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Welcome to the U.S. Department of Energy’s SBIR/STTR Phase 1 Grant Application Guide. In the following pages, small business applicants will find step-by-step instructions for completing each section of an SBIR or STTR Phase 1 I Grant application, along with sample documents and pro tips to assist with the application process. The guide will also address common mistakes along the way to help applicants avoid the usual pitfalls associated with SBIR and /STTR applications. But first, a little bit about the history and purpose of the programs that have come to be known as America’s Seed Fund.
History & Purpose
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Since its inception in 1982, small businesses have received over $3.194 billion in funding in SBIR awards alone. The STTR program, created in 1992 to encourage cooperative research between small businesses and research institutes, has extended this support by another $423.3 million in funding as of 2019. To read about some of the exciting projects and small businesses that DOE has sponsored through SBIR and /STTR, please visit Success Stories.
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DOE offers more than sixty technical topics and 250 subtopics, spanning research areas that support the DOE mission in Energy Production, Energy Use, Fundamental Energy Sciences, Environmental Management, Cybersecurity, Energy Security, & Emergency Response, and Defense Nuclear Nonproliferation. To develop the topics, each DOE program office considers its high priority research needs and program mission, as well as the Department’s goals for the program. For more information on the related DOE program offices please visit DOE Office of SBIR/STTR DOE Program OfficePrograms.
SBIR & STTR Phases and Award Amounts
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- Phase I explores the feasibility of an innovative concepted with awards up to 250 and 12 months idea with an R&D award maximum of $200,000 or $250,000, depending on the topic, and a duration of 6 to 12 months.
- Phase II R&D efforts involve prototype development and technology demonstration. Phase II R&D award maximums are $1,1000,000 and $1,600,000, depending on the topic and a typical duration of 2 years.Phase II is the principal R&D effort, with awards up toXYZand 2 years
- Phase III offers opportunities to small businesses to continue their Phase I and II R&D work to pursue commercial applications of their R&D with non-SBIR/STTR funding. Under Phase III, Federal agencies may award non-competitive, follow-on grants or contracts for products or processes that meet the mission needs of those agencies, or for further R&D.
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Before putting the time and effort into applying for an SBIR or STTR grant, it is important to determine whether or not your company is eligible. First and foremost, under the SBIR/STTR Programs the applicant company must be a small, for-profit business, with 500 or fewer employees. The applicant company must also be primarily U.S.-owned, meaning at least 51% of its ownership is by U.S. citizens and/or permanent resident aliens. Small businesses that are majority-owned by venture capital operating companies, hedge funds, or private equity funds are not eligible for DOE SBIR/STTR awards.
The SBIR and /STTR Programs encourage participation by small businesses that are minority socially and economically disadvantaged - and/or woman-owned. However, there are no quotas set aside for such firms. For information on SBIR/STTR initiatives and program assistance related to minority and/or underrepresented groups, please visit the Department of Energy, Office of Science, Office of Scientific Workforce Diversity, Equity, and Inclusion.