FY25 Phase II

Active Solicitation

Submission Deadline: September 25, 2026 at 12 PM ET
Questions? Reach out to us at [email protected]

Information

ConnectWerx, a Partnership Intermediary of the U.S. Department of Energy (DOE), has opened an initial funding opportunity in collaboration with the Office of Technology Commercialization for up to $147,394,250 for Small Business Innovation Phase II awards. Total funding requested by a Small Business Concern should not exceed $2,000,000, (or $2,050,000 if the proposal includes a request for TABA specified in the Project Narrative).

This opportunity will be open to awardees who completed a DOE SBIR/STTR Phase I, Phase II, or follow-on Phase II award in FY24 or FY25. SBIR/STTR Awardees who applied to a subtopic under one of the following topics in DOE’s SBIR FY24 Phase I Release 2 Opportunity are eligible to apply for the current Phase II opportunity:

This topic area seeks innovative solutions leveraging Artificial Intelligence, Quantum Information Science, Cybersecurity, and innovative sensing and remote detection technologies. This topic emphasizes applications that enhance national security, safeguard critical energy infrastructure, and provide advanced capabilities for monitoring, detection, and mitigation of threats across diverse operational environments.

This corresponds to DOE’s SBIR FY24 Phase I Release 2 topics listed as:

  • C58-01. ENERGY SYSTEMS CYBERSECURITY
  • C58-02. QUANTUM SENSORS FOR UNDERGROUND NUCLEAR EXPLOSION MONITORING
  • C58-03 RADIATION RESISTANT PLASTIC ENCAPSULATED MICROCIRUITS
  • C58-04. ARTIFICIAL INTELLIGENCE
  • C58-05. AUTONOMOUS RADIATION SENSING AND MAPPING
  • C58-06. HIGH-ENERGY X-RAY SOURCES FOR FIELD RADIOGRAPHY
  • C58-08. TECHNOLOGY FOR FUTURE REMOTE DETECTION SENSING

Any completed Phase II DOE SBIR project aligned with this topic and funded from DE-FOA-0002572: FY 2022 SBIR/STTR Phase II Release 2 is eligible to apply for a Phase II.2 award. Any completed Phase II, IIA or IIB project aligned with this topic and funded from DE-FOA-0002991: FY 2023 Phase II Release 2 is eligible to apply for a Phase II.2 award under this topic. If you received a Phase IIA or IIB in FY 2023 Phase II Release 2, you will be required to provide matching funds.

This area targets transformative technologies for creating a more reliable, optimized, and secure national electricity grid that can support energy addition, capable of meeting all energy demands. Areas of interest include advanced grid architectures, control systems, and integrated energy storage solutions, including novel battery chemistries and management systems, to enable seamless integration of new energy sources and improved grid affordability.

This corresponds to DOE’s SBIR FY24 Phase I Release 2 topics listed as:

  • C58-09. ADVANCED GRID TECHNOLOGIES
  • C58-10. ADVANCED BATTERY MANAGEMENT AND SENSORS FOR GRID-TIED ENERGY STORAGE
  • C58-21. JOINT WIND ENERGY TECHNOLOGIES OFFICE/OFFICE OF ELECTRICITY TOPIC: ENERGY STORAGE FOR WIND

Any completed Phase II DOE SBIR project aligned with this topic and funded from DE-FOA-0002572: FY 2022 SBIR/STTR Phase II Release 2 is eligible to apply for a Phase II.2 award. Any completed Phase II, IIA or IIB project aligned with this topic and funded from DE-FOA-0002991: FY 2023 Phase II Release 2 is eligible to apply for a Phase II.2 award under this topic. If you received a Phase IIA or IIB in FY 2023 Phase II Release 2, you will be required to provide matching funds.

This topic area calls for advancements in nuclear energy technologies, from novel reactor designs and fuel cycles to enhanced safety and operational efficiency. It also encompasses innovative approaches for the responsible and sustainable management, treatment, and disposition of unused nuclear fuel (UNF) and high-level radioactive waste (HLW).

