FY 2023 Phase I Release 2

This FOA describes two distinct funding opportunities for DOE: the Small Business Innovation Research (SBIR) and the Small Business Technology Transfer (STTR) programs for Fiscal Year (FY) 2023. Both Phase I and Fast-Track grant opportunities are included in this FY 2023 Phase I Release 2 competition.

A. PHASE I

Phase I grants resulting from this competition will be made during FY 2023 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 2024 Phase II FOA, i.e., FY 2024 Phase II Release 2.

Approximately 40% of Phase I awardees submitting a Phase II application will receive a Phase II award. Instructions and eligibility requirements for submitting Phase II grant applications will be posted at a later date on the internet at https://www.grants.gov/.

B. FAST-TRACK (COMBINED PHASE I AND PHASE II)

Fast-Track grants are opportunities to expedite the decision and award of SBIR and STTR Phase I and II funding for scientifically meritorious applications that have a high potential for commercialization. Fast-Track incorporates a submission and review process in which both Phase I and Phase II grant applications are combined into one application and submitted and reviewed together. The Project Narrative portion of a Fast-Track application must specify clear, measurable goals and milestones that should be achieved prior to initiating Phase II work. If these milestones are not met in Phase I, authorization to proceed to Phase II may not be provided and the grant will discontinue following Phase I efforts. The work proposed for Fast-Track, assuming that it proceeds, should be suitable in nature for subsequent progress to non-SBIR/STTR funding in Phase III.

For a specific R&D effort, applicants may submit either a Phase I application or a Fast-Track application, but not both. If both Phase I and Fast-Track applications are submitted, the application with the most recent submission date and time to Grants.gov will be evaluated. An individual application may be made only to either the traditional Phase I or to the Fast-Track. A project selected for Fast-Track funding which fails to meet its objectives may not later apply for Phase II funding.

Fast-Track grant awards resulting from this competition will be made during FY 2023 to small businesses with maximum award sizes of $1,300,000 or $1,850,000 depending on the topic. Please refer to the topic descriptions under the FOA found on the DOE SBIR/STTR website at https://science.osti.gov/sbir/Funding-Opportunities to determine the maximum award size for each topic. The period of performance under Fast-Track will depend on the scope of the effort but will not exceed 33 months.

Grant opportunities are announced pursuant to the Small Business Innovation Development Act of 1982 (Public Law 97-219), the Small Business Research and Development Enhancement Act of 1992 (Public Law 102-564), the SBIR/STTR Reauthorization Act of 2011 (Public Law 112-81), and the SBIR/STTR Extension Act of 2022 (public Law 117-183). Small businesses (see definition in Section III Eligibility Information) with strong research capabilities in science or engineering are encouraged to apply. Some topics may seek manufacturing-related innovations in accordance with Executive Order 13329, Encouraging Innovation in Manufacturing.