Funder: Office of Science
Due Date: December 4, 2017
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 Federally-funded research for economic and social benefits to the
nation. DOE will support high-quality research or R&D on innovative concepts concerning important missionrelated
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.
Other than different eligibility requirements (see Part III – Eligibility Information), the major difference between
the SBIR and STTR programs is that STTR grants must involve substantial cooperative research collaboration
between the small business and a single Research Institution (see definitions in Appendices/Reference Material
at the end of this FOA). However, it should be noted that the SBIR program also permits substantial
collaboration between the small business and other organizations, including Research Institutions. The
difference is that in SBIR, the collaboration is optional, while in STTR, the collaboration is required and must be
cooperative in nature.
To increase the number of high-quality SBIR/STTR Phase I applications submitted to the DOE by women-owned
or minority-owned small businesses, and small businesses from DOE’s underrepresented states (see eligible
state list below), the DOE provides a variety of application preparation and other related services, free of
Phase 0 services are offered on a first-come, first-serve basis to eligible applicants. For more information on the
DOE SBIR/STTR Phase 0 Assistance Program and to determine eligibility, please visit
The following states, district, and commonwealth are underrepresented in the DOE SBIR/STTR programs: AK,
DC, GA, HI, IA, ID, IN, KS, LA, ME, MN, MS, MT, NC, ND, NE, NY, OK, PA, PR, RI, SC, SD, WA, WI.
An important goal of the SBIR/STTR programs is the commercialization of DOE-supported research or R&D.
Following the start of Phase I, DOE encourages its awardees to begin thinking about and seeking commitments
from private sector or Federal non-SBIR/STTR funding sources in anticipation of Phases II and III. The
commitments should be obtained prior to the Phase II grant application submission. The commitment for Phase
III may be made contingent on the DOE-supported research or R&D meeting some specific technical objectives
in Phase II, which if met, would justify funding to pursue further development for commercial purposes in Phase
III. For Phase I applicants, more details will be provided in the Phase II FOA.