This corresponds to DOE’s SBIR FY24 Phase I Release 2 topics listed as:

  • C58-29. ADVANCED TECHNOLOGIES FOR NUCLEAR ENERGY
  • C58-30. ADVANCED TECHNOLOGIES FOR NUCLEAR WASTE

Any completed Phase II DOE SBIR project aligned with this topic and funded from DE-FOA-0002572: FY 2022 SBIR/STTR Phase II Release 2 is eligible to apply for a Phase II.2 award. Any completed Phase II, IIA or IIB project aligned with this topic and funded from DE-FOA-0002991: FY 2023 Phase II Release 2 is eligible to apply for a Phase II.2 award under this topic. If you received a Phase IIA or IIB in FY 2023 Phase II Release 2, you will be required to provide matching funds.

This area focuses on developing and deploying technologies to improve efficiency across industrial sectors and advance carbon usage, thereby advancing American energy dominance, security, and global leadership in line with the Hydrocarbons and Geothermal Energy Office (HGEO) Strategic Plan, which aims to unleash the full potential of America’s hydrocarbon and geothermal resources to provide affordable, reliable, and secure energy. This includes innovations in advanced materials and manufacturing processes, advancing the efficient use of carbon, and industrial process optimization, ultimately enhancing American industrial competitiveness and contributing to the security, stability, and strategic value of the Nation’s energy resources, which can be found at HGEO’s website1. This corresponds to DOE’s SBIR FY24 Phase I Release 2 topics listed as:

  • C58-11. ADVANCED MATERIALS AND MANUFACTURING TECHNOLOGIES
  • C58-12. INDUSTRIAL EFFICIENCY AND DECARBONIZATION OFFICE (IEDO)
  • C58-23. CARBON CAPTURE, CONVERSION, AND STORAGE
  • C58-24. CARBON DIOXIDE REMOVAL
  • C58-27. CARBON ORE PROCESSING
  • C58-28. ADVANCED REMEDIATION TECHNOLOGIES

Any completed Phase II DOE SBIR project aligned with this topic and funded from DE-FOA-0002572: FY 2022 SBIR/STTR Phase II Release 2 is eligible to apply for a Phase II.2 award. Any completed Phase II, IIA or IIB project aligned with this topic and funded from DE-FOA-0002991: FY 2023 Phase II Release 2 is eligible to apply for a Phase II.2 award under this topic. If you received a Phase IIA or IIB in FY 2023 Phase II Release 2, you will be required to provide matching funds.

This topic area prioritizes research and development for securing and diversifying the supply chains of critical minerals and other essential materials vital for advancing energy technologies and achieving national security.

This corresponds to DOE’s SBIR FY24 Phase I Release 2 topics listed as:

  • C58-26. CRITICAL MINERALS AND MATERIALS APPLICATIONS

Any completed Phase II DOE SBIR project aligned with this topic and funded from DE-FOA-0002572: FY 2022 SBIR/STTR Phase II Release 2 is eligible to apply for a Phase II.2 award. Any completed Phase II, IIA or IIB project aligned with this topic and funded from DE-FOA-0002991: FY 2023 Phase II Release 2 is eligible to apply for a Phase II.2 award under this topic. If you received a Phase IIA or IIB in FY 2023 Phase II Release 2, you will be required to provide matching funds.

This topic area encourages innovations in localized energy generation, energy systems in buildings, and other integrated energy systems. It includes advancements in generation, fuel and vehicle technologies that enhance energy reliability.

This corresponds to DOE’s SBIR FY24 Phase I Release 2 topics listed as:

  • C58-13. BIOENERGY TECHNOLOGIES
  • C58-14. BUILDING TECHNOLOGIES
  • C58-15. GEOTHERMAL
  • C58-16. HYDROGEN AND FUEL CELL TECHNOLOGIES
  • C58-17. SOLAR ENERGY TECHNOLOGIES
  • C58-18. WATER POWER TECHNOLOGIES
  • C58-19. WATER POWER TECHNOLOGIES
  • C58-20. OFFSHORE WIND ENVIRONMENTAL MONITORING TECHNOLOGY DEVELOPMENT
  • C58-22. VEHICLE TECHNOLOGIES OFFICE
  • C58-25. HYDROGEN TECHNOLOGIES

Any completed Phase II DOE SBIR project aligned with this topic and funded from DE-FOA-0002572: FY 2022 SBIR/STTR Phase II Release 2 is eligible to apply for a Phase II.2 award. Any completed Phase II, IIA or IIB project aligned with this topic and funded from DE-FOA-0002991: FY 2023 Phase II Release 2 is eligible to apply for a Phase II.2 award under this topic. If you received a Phase IIA or IIB in FY 2023 Phase II Release 2, you will be required to provide matching funds.

