Applicant Resources

Phase I Applicants

  • 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 »

  • DOE SBIR Phase I Application Tutorials
    The Phase I Application Tutorials are 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). The tutorials are broken down into small pieces and grouped by category. Get started here

  • DOE Phase 0 Small Business Application Assistance
    The 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.  Check your eligibility and learn 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 »

  • Promoting Inclusive and Equitable Research (PIER) Plan
    In accordance with Office of Science requirements, DOE SBIR/STTR Programs now require that applicants submit a plan for Promoting Inclusive and Equitable Research, or PIER Plan, along with their proposals. Read More »


Phase II Applicants

Phase II  (first Phase II award)

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


Additional Resources

  • Quick Links: PAMS, DUNS, SAM,,
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  • Looking for Partners?
    Partners play a critical role in transitioning advanced technologies from SBIR/STTR funded programs to the commercial market. Throughout technology development and productization you will engage with a myriad of partners filling many different roles and providing many different capabilities. Check out the newly released SBIR Partnering Platform. The public, self-supporting platform, which is free to use, facilitates partnering between DOE small business applicants and awardees (INNOVATORS) and various industry stakeholders (investors, service providers, utilities, etc.) in their representative ecosystems (PARTNERS). Register specific to your ecosystem role: PARTNER or INNOVATOR.

  • National Labs Profiles and Contacts
    The DOE National Labs address large scale, complex research and development challenges with a multidisciplinary approach that places an emphasis on translating basic science to innovation. Read More »

  • Selected Market Research Studies
    The DOE Program Offices participating in SBIR/STTR have the opportunity to conduct market research related to SBIR/STTR topic areas. These are made publicly available to facilitate commercialization planning for SBIR/STTR applicants and awardees. Read More »

  • Protecting your Trade Secrets, Commercial, and Financial Information
    An application may include technical data and other data, including trade secrets and commercial or financial information that are privileged or confidential, which the applicant does not want disclosed to the public or used by the Government for any purpose other than application evaluation. Examples of documents that may contain proprietary information include the commercialization plan and the project narrative. Read More »

  • Additional Requirements and Guidance for Digital Data Management
    Here you will find guidance and requirements specific to the SBIR/STTR Program Office regarding the submission of Data Management Plans. Read More »

  • Advanced Computing Resources:
    NERSC is the primary scientific computing facility for the DOE. Its systems are reliable, secure, and provide a state-of-the-art scientific development environment with the tools needed by its diverse community of users. All DOE SBIR/STTR grant projects requiring high performance computing support are eligible to apply to use DOE NERSC resources. Read More »

  • Other Resources:
    A broad range of other resources are available here.  Read More »