued as cooperative agreements.  Please see the eligibility section of the Phase II FOA to determine whether your Phase II award will be issued as a cooperative agreement.  Cooperative agreements are very similar to grants but allow DOE to have substantial involvement in the direction and performance of the proposed research and development effort.  One important difference with cooperative agreements is the use of go/no go milestones and technical metrics.  Phase II applicants that will receive cooperative agreements must propose 1 to 4 go/no go milestones or technical metrics to be completed by month 9 of their Phase II award.  Completion of these go/no go milestones and technical metrics will be used to determine whether to continue the award into the second year.  Applicants should include these go/no go milestones and technical metrics in their technical narrative and expect to have negotiations with DOE of these go/no go milestones and technical metrics if selected for award.   A template and completed example are provided here.”

Additional Resources