You can find topic language from prior SBIR/STTR opportunities on the closed FOA webpage here: SBIR Closed FOAs | U.S. DOE Office of Science (SC)

Process Details

Selected Phase II awardees will enter into a funding agreement with DOE and ConnectWerx. Based on their successful completion of project milestones, a subset of Phase II awarded companies will be granted follow-on Phase II.2 awards. Follow-on Phase II, II.2 and Strategic Breakthrough Awards will be made to this selected cohort on a go/no-go basis, subject to awardee performance and funding availability in later years.

This solicitation is the opportunity for existing Phase I or Phase II awards to enter into the new program format.

How to Participate:

  1. Review this page for details on eligibility, evaluation criteria, and how to apply.
  2. Attend the virtual Office Hours in mid-August.
  3. Download this Checklist and start gathering materials for the application. This includes developing a Project Narrative and Commercialization Plan from the provided templates and gathering Biosketches and Current and Pending Support documentation from team members.
  4. Complete the Submission Form in the SBIR/STTR Acquisition Management Portal (AMP) (application link coming soon). Submissions are due no later than September 25, 2026 at 12:00 PM ET.

Timeline:

  • Wednesday, 7/22: Program is announced, opportunity and resources posted, applicants can request access to AMP
  • Mid-August: AMP applications open
  • Wednesday, 8/19 at 3 PM ET: Virtual Office Hours session with DOE and CWX representatives
  • Friday, 9/25 at 12 PM ET: Applications close

Future Considerations:

All selected performers will be required to self-assess their cybersecurity practices as part of their award onboarding.

Follow-on Phase II, II.2 and Strategic Breakthrough Awards will be made to this selected cohort on a go/no- go basis, subject to funding availability in later years.

How to Apply

Complete the online application and all required project information and supporting documentation. Key project components required for all applications are indicated in the table below. Applicants are encouraged to download this Checklist for a full list of possible uploads, requirements, and resources that will be part of the application and to reference the FAQs for additional questions.

Submissions are due no later than September 25, 2026 at 12:00 PM ET. Late submissions will not be accepted. Submissions can be made in advance of the deadline and updated (or files replaced) up to the deadline.

File TitleResource(s)File Type
Commercialization Plan
Note: 10 page limit, minimum size 12 font
Template.pdf
Project Narrative
Note: 12 page limit, minimum size 12 font
Template.pdf
Pitch VideoGuidanceVideo Link
Cash Flow Pro FormaExample Excel Sheets (.xlsx):
Licensing, Software, & Manufacturing
.xlsx
Project Team Partner Information & Commitments (Organization Level)Template
Example Letters of Commitment:
Research Institution & Subcontractor
.pdf
Project Team Member Current & Pending Support (Individuals)
Note: DOE strongly recommends that applicants use the SciENcv format approved by the National Science Foundation (NSF)
Online Generator:
Science Experts Network Curriculum Vitae (SciENcy)
.pdf
Project Team Member CVs/Biosketches (Individuals)
Note: DOE strongly recommends that applicants use the SciENcv format approved by the National Science Foundation (NSF)
Online Generator:
Science Experts Network Curriculum Vitae (SciENcv)
Manual Template
Examples:
Private Sector
& Academia
.pdf

Files shall be submitted in Adobe Acrobat PDF (.pdf) format, unless otherwise specified, and not be larger than 5 MB. ZIP files and other application formats are not acceptable. All files shall be printable, without a password. Filenames must contain the appropriate extension and shall not contain special characters.

Important Dates

Submission Deadlines

September 25, 2026 at 12:00 PM ET

Informational “Office Hours” Session(s)

August 19, 2026 at 3:00 PM ET: Register for the virtual Informational Office Hours here.

Eligibility & Review Criteria

Eligibility

To review the eligibility requirements, please click here.

DOE will allow all Phase I awardees to apply for participation in the Phase II program. For FY25 Phase I projects there will be additional solicitations released later this year. Only one application will be allowed per Phase I award number.

