This FOA describes the funding opportunities for DOE: the Small Business Innovation Research (SBIR) and the Small Business Technology Transfer (STTR) programs for Fiscal Year (FY) 2024.
Phase I grants resulting from this competition will be made during FY 2024 to small businesses with maximum award sizes of $200,000 or $250,000. Refer to the individual topic for its respective maximum award size (a proposal submitted that exceeds the maximum award size for the respective topic will be declined without review). The period of performance will depend on the scope of the effort but will not exceed 12 months. Please note that the Phase II grant application will be due approximately 9.5 months after the grant start date. This will be the only opportunity to submit a Phase II application for a Phase I award made under this FOA. Grantees that select a Phase I period of performance of 9 months or less will be able to complete their Phase I project prior to submission of their Phase II grant application. Grantees that select a Phase I longer than 9 months will be able to continue research and development (R&D) after their Phase II application is submitted but will not be able to utilize these results in the preparation of their Phase II application.
Phase I is to evaluate, insofar as possible, the scientific or technical merit and feasibility of ideas that appear to have commercial potential and/or substantial application in support of DOE mission research. The grant application should concentrate on research that will contribute to proving scientific or technical feasibility of the approach or concept. Success in a DOE Phase I is a prerequisite to further DOE support in Phase II.
Only awardees issued Phase I grants under this FOA are eligible to submit a Phase II application under the corresponding FY 2025 Phase II FOA, i.e., FY 2025 Phase II Release 1.
The objectives of the SBIR/STTR programs include increasing private sector commercialization of technology developed through DOE-supported research and development (R&D), stimulating technological innovation in the private sector, encouraging participation by women-owned and minority-owned small businesses, and improving the return on investment from Federallyfunded research for economic and social benefits to the nation. DOE will support high-quality research or R&D on innovative concepts concerning important mission-related scientific or engineering problems and opportunities that have high potential for commercialization. The DOE SBIR/STTR Programs do not support either basic science or demonstration projects.
Deadlines:
SBIR/STTR program eligibility requirements are in place to ensure that the funds go only to small, independent United States (U.S.) businesses. The regulations, 13 CFR 121, include restrictions about (1) the type of firm, (2) its ownership structure, and (3) the firm’s size in terms of the number of employees.
The purpose of the requirement regarding type of firm is to target the awards to firms with an economic interest in developing the idea or research into a commercial application. The purpose of the ownership requirement is to limit the program to independent firms controlled by U.S. citizens or permanent resident aliens as a way of maximizing the likelihood that the funding will stimulate innovative activity within the U.S. economy. The purpose of the size restriction (number of employees of the firm and its affiliates) is to limit program funding to small business concerns with a unique capacity for innovation and are more likely to be constrained by lack of access to such funding.
Phase I Ceiling (i.e., the maximum amount for an individual award made under this FOA): $200,000 or $250,000 for SBIR and STTR grants. Refer to the individual topic for its respective maximum award size.
