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.

Additionally download the DOE SBIR/STTR Phase II Application Requirements Checklist.

Cybersecurity Self-Assessment
The SBIR and STTR Extension Act of 2022 requires federal agencies to perform due diligence and assess the cybersecurity risks of SBIR/STTR applicants & awardees. In response to this requirement, beginning in FY 2024 DOE requires Phase II applicants to submit a cybersecurity self-assessment. Click here for the latest version of the Cybersecurity Self-Assessment worksheet.

Proforma Templates:
Annual proformas for the next five years are required as part of the Phase II application. Templates based on your business model are provided here:

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.