Review Criteria

Applications will be evaluated against three equally weighted core areas. Scores from each area will be averaged to produce the overall proposal score. All application materials will be considered holistically to inform these scores. The core areas are as follows:

1: Technical Promise, evidenced by:

  • Significance: substantiation of the importance and urgency of the challenge being addressed. (What customer evidence or market data supports your assessment of the problem’s significance?)
  • Innovation: the novelty of the proposed solution and evidence that it represents a meaningful advancement or breakthrough. (Has the proposed solution been validated?)
  • Feasibility: the likelihood of successfully developing a working prototype within the proposed Phase II timeline and budget. (Is the Phase II work plan realistic and achievable? What are the top technical risks, and how will you mitigate each risk?)

2: Commercialization Potential, evidenced by:

  • Value Proposition:  validation of the technology’s ability to meet identified customer needs at a price point customers are willing to pay. (What feedback have you received from potential customers regarding the technology’s value and price point?)
  • Competitive Advantage: a validated assessment of the competitive landscape, and demonstrable progress toward securing a long-term competitive advantage (How will you differentiate your business from competitors and secure your position in the market? What is the status of your IP portfolio (e.g., issued patents, pending applications, trade secrets, etc.?)
  • Go-to-Market Strategy: progress towards implementing your go-to-market roadmap, with concrete customer and partner engagement. (Have you identified and connected with key partners? What is your customer acquisition strategy?)

3: Team Qualifications, evidenced by:

  • Company: a balanced team with both technical and commercialization expertise, and access to adequate equipment and facilities. (Have you scaled your team, facilities, and/or manufacturing capabilities since Phase I? Do you have a clear organizational structure with defined roles and responsibilities?)
  • Partnerships: the strength and relevance of external partnerships, advisors, subcontractors, or other collaborators that enhance the likelihood of the project’s success. (Have you secured strategic alliances that strengthen your project Are there any strategic investors, corporate/industry partners, or potential acquirers who have expressed interest in your technology?)
  • Financials: an updated revenue model with realistic and growth projections, a sound allocation of award funds, and a credible plan for securing follow-on funding. (Do you have a credible vision for growth? Will your use of award funds meaningfully advance your project? What are the key assumptions of your financial projections?)

While the scores and comments of the expert reviewers will be carefully considered, it is the role of the DOE Selection Official to maximize the impact of award funds. OTC keeps an updated list of program policy factors that may be considered, in addition to expert scores and comments in determining funding recipients on their website here.

DOE and the Partnership Intermediary may use, review and evaluate application information, including Proprietary Information, using artificial intelligence (“AI”) technology. These AI systems adhere to all DOE security, confidentiality, and information handling requirements. By submitting an application or providing information related thereto, the Applicant is providing express consent to DOE and the Partnership Intermediary’s use of application information with DOE approved AI technology. DOE and the Partnership Intermediary will retain in confidence and maintain the protection of Proprietary Information used with AI technology. All decisions on eligibility, scoring, selection, and other inherently Governmental functions will be carried out exclusively by DOE federal employees.

Frequently Asked Questions

Please visit the ConnectWerx SBIR/STTR Resource page for additional templates and FAQs.

Project Team: Partner Organizations & Requirements

DOE will allow all Phase I awardees to apply for participation in the Phase II program. For FY25 Phase I projects there will be additional solicitations released later this year. Only one application will be allowed per Phase I award number.

Yes. However, the small business must be the primary applicant and there are statutory requirements for minimum level of effort of each party that differ for SBIR vs. STTR. Contact information and Letters of Commitment from each subawardee are required.

While there is some gray area between these roles, R&D subcontractors participating in the project are typically other companies, NonProfit Research Institutions, consulting firms, engineering design firms and more. A consultant is typically an individual or a small group who is providing subject matter expertise or other services on the project.

Minimum Required Levels of Effort as stated in the Small Business Innovation and Economic Security Act of 2026.

