Preparing a DOE SBIR/STTR Phase II Grant Application

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 differences and any recent changes noted here.

  • You can switch programs between SBIR and STTR when you apply for Phase II, IIA and IIB awards. Check the Phase I topics document to make sure your topic is issuing STTR awards.
  • Phase IIC can only be SBIR.
  • For Phase II, the maximum award amount is specified in the Phase I topics document. 
  • For Phase IIA, IIB and IIC, the maximum award amount is specified in the Phase II FOA.
  • Letter of Intent
    • Applicants for Phase II, IIA, IIB, and IIC are required to submit a letter of intent.  Letters of intent were previously required only for Phase IIA, IIB, and IIC. 
    • No feedback will be provided on letters of intent; this information will only be used to identify reviewers in advance of receiving applications.
  • Other – Plan for Promoting Inclusive and Equitable Research (new requirement)

Application Resources

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.

Key Differences between Phase I and Phase II and Resources for Phase II Applications

  Phase I Phase II
Project Duration 6 to 12 months 12 to 24 months
Technical Narrative Can be up to 15 pages with an 11-point minimum font size  Can be up to 20 pages in length with an 11-point minimum font size 
Cybersecurity Self-Assessment Not Required Required
Commercialization Plan contents

Max length is 4 pages


The Commercialization Plan template with no added attachments.

Max length is 15 pages in length with a 11-point minimum font size (excluding letters of support, ROI worksheet and income statement).


A more detailed commercialization plan is required for Phase II, see the Funding Opportunity Announcement for the content requirements.


The return on investment (ROI), net present value (NPV) worksheets, pro forma worksheets, and Letters of Support should be part of the single pdf. (Please note these additions do not count toward the page count)


To assist with your ROI and NPV estimate, please refer to our DOE Investment Multiplier Calculation Worksheet and pro forma templates.  Choose a pro forma template based on your business model: manufacture of product, license of the technology to an established entity, or license/subscription of software.
Budget Form Only 1 budget period 2 budget periods for all projects that exceed 12 month duration. The first budget period should be for the first 12 months of the project, the second budget period is for the remaining duration.

Level of Effort & Max Funding Calculation:


New and improved! For calculating the percent of research and analytical effort performed by the small business, the research institution, if any, and other consultants or subcontractor.


New! The worksheet also provides a check on whether your application has exceeded the maximum funding allowed.

SBIR: 67% for the SBC


STTR: 40% for the SBC and 30% for the RI


BOTH: 67% for the SBC and 30% for the RI

SBIR: 50% for the SBC


STTR: 40% for the SBC and 30% for the RI


BOTH: 50% for the SBC and 30% for the RI


See Excel spreadsheet


See an example Phase II calculation
Technical and Business Assistance (TABA)
  • The maximum TABA amount available is $6,500.
  • You can either use the DOE vendor or your own TABA service provider.
  • Note that TABA funds do not count toward the maximum award size (e.g. if planning to utilize $6,500 in TABA funds, your maximum award amount increases to $206,500 for topics that specify a maximum award amount of $200,000).
  • The maximum amount available for Phase II TABA support is $50,000.
  • To utilize your own TABA provider(s), you are required to include this as one or more subcontracts or consultants in your budget and to provide a detailed budget justification.”.
  • Note that TABA funds do not count toward the maximum award size (e.g. 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 currently available through the DOE CAP.