  • SBIR Level of Effort Requirements
    • Phase I: up to 33% of search effort can be subcontracted
    • Phase II: up to 50% of search effort can be subcontracted
  • STTR Level of Effort Requirements
    • Up to 60% of research effort can be subcontracted

FFRDCs may be proposed as a team member subject to the following guidelines:

  1. Authorization for non-DOE/NNSA FFRDCs: The Federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed. The use of an FFRDC must be consistent with the FFRDC contract and must not place the FFRDC in direct competition with the private sector.
  2. Authorization for DOE/NNSA FFRDCs: The cognizant DOE Agreements Officer must authorize in writing the use of a DOE/NNSA FFRDC on the proposed project. See here for acceptable wording of this authorization.

Prior authorization is not required to submit an application; however, work may not be performed by the FFRDC until DOE Agreements Officer approval is provided, and failure to obtain such approval in a timely manner may delay the project if a grant is awarded.  As such, it is strongly recommended to request authorization as soon as possible, and, if available, to submit alongside this application. 

The Phase I pitch does include a question and evaluation criteria regarding Team Qualifications. While letters of commitment are not required at the pitch stage of the application, demonstrating active partnerships early on can help elevate your pitch and set you up for a meritorious full application.

Project Team: Individual Roles & Requirements

Applications must designate a Principal Investigator (PI) to lead the project. The PI must be knowledgeable in all technical aspects of the application and be capable of leading the research effort. Inclusion of other team members are optional; however, substantial contributors who meet the following definition of a “covered individual” must be aware that they are included in an application and must agree to perform the work if selected for award.

A covered individual is defined as:

  • Contributing in a substantive, meaningful way to develop or execute the scope of work of a project proposed for funding by DOE
  • Or is designated as a Covered Individual by DOE including the following:
    • Principal investigator (PI)
    • Project manager
    • Any individual functionally performing as a PI or project manager
    • Technical staff (e.g., postdoctoral fellows/researchers and graduate students)
  • DOE may further designate covered Individuals during award negotiations or the award period of performance.

Yes. However, they must be aware of their inclusion in an application and must agree to perform the work if selected for award.

  • For the SBIR Program, the PI must be principally employed by the small business by the start of the award.
  • For the STTR Program, the PI must be principally employed by either the small business or the Nonprofit Research Institution by the start of the award. If the Pl is employed by the Nonprofit Research Institution, and is not employed by the small business, the Pl must devote at least 10% of their full-time equivalent (FTE) effort to the STTR project, or 0.1 FTE of work time.

No a Ph.D. is not required. The PI should be an expert in the technology field and have the ability to direct the Phase I feasibility study.

Co-PIs are not allowed.

Employees or owners of the SBC may not be employees of the subcontractor, except when the subcontractor is a research institution (STTR). Please note that conflicts of interest may arise when an employee/owner is also an employee of the research institution.

No. Small business owners or their employees cannot be paid as consultants, and this includes university professors that are small business owners.

The letter of commitment (LoC) must be supplied by consultants, subcontractors, Nonprofit Research Institution and other sub-awardees, as applicable. The LOC should be on official letterhead from an authorized representative of the sub-awardee which commits the institution to participate in the project as described in the application. The LOC must include name and address of institution, dollar amount of subcontract, and certifying official’s name, phone number and email address.

Example letters of commitment are provided here for a Research Institution and Subcontractor.

Please use the template provided here to consolidate the following into a single PDF for upload:

  • One summary table showing all Project Partners and funding for each subcontract.
  • Contact and company information for each Project Partner.
  • A Letter of Commitment for each Project Partner.
  • STTR Nonprofit Research Institution Certification (if applicable)

Biological Sketches and Current and Pending Support Documentation are required for the covered individuals who will be contributing to the efforts of the proposed project.

Project Team: Supporting Documentation

Although it is not required, DOE strongly recommends that applicants use the SciENcv format approved by the National Science Foundation (NSF) to produce a OOE-compliant PDF version of a biographical sketch (biosketch) for each covered individual. The SciENcv format can be generated on Science Experts Network Curriculum Vitae (SciENcv). However, any format that contains the required information is acceptable, and a blank template is also available for download here.

  • As the Pl and other project team members may have lengthy resumes and/or CVs, please only include the most relevant information to the proposed project.
  • While the biosketch template accommodates academic positions and appointments, at first glance it may not seem obvious of how to best utilize this form for private sector experience. Applicants should include all positions including those in the private sector, other research projects (whether or not they were federally funded), websites, or any initiatives undertaken in their field that are relevant to the current application or an aspect of the current application.

Instructions for First-Time SciENcv Users:

  • Navigate to SciENcv (Science Experts Network Curriculum Vitae)
  • To log in, click More Options, Login.gov, then sign in.
  • From the dashboard, click Manage SciENcv, then click Create New Document.
  • Select DOE Biographical Sketch.
  • From there, it’s an easy web interface to add education and work history.
  • When ready, click Download PDF, which will prompt the user to certify their responses, then the document will download and can be added to the application.

Sample Biosketches are available for download for both academia and the private sector.

Biosketches and Current and Pending Support documents must be provided for the covered individuals in the full grant application.

Documentation for team members must be consolidated into a single PDF for upload.

Every covered individual at the prime applicant and subrecipient levels must submit a Current and Pending Support (CPS) Common Form. Use SciENcv (Science Experts Network Curriculum Vitae) to produce a DOE compliant PDF version of the CPS Common Form. Note that there is no page limitation for the CPS Common Form, though some fields in SciENcv have character limitations for consistency.

All funding should be included. Each current and pending support form should list all sponsored activities, awards, and appointments, whether paid or unpaid; provided as a gift with terms or conditions or provided as a gift without terms or conditions; full-time, part-time, or voluntary; faculty, visiting, adjunct, or honorary; cash or in-kind; foreign or domestic; governmental or private-sector; directly supporting the individual’s research or indirectly supporting the individual by supporting students, research staff, space, equipment, or other research expenses. All connections with malign foreign talent recruitment programs must be identified in current and pending support.

Current and Pending Support must be provided for the PI and all persons included as covered individuals in the full grant application.

DOE strongly recommends that applicants use the SciENcv format approved by the National Science Foundation (NSF). The SciENcv format can be generated on Science Experts Network Curriculum Vitae (SciENcv). Documentation for team members must be consolidated into a single PDF for upload.

Application Content: Project Proposal

Topics listed for this opportunity correspond to DOE’s SBIR FY2024 Phase I Release 2 topics. If your application is based on a completed project from the DE-FOA-0002572: FY 2022 SBIR/STTR Phase II Release 2 or DE-FOA-0002991: FY 2023 Phase II Release 2, during the application you should select the topic area that is most closely aligned.

A Project Narrative template can be found on the relevant opportunity page on this Application Hub. The template contains instructions and outlines all required sections of the Project Narrative. No sample narrative is available; however, OTC provides resources on how to write a compelling Project Narrative.

12 pages, with minimum 12-point font. Any pages beyond the 12 page limit will not be read by reviewers or considered during the merit review process.

A Commercialization Plan template and associated guidance can be found here.

The Phase I Commercialization Plan should be no more than 4 pages. The Phase II Commercialization Plan should be no more than 10 pages.

The Work Plan is an outline of the key tasks and milestones you hope to accomplish over the course of your award. The Milestone Driven Roadmap is a longer term plan for your small business beyond the immediate award phase. The Work Plan should be a table submitted in the provided format in the Project Narrative Template to show the key tasks and milestones of your project, along with a proposed timeline for funding. The milestone Driven Roadmap is part of your submission for the Commercialization Plan. Note that all projects will have a specific number of business and commercialization Milestones on which they will invoice.

Application Content: Letters of Commitment/Support

Letter of Commitment:

Letters of commitment are required for all consultants, subcontractors, research institutions and other sub-awardees of the proposed project. These letters demonstrate commitment by the partner institution to contribute to the proposed project at the level of effort required by the program.

Letter of Funding Commitment:

A letter of funding commitment is required to demonstrate the matching funds requirement for a Third Phase II award (formerly known as IIC). Other Phase II and Phase II.2 applicants who have secured matching funds for their projects are welcome to provide letters of funding commitment, but they are not required.

Letter of Support:

While a letter of support may be a commitment of funds, most often it is either an endorsement of the proposed work or an offer to provide facilities or data for the small business to carry out its research and development. Though they are not required, for a small business, a letter of support from a recognized expert in the field can present a particularly valuable voice to speak to the significance of the problem and/or the potential value of the approach suggested by the small business. Additionally, a well-known industry expert can be extremely useful in discussing the potential commercialization and market value of the proposed technology. Applicants should also seek letters of support from any State agencies who have promised matching funds should the applicant receive an SBIR/STTR award.

The application has opportunities to upload two types of Letters of Funding Commitments:

  1. Funding commitments for the proposed Phase II project
  2. Follow-on funding commitments for Phase III that are exercisable by the applicant provided specified technical objectives are successfully met

Applicants are strongly encouraged to submit commitments from the private sector or from non-SBIR/STTR funding sources. Letters of Commitment should be printed on official letterhead, signed by authorized representatives, and provided with the application materials.  The letter must provide details of the funds or resources committed to the project, and briefly address how the funds and/or resources will benefit the project.  For instance, if the funds are designated for commercialization efforts the letter should briefly address those efforts and provide a reasonable estimate of how the funds will be allocated. If the letter of commitment concerns resources to be provided, the resources should be briefly described and the manner in which they will benefit the project. Please see an example here.

Applicants are encouraged to submit commitments from the private sector or from non-SBIR/STTR funding sources for Phase III follow-on funding. The commitment must indicate when the funds will be made available, and contain specific technical objectives which, if achieved in Phase II, will make the commitment exercisable by the applicant. If the commitment is firm regardless of technical objectives achieved, it should state so. The commitment may include:

  1. third party financing;
  2. self-financing (in which case the proposing SBC must demonstrate the ability to provide the Phase III funding);
  3. state or local government financing; or
  4. Federal funding. In-kind contributions are allowed; however, the applicant or donor must estimate the dollar value of any in-kind contributions.

A third SBIR Phase II award (previously referred to as a Phase IIC) is available to small businesses that have already received a DOE SBIR Phase II award and a second DOE SBIR Phase II award (Phase IIA or IIB). This award, which emphasizes commercialization, requires matching funds from a third-party investor.  The matching funds for these awards must be equal to the award amount. Additional key provisions of this third-party match requirement:

  • The matching funds must be from an eligible third-party investor. The term ‘eligible third‐party investor’ means a small business concern other than the eligible entity, a venture capital firm, an individual investor, a non‐SBIR Federal, State or local government, or any combination thereof.
  • Please note that SBIR/STTR Phase I, II, or III funding from a federal agency may not be used as matching funds.

First and second Phase II awards do not require matching funds, but applicants are welcome to upload letters of commitment from third-party investors to strengthen their application.

It is recommended that the Letter of Support (LoS) be on official letterhead from an authorized representative of the institution committed its stated support. The LoS should include name and address of institution, specifics of the support, and certifying official’s name, phone number and email address.

Sample Letters of Support can be found here.

No, they are not required but encouraged.

Foreign Relationships Disclosure Form

All SBIR and STTR applicants must disclose their foreign relationships as required by the SBIR and STTR Extension Act of 2022. The required form that must be used to disclose these relationships is available here. Instructions are included on the form. Please note that even if you do not have any foreign relationships, you must complete this form to certify that such relationships do not exist. Failure to include this form may result in declination of your application without review at DOE’s discretion.

The foreign relationships disclosure form must be submitted with the application. Failure to include this form may result in declination of your application without review at DOE’S discretion.

Many SBIR and STTR awardees have foreign relations and the existence of foreign relationships that are not malign is acceptable to the due diligence process. Disclosure of foreign relationships required by this form does not mean your application will be denied.

Data Management Plan

All SBIR and STTR applicants must select one of two options for their Data Management Plan (DMP):

  1. None of the data will be publicly disseminated
  2. Some of the data will be disseminated publicly

If choosing Option 1, It is anticipated that all generated digital data will be protected as SBIR/STTR data and therefore will not be publicly shared during the applicable SBIR/STTR data protection period. If any data generated under this award are published, an effort will be made to also release any related digital data that is not protected SBIR/STTR data.

If choosing Option 2 where some of the data will be disseminated publicly, a data management plan will be required if awarded. Please see this resource on Data Management Plan Basics for additional information.

In determining which data should be shared and preserved, researchers must consider the data needed to validate research findings, or how results could be validated if data are not shared.  Researchers are also encouraged to consider the potential benefits of their data to their own fields of research, fields other than their own, and